30150 Federal Register / Vol. 64, No. 107 / Friday, June 4, 1999 / Notices 

to provide or arrange for representation 

for the employee; 

(iv) Any Department employee in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

(v) The United States where the 

Department determines that the 

litigation is likely to affect the 

Department or any of its components. 

(b) Disclosure to the DOJ. If the 

Department determines that disclosure 

of certain records to the DOJ is relevant 

and necessary to litigation or ADR, the 

Department may disclose those records 

as a routine use to the DOJ. 

(c) Administrative Disclosures. If the 

Department determines that disclosure 

of certain records to an adjudicative 

body before which the Department is 

authorized to appear, an individual or 

entity designated by the Department or 

otherwise empowered to resolve or 

mediate disputes is relevant and 

necessary to the administrative 

litigation, the Department may disclose 

those records as a routine use to the 

adjudicative body, individual, or entity. 

(d) Parties, counsels, representatives 

and witnesses. If the Department 

determines that disclosure of certain 

records to a party, counsel, 

representative or witness in an 

administrative proceeding is relevant 

and necessary to the litigation, the 

Department may disclose those records 

as a routine use to the party, counsel, 

representative or witness. 

(5) Freedom of Information Act 

(FOIA) Advice Disclosure. The 

Department may disclose records to the 

Department of Justice and the Office of 

Management and Budget if the 

Department concludes that disclosure is 

desirable or necessary in determining 

whether particular records are required 

to be disclosed under the FOIA. 

(6) Congressional Member Disclosure. 

The Department may disclose records to 

a member of Congress from the record 

of an individual in response to an 

inquiry from the member made at the 

written request of that individual. The 

member’s right to the information is no 

greater than the right of the individual 

who requested it. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND 

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

These records are kept in legal size 

files in filing cabinets. 

RETRIEVABILITY: 

These records are retrievable by name 

in most cases. In some instances, these 

records are retrievable by crossreference to index cards containing the 

name of the party involved and the 

subject matter. 

SAFEGUARDS: 

These records are only accessible to 

General Counsel staff. Office buildings 

in which these records are maintained 

are locked after the close of the business 

day. 

RETENTION AND DISPOSAL: 

The records are maintained for an 

indefinite duration. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant General Counsel, Ethics 

Counsel Division, Office of the General 

Counsel, U.S. Department of Education, 

400 Maryland Avenue, SW, Room 

6E231, Washington, DC 20202. 

NOTIFICATION PROCEDURE: 

If you wish to determine whether a 

record exists regarding you in the 

system of records, contact the system 

manager. Your request must meet the 

requirements of the Department of 

Education’s Privacy Act regulations at 

34 CFR 5b.5, including proof of identity. 

RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record 

regarding you in the system of records, 

contact the system manager. Your 

request must meet the requirements of 

the regulations at 34 CFR 5b.5, 

including proof of identity. 

CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of 

a record regarding you in the system of 

records, contact the system manager. 

Your request must meet the 

requirements of the regulations at 34 

CFR 5b.7. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

None. 

18-09-04 

SYSTEM NAME: 

Litigation Files, Administrative 

Complaints, and Adverse Personnel 

Actions. 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

Office of the General Counsel, U.S. 

Department of Education, 400 Maryland 

Avenue, SW., Room 6E301, Washington, 

DC 20202. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM: 

The individuals on whom records are 

maintained in this system are 

individuals who are involved in 

litigation with the Department or the 

United States (regarding matters within 

the jurisdiction of the Department) 

either as plaintiffs or as defendants in 

both civil and criminal matters, and 

individuals who either file 

administrative complaints initiated by 

the Department, except claims which 

are the subjects of records maintained in 

the Administrative Claims System. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

These records contain information 

pertaining to the subject matter of the 

litigation, administrative complaint, or 

adverse personnel action. Such records 

would include complaints, litigation 

reports, administrative transcripts, 

various litigation documents, 

investigative materials, correspondence, 

briefs, court orders and judgments, and 

in cases where personal injury is 

involved, evaluations by physician 

specialists. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The authority for maintaining this 

system are the various statutes, 

regulations, rules or orders pertaining to 

the subject matter of the litigation, 

administrative complaint or adverse 

personnel action, (e.g., Civil Rights Act, 

Federal Torts Claim Act). 

PURPOSE(S): 

The information in this system is used 

for litigating civil cases, criminal cases 

and administrative complaints to which 

the Department or the United States is 

a party. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES: 

The Department of Education 

(Department) may disclose information 

contained in a record in this system of 

records under the routine uses listed in 

this system of records without the 

consent of the individual if the 

disclosure is compatible with the 

purposes for which the record was 

collected. These disclosures may be 

made on a case-by-case basis or, if the 

Department has complied with the 

computer matching requirements of the 

Act, under a computer matching 

agreement. 

(1) Disclosure for Use by Other Law 

Enforcement Agencies. The Department 

may disclose information to any 

Federal, State, local, or foreign agency 

or other public authority responsible for 

enforcing, investigating, or prosecuting 

violations of administrative, civil, or 

criminal law or regulation if that 

information is relevant to any 

enforcement, regulatory, investigative, 

or prosecutive responsibility within the 

receiving entity’s jurisdiction. 
Federal Register / Vol. 64, No. 107 / Friday, June 4, 1999 / Notices 30151 

(2) Enforcement Disclosure. In the 

event that information in this system of 

records indicates, either on its face or in 

connection with other information, a 

violation or potential violation of any 

applicable statute, regulation, or order 

of a competent authority, the 

Department may disclose the relevant 

records to the appropriate agency, 

whether foreign, Federal, State, Tribal, 

or local, charged with the responsibility 

of investigating or prosecuting that 

violation or charged with enforcing or 

implementing the statute, executive 

order, rule, regulation, or order issued 

pursuant thereto. 

(3) Employment, Benefit, and 

Contracting Disclosure. 

(a) For Decisions by the Department. 

The Department may disclose a record 

to a Federal, State, or local agency 

maintaining civil, criminal, or other 

relevant enforcement or other pertinent 

records, or to another public authority 

or professional organization, if 

necessary to obtain information relevant 

to a Department decision concerning the 

hiring or retention of an employee or 

other personnel action, the issuance of 

a security clearance, the letting of a 

contract, or the issuance of a license, 

grant, or other benefit. 

(b) For Decisions by Other Public 

Agencies and Professional 

Organizations. The Department may 

disclose a record to a Federal, State, 

local, or foreign agency or other public 

authority or professional organization, 

in connection with the hiring or 

retention of an employee or other 

personnel action, the issuance of a 

security clearance, the reporting of an 

investigation of an employee, the letting 

of a contract, or the issuance of a 

license, grant, or other benefit, to the 

extent that the record is relevant and 

necessary to the receiving entity’s 

decision on the matter. 

(4) Litigation and Alternative Dispute 

Resolution (ADR) Disclosures. 

(a) Introduction. In the event that one 

of the parties listed below is involved in 

litigation or ADR, or has an interest in 

litigation ADR, the Department may 

disclose certain records to the parties 

described in paragraphs (b), (c) and (d) 

of this routine use under the conditions 

specified in those paragraphs: 

(i) The Department of Education, or 

any component of the Department; or 

(ii) Any Department employee in his 

or her official capacity; or 

(iii) Any Department employee in his 

or her individual capacity if the 

Department of Justice (DOJ) has agreed 

to provide or arrange for representation 

for the employee; 

(iv) Any Department employee in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

(v) The United States where the 

Department determines that the 

litigation is likely to affect the 

Department or any of its components. 

(b) Disclosure to the DOJ. If the 

Department determines that disclosure 

of certain records to the DOJ is relevant 

and necessary to litigation or ADR, the 

Department may disclose those records 

as a routine use to the DOJ. 

(c) Administrative Disclosures. If the 

Department determines that disclosure 

of certain records to an adjudicative 

body before which the Department is 

authorized to appear, an individual or 

entity designated by the Department or 

otherwise empowered to resolve or 

mediate disputes is relevant and 

necessary to the administrative 

litigation, the Department may disclose 

those records as a routine use to the 

adjudicative body, individual, or entity. 

(d) Parties, counsels, representatives 

and witnesses. If the Department 

determines that disclosure of certain 

records to a party, counsel, 

representative or witness in an 

administrative proceeding is relevant 

and necessary to the litigation, the 

Department may disclose those records 

as a routine use to the party, counsel, 

representative or witness. 

(5) Freedom of Information Act 

(FOIA) Advice Disclosure. The 

Department may disclose records to the 

Department of Justice and the Office of 

Management and Budget if the 

Department concludes that disclosure is 

desirable or necessary in determining 

whether particular records are required 

to be disclosed under the FOIA. 

(6) Congressional Member Disclosure. 

The Department may disclose records to 

a member of Congress from the record 

of an individual in response to an 

inquiry from the member made at the 

written request of that individual. The 

member’s right to the information is no 

greater than the right of the individual 

who requested it. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND 

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

These records consist of legal size 

files stored in file cabinets. 

RETRIEVABILITY: 

These records are retrievable by name 

of the plaintiff or the first plaintiff if 

there is more than one, or by the name 

of the first defendant if the plaintiff is 

the United States. In the case of adverse 

personnel actions, records are 

retrievable by name of the individual 

involved. 

SAFEGUARDS: 

Office buildings in which these 

records are maintained are locked after 

the close of the business day. These 

records are only accessible by General 

Counsel staff. 

RETENTION AND DISPOSAL: 

These records are maintained in 

accordance with the Department of 

Education Records Disposition 

Schedules (ED/RDS). 

SYSTEM MANAGER(S) AND ADDRESS: 

The General Counsel, Office of the 

General Counsel, U.S. Department of 

Education, 400 Maryland Avenue, SW., 

Room 6E301, Washington, DC 20202. 

NOTIFICATION PROCEDURE: 

If you wish to determine whether a 

record exists regarding you in the 

system of records, contact the system 

manager. Your request must meet the 

requirements of the regulations at 34 

CFR 5b.5, including proof of identity. 

RECORD ACCESS PROCEDURES: 

If you wish to gain access to a record 

regarding you in the system of records, 

contact the system manager. Your 

request must meet the requirements 

regulations at 34 CFR 5b.5, including 

proof of identity. 

CONTESTING RECORD PROCEDURES: 

If you wish to contest the content of 

a record regarding you in the system of 

records, contact the system manager. 

Your request must meet the 

requirements of the regulations at 34 

CFR 5b.7. 

RECORD SOURCE CATEGORIES: 

The information for this system is 

obtained through a number of sources 

including the exchange of legal 

pleadings, documents, formal and 

informal discovery, program offices and 

component agencies, private attorneys, 

State and local governments, their 

agencies and instrumentalities, and 

officers of other Federal agencies and 

the individuals involved. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

None. 

18–10–01 

SYSTEM NAME: 

Investigative Files of the Inspector 

General. 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

Office of Inspector General, U.S. 

Department of Education, 330 C Street,