5 U.S.C.

552a

ED Compilation of Privacy Act Issuances

Index of System and System Numbers Consolidated System of Records Notice
(System linked by Privacy Act Issuance system number)

Link to Notices by Principal Office: OS, OESE, OCFO, OCIO, OM, OCO, OLCA, OCR, OGC, OIG, FSA, OPE, IES, OESE,
OELA, OSERS, OPEPD

Routine Uses

6

OS 18-01-01 Secretary’s Communications Control System............................................................9 18-01-02 Education Senior Management Biographies............................................................13 OCFO 18-03-01 Debarment and Suspension Proceedings under Executive Order (E.O.) 12549, the Drug-Free Workplace Act, and the Federal Acquisition Regulation....................................................................................................................15 18-03-02 Education’s Central Automated Processing System (EDCAPS).............................19 18-03-03 Receivables Management System..............................................................................23 18-03-04 Files and Lists of Potential and Current Consultants, Grant Application Reviewers, Peer Reviewers, and Site Visitors...........................................................27 18-03-05 Travel Manager System..............................................................................................31 OCIO 18-04-01 Freedom of Information Act and Privacy Act Case Files........................................36 18-04-02 Freedom of Information Act and Privacy Act Tracking System.............................41 18-04-03 ED Web Personalization Pilot Data Collection.........................................................46 OM 18-05-01 Departmental Parking Control Policy.......................................................................50 18-05-02 Family Educational Rights and Privacy Act (FERPA) and the Protection of Pupil Rights Amendment (PPRA) Record Systems.................................................52 18-05-03 Federal Personnel Payroll System.............................................................................55 18-05-04 Discrimination Complaints Records System............................................................60 18-05-05 Grievances Filed Formally Under the Administrative Grievance Procedure.......63 2

ED Compilation of Privacy Act Issuances

18-05-06 Grievance Records Filed Under Procedures Established By Labor-Management Negotiations..............................................................................67 18-05-07 Unfair Labor Practice Records..................................................................................70 18-05-08 Official Time Records of Union Officials and Bargaining Unit Employees at the Department of Education................................................................................73 18-05-09 Voluntary Leave Transfer (VLT) Program...............................................................76 18-05-10 General Performance Appraisal System (GPAS).....................................................79 18-05-11 Training Registration and Information System (TRAINS).....................................84 18-05-12 Grievances Filed Informally Through the Informal Dispute Resolution Center (IDR Center)...................................................................................................89 18-05-13 Child Care Subsidy Program System........................................................................93 18-05-14 Human Capital Learning and Performance Improvement System.......................97 18-05-15 Student Loan Repayment Benefits Case Files........................................................106 18-05-17 Investigatory Material Compiled for Personnel Security and Suitability, Positive Identification Verification and Access Control for the Department of Education Security Tracking and Reporting System (EDSTAR)............................................110 18-05-18 Education Publications Center (ED PUBS)............................................................117 OCO 18-06-01 Federal Advisory Committee Membership Files....................................................121 18-06-02 Telephone Directory/Locator System......................................................................124 18-06-03 Presidential Scholars Program--Files of Selected Participants.............................127 18-06-04 Satellite Event Participant Registration System....................................................131 18-06-05 Partners in Education...............................................................................................135 OLCA 18-07-01 Congressional Members' Biographies System........................................................138 3

ED Compilation of Privacy Act Issuances

18-07-02 Congressional Grant Notification Control System.................................................140 OCR 18-08-01 Complaint Files and Log...........................................................................................143 OGC 18-09-01 Administrative Claims..............................................................................................148 18-09-02 OGC Attorney Applicant Files................................................................................151 18-09-03 Employee Conduct--Government Ethics................................................................153 18-09-04 Litigation Files, Administrative Complaints, and Adverse Personnel Actions....156 18-09-05 Department of Education Federal Docket Management System (EDFDMS).....159 OIG 18-10-01 Investigative Files of the Inspector General...........................................................163 18-10-02 Moved to 18-05-17 18-10-03 Non-Federal Auditor Referral, Suspension, and Debarment File........................168 18-10-04 Hotline Complaint Files of the Inspector General.................................................172 FSA 18-11-01 Federal Student Aid Application File......................................................................176 18-11-02 Recipient Financial Management System...............................................................181 18-11-03 Student Financial Assistance Validation File..........................................................184 18-11-05 Title IV Program Files.............................................................................................187 18-11-06 National Student Loan Data System (NSLDS).......................................................194 18-11-07 Student Financial Assistance Collection Files.........................................................199 18-11-08 Student Account Manager System...........................................................................204 4

ED Compilation of Privacy Act Issuances

18-11-09 Postsecondary Education Participants System (PEPS).........................................209 18-11-10 Student Aid Internet Gateway (SAIG) Enrollment................................................213 18-11-11 Office of the Student Loan Ombudsman Records..................................................218 18-11-12 The Department of Education (ED) PIN (Personal Identification Number).......221 18-11-13 Student Authentication Network Audit File...........................................................225 18-11-14 FSA Students Portal..................................................................................................229 18-11-15 Return of Title IV Funds on the Web(R2T4OTW)………………………………238 18-11-16 Common Services for Borrowers (CSB)..................................................................243 OPE 18-12-01 Title VI Foreign Language and Area Studies Fellowships (FLAS).......................251 18-12-02 Fulbright-Hays--Doctoral Dissertation Research Abroad (DDRA), Faculty Research Abroad (FRA), Seminars Abroad (SA), Fellows....................................255 18-12-03 Jacob K. Javits Fellowship System..........................................................................259 18-12-04 Title VI International Research and Studies Program (IRS)................................263 18-12-05 Graduate Assistance in Areas of National Need (GAANN) Program Assessment System....................................................................................................267 18-12-06 Teacher Quality Recruitment Scholarship System................................................270 IES 18-13-01 National Center for Education Statistics Longitudinal Studies and the School and Staffing Surveys.....................................................................................274 18-13-02 National Center for Education Statistics Affidavits of Nondisclosure.................277 18-13-03 National Center for Education Statistics' National Assessment of Educational Progress................................................................................................280 18-13-04 Outcomes of Diversity in Higher Education Study................................................284 5

ED Compilation of Privacy Act Issuances

18-13-05 Moved to 18-05-18.....................................................................................................117 18-13-06 What Works Clearinghouse (WWC) Database......................................................290 18-13-07 DC Choice Program Evaluation..............................................................................294 18-13-08 Early Reading First National Evaluation……………………………………….. 297 18-13-09 Even Start Classroom Literacy Interventions and Outcomes Study...................300 18-13-10 Impact Evaluation of Teacher Preparation Models...............................................303 18-13-11 Evaluation of the Impact of Teacher Induction Programs....................................306 18-13-12 Evaluation of Impact of Literacy Interventions on Freshman Academies..........309 18-13-13 Impact Evaluation of Academic Instruction for After-School Programs.............312 18-13-14 Impact Evaluation of the U.S. Department of Education’s Student Mentoring Program....................................................................................................................315 18-13-15 Impact Evaluation of the School-Based Violence Protection Programs………..318 18-13-16 Impact Evaluation of Mandatory-Random Student Drug Testing.......................321 18-13-17 Impact Evaluation of Upward Bound's Increased Focus on Higher-Risk Students.......................................................................................................................324 OESE 18-14-01 Educationally Disadvantaged Students Attending Private Schools Served Through Bypass Contracts.......................................................................................327 18-14-02 Fellowships for Indian Students--Applications and Awards.................................331 18-14-03 Native Hawaiian Education Council Membership.................................................333 OELA 18-15-01 Bilingual Education Graduate Fellowship Program..............................................336 OSERS 18-16-01 OSEP Customer Tracking Service System..............................................................340 6

ED Compilation of Privacy Act Issuances

18-16-02 RSA-911 Case Service Report.............................................................................344 18-16-03Study of Former Vocational Rehabilitation Consumers' Post-Program Experiences (Post-Vocational Rehabilitation Experiences Study)……………..348 OPEPD 18-17-01 The Graduate Fellowship Program Participant Study..........................................351 18-17-02 Follow-up Evaluation of the Gear Up Program.....................................................355 System Notice Template.............................................................................................................358 Key to Organization Acronyms................................................................................................359

7

Routine Uses Paragraph (b)(3) of section 552a permits disclosure for a routine use. A routine use is a use of a record for a purpose which is compatible with the purpose for which the record was collected. Each routine use for which an agency may disclose a record must be published in the notice of the system of records for which the use will apply. Many of the systems of records maintained by the Department use standard routine uses. These standard routine uses were published in Appendix B to the Department's Privacy Act regulations (34 CFR part 5b, May 9, 1980, 45 FR 30808). A system that adopts a standard routine use refers to Appendix B. For ease of reading, the routine uses listed in Appendix are appended to this document before the Index of Systems and System Numbers. Appendix B of Departmental Regulations (34 CFR part 5b) Routine Uses Applicable To More Than One System of Records Maintained by ED: (1) In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether federal, or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. (2) Referrals may be made of assignments of research investigators and project monitors to specific research projects to the Smithsonian Institution to contribute to the Smithsonian Science Information Exchange, Inc. (3) In the event the Department deems it desirable or necessary, in determining whether particular records are required to be disclosed under the Freedom of Information Act, disclosure may be made to the Department of Justice for the purpose of obtaining its advice. (4) A record from this system of records may be disclosed as a "routine use" to a federal, state or local agency maintaining civil, criminal or other relevant enforcement records or other pertinent records, such as current licenses, if necessary to obtain a record relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit. A record from this system of records may be disclosed to a federal agency, in response to its request, in connection with the hiring or retention of an employee, 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 by the requesting agency, to the extent that the record is relevant and necessary to the requesting agency's decision on the matter. (5) In the event that a system of records maintained by this agency to carry out its function indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in

the system of records may be referred, as a routine use, to the appropriate agency, whether state or local charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. (6) Where federal agencies having the power to subpoena other federal agencies' records, such as the Internal Revenue Service or the Civil Rights Commission, issue a subpoena to the Department for records in this system of records, the Department will make such records available. (7) Where a contract between a component of the Department and a labor organization recognized under E.O. 11491 provides that the agency will disclose personal records relevant to the organization's mission, records in this system of records may be disclosed to such organization. (8) Where the appropriate official of the Department, pursuant to the Department's Freedom of Information Regulation determines that it is in the public interest to disclose a record which is otherwise exempt from mandatory disclosure, disclosure may be made from this system of records. (9) The Department contemplates that it will contract with a private firm for the purpose of collating, analyzing, aggregating or otherwise refining records in this system. Relevant records will be disclosed to such a contractor. The contractor shall be required to maintain Privacy Act SAFEGUARDS with respect to such records. (10) To individuals and organizations, deemed qualified by the Secretary to carry out specific research solely for the purpose of carrying out such research. (11) Disclosures in the course of employee discipline or competence determination proceedings. A complete index of systems of records covered by this notice follows:

18-01-01 Secretary’s Communications Control System
(64 FR 30108-30109)

18-01-01 June 4, 1999 SYSTEM NAME: Secretary's Communications Control System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Office of the Executive Secretariat, Office of the Secretary, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7C114, Washington, DC 20202. See the Appendix at the end of this system notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records about individuals who have contacted the Secretary, Deputy Secretary, Senior Officers or other officials of the Department for whom the Department controls responses. CATEGORIES OF RECORDS IN THE SYSTEM: This system includes the following types of records: (1) The official correspondence files of each principal office within the Department, and where applicable, a principal office's component office, specifically the hard copies of official documents and electronic images of certain incoming and outgoing documents; (2) Control information from the Secretary's, Deputy Secretary's, Senior Officers' and other officials' correspondence that include a subject narrative, the name of the organization drafting the response and the type of action required from the Department; and (3) records of responses to some telephone inquiries where officials determine that a written response should be controlled. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 301. PURPOSE(S): This system of records is maintained to account for the correspondence received by the Department, including correspondence regarding individual concerns and complaints regarding programs administered by the Secretary. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE 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 purpose 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) Government and Privacy Organization Disclosure. The Department may disclose records to governmental entities and private organizations as necessary to resolve complaints, provide guidance, respond to requests for documents and information, and address concerns regarding those entities and organizations. (2) Congressional 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. (3) 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 or ADR, the Department may disclose certain records to the

parties described in paragraphs (b), (c) or (d) of this routine use under the conditions specified in those paragraphs: (i) The Department of Education, 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; or (iv) Any Department employee in his or her official 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 Disclosure. 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 litigation or an administrative proceeding in which the Department has an interest is relevant and necessary to the litigation or proceeding, the Department may disclose those records as a routine use to the party, counsel, representative or witness. DISCLOSURES TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b) (12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) The amount, status and history of the claim; and (3) The program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in hard copy filed in standard file cabinets; those stored electronically are located on computer disks and on backup media. RETRIEVABILITY: Files are indexed and retrievable by subject, name of the individual or by the document's control number that is assigned at the time the correspondence is logged into the Department. SAFEGUARDS: All physical access to the Department of Education sites are controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. During working hours, direct access to the file cabinets is limited to authorized staff. During non-working hours, the rooms in which the file cabinets are located are locked and only those individuals with access to those rooms can access the hard copies of records. The computer systems employed by the Department of Education offer a high degree of resistance to tampering and circumvention.

RETENTION AND DISPOSAL: Hard copy records are transferred to the Washington National Records Center one year after cutoff then transferred to the National Archives and Records Administration 10 years after cutoff. Control records on computer are stored indefinitely. Electronic images are retained based on regular records disposal or retention policies identical to hard copies. SYSTEM MANAGER(S) AND ADDRESS: Executive Secretariat, Office of the Secretary, 400 Maryland Avenue, SW., Room 7C114, Washington, DC 20202. See Appendix at the end of this system notice for additional system managers. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, contact the system manager at the address listed in the Appendix at the end of this system notice. You should indicate your name, the date of the subject documents and reasonable description of the subject matter of the issue involved. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: To gain access to records regarding you in this system of records, follow the Notification Procedure described above. 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 this system of records, contact the system manager at the address listed in the Appendix at the end of this system notice, and reasonably identify the record and specify the information to be contested. Your request must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Records are derived from documents addressed to or by the Secretary, the Deputy Secretary, Senior Officials or other officials of the Department. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-01-01 Additional System Locations and System Managers Director, Office of the Executive Secretariat, Office of the Secretary, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7C114, Washington, DC 20202. Management Analyst, Office of Chief Financial and Chief Information Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4E213, Washington, DC 20202. Supervisor, Management and Program Analyst, Office for Civil Rights, U.S. Department of Education, 330 C Street, SW., Room 5026, Washington, DC 20202. Staff Assistant, Office of the Deputy Secretary, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7W210, Washington, DC 20202. Program Management Analyst, Office of Educational Research and Improvement, U.S. Department of Education, 555 New Jersey Avenue, NE., Room 602, Washington, DC 20202. Policy Coordinator Analyst, Office of Elementary and Secondary Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3W337, Washington, DC 20202. Operations Officer, Office of General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., Room 6E353, Washington, DC 20202. Staff Assistant, Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 5E317, Washington, DC 20202.

Director, Congressional Affairs, Office of Legislation and Congressional Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC 20202. Director, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W300, Washington, DC 20202. Deputy Director, Office of Public Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E231, Washington, DC 20202. Management and Program Analyst, Office of Postsecondary Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4082, Washington, DC 20202. Customer Service Specialist, Office of Special Education and Rehabilitative Services, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3113, Washington, DC 20202. Executive Secretariat Liaison, Office of Vocational and Adult Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4090, Washington, DC 20202.

18-01-02 Education Senior Management Biographies
(64 FR 30109-30112)

18-01-02 June 4, 1999 SYSTEM NAME: Education Senior Management Biographies. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Office of the Secretary, Office of Public Affairs (OPA), U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E200, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains information on Department of Education (Department) senior management officials, including the Secretary, Deputy Secretary, Under Secretary, General Counsel, and Assistant Secretaries. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of a short biography and a standard portrait photograph, both of which the senior Department official may elect to provide. The biography includes the official's name, title, office, and a brief overview of the duties performed at the Department. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 301 PURPOSE(S): The information contained in this system is made available to the public and staff of the Department who have an interest in seeing the photographs or reading the background information on senior Department officials. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: The Department (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) General Interest Disclosure. The records in this system may be released to the public who have an interest in the background or photographs or both of Department senior officials. (2) Media Disclosure. The Department may disclose records in this system for use by the news media and education organizations when preparing articles, interviews or presentations at meetings with senior Department officials. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The biographies and photographs are available in electronic format on the Department's Internet website (http://www.ed.gov). Hard copies of the biographies and photographs are kept in file cabinets in OPA and in the individual offices of the respective Department senior officials. RETRIEVABILITY: The biographies and photographs are indexed by the officials' last names in alphabetical order. The general public is encouraged to access this information via the Department's website (http://www.ed.gov). Hard copies are retrieved by the last name of the senior Department official.

SAFEGUARDS: No Safeguards are in place since the Department senior management officials agree to the release of this information to the general public. RETENTION AND DISPOSAL: Paper copies of biographical information of senior level officials are transferred to the National Archives and Records Administration for permanent preservation at the end of each calendar year. Electronic copies of biographical information are periodically updated as circumstances warrant due to promotions, reassignments, resignations and death. SYSTEM MANAGER(S) AND ADDRESS: Deputy Director, Office of Public Affairs (OPA), U.S. Department of Education, 400 Maryland Avenue, SW., 7E200, Washington, DC 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, provide the system manager with your name, title and office at the time your biographical information was submitted. Requests for notification about an individual must meet the requirements of the regulations at 34 CFR 5b.5. RECORD ACCESS PROCEDURES: If you wish to gain access to a record in this system, contact the system manager and provide the information described above in the Notification Procedure. CONTESTING RECORD PROCEDURES: If you wish to contest the content of a record, contact the system manager. Any requests to amend a record must meet the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system is obtained from the Offices of the Secretary, the Deputy Secretary, the Under Secretary, the General Counsel and the Assistant Secretaries. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-03-01 Debarment and Suspension Proceedings under Executive Order (E.O.) 12549, the Drug-Free Workplace Act, and the Federal Acquisition Regulation.
18-03-01
(64 FR 30112-30114) June 4, 1999

SYSTEM NAME: Debarment and Suspension Proceedings under Executive Order (E.O.) 12549, the DrugFree Workplace Act, and the Federal Acquisition Regulation. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: For records regarding actions under E.O. 12549 against individuals who are involved in nonprocurement transactions related to Department of Education programs, actions under the Drug-Free Workplace Act, and actions under the FAR 9.4: Contracts & Purchasing Office, Office of the Chief Financial Officer, U.S. Department of Education, Seventh and D Streets, SW., Room 3600, ROB-3, Washington, DC 20202-4249. For records regarding actions under E.O. 12549 against an individual certified public accountant or principals of a CPA firm: Planning, Analysis, and Management Services, Office of Inspector General, U.S. Department of Education, 330 C Street, SW., Room 4022, Switzer Building, Washington, DC 20202-1510. For records regarding actions under E.O. 12549 against principals of institutions of higher education, principals of lenders, or principals of guarantee agencies: Administrative Actions and Appeals Division, Institutional Participation and Oversight Service, Office of Student Financial Assistance Programs, U.S. Department of Education, Seventh & D Streets, SW., Room 3082, ROB-3, Washington, DC 20202-5267. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Principals undergoing debarment or suspension proceedings and principals that have been debarred or suspended. Principals are officers, directors, owners, partners, key employees, or other persons who have a critical influence on or substantive control over a covered transaction, whether or not employed by a participant. A participant is any person who submits a proposal for, enters into, or reasonably may be expected to enter into a covered transaction. A covered transaction is described in the Department's regulations at 34 CFR 85.110(a)(1). Individuals receiving grants subject to requirements under the Drug-Free Workplace Act. Individual contractors undergoing debarment or suspension proceedings and contractors that have been debarred or suspended. Contractors covered by this system of records are individuals that directly or indirectly submit offers for or are awarded, or may reasonably be expected to submit offers for or be awarded, a government contract, or who conduct business, or may reasonably be expected to conduct business with the Department as an agent or representative of another contractor. CATEGORIES OF RECORDS IN THE SYSTEM: Contains documents including written referrals, communications between the Department and the respondent, intra-agency and inter-agency communications regarding proposed or completed debarments or suspensions, and a record of any findings from debarment or suspension proceedings against individuals under E.O. 12549, the Drug-Free Workplace Act, and the FAR 9.4. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Executive Order 12549, Debarment and Suspension; secs. 5151-5160 of the Drug-Free Workplace Act; and the Federal Acquisition Regulation, 48 CFR part 9, subpart 9.4, Debarment, Suspension, and Ineligibility; Pub. L. 103-355, sec. 2455.

PURPOSE(S): Information contained in this system of records is used to protect the Federal Government from the actions prohibited under the Department of Education (Department) debarment and suspension regulations, Drug-Free Workplace regulations, and the FAR; make decisions regarding debarments and suspensions; and ensure that other Federal agencies give effect to debarment or suspension decisions rendered by the Department. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: The 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) Litigation Disclosure. In the event that one of the parties listed below is involved in litigation, or has an interest in litigation, the Department may disclose certain records to the parties described in paragraphs (2), (3), and (4) 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 employee of Department in his or her individual capacity where the Department of Justice has agreed to provide or arrange for representation for the employee; or (iv) Any employee of Department in his or her individual capacity where the agency has agreed to represent the employee; or (v) The United States where Department determines that the litigation is likely to affect the Department or any of its components. (2) Disclosure to the Department of Justice. If the Department determines that disclosure of certain records to the Department of Justice or attorneys engaged by the Department of Justice is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the Department of Justice. (3) Administrative Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, individual or entity designated by the Department or otherwise empowered to resolve disputes is relevant and necessary to the administrative litigation and is compatible with the purposes for which the records were collected, the Department may disclose those records as a routine use to the adjudicative body, individual or entity. (4) Opposing counsels, representatives and witnesses. If the Department determines that disclosure of certain records to an opposing counsel, representative or witness in an administrative proceeding is relevant and necessary to the litigation and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the counsel, representative or witness. (5) Disclosure to the General Services Administration. The Department makes information contained in this system of records available to the General Services Administration for inclusion in the Lists of Parties Excluded from Federal Procurement or Nonprocurement Programs. (6) Disclosure to the Public. The Department provides information to persons inquiring about individuals who have been debarred or suspended by the Department as necessary to enforce debarment and suspension actions. (7) 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 relevant records in the system of records may be referred, as a routine use, to the appropriate agency,

whether foreign, Federal, State, tribal, or local, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or executive order or rule, regulation, or order issued pursuant thereto. (8) FOIA Advice Disclosure. In the event the Department deems it desirable or necessary, in determining whether particular records are required to be disclosed under the Freedom of Information Act, disclosure may be made to the Department of Justice for the purpose of obtaining its advice. (9) Contract disclosure. If the Department contracts with an entity for the purpose of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records as a routine use to those employees. Before entering such a contract, the Department shall require the contractor to maintain Privacy Act SAFEGUARDS as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. Where the appropriate official of the Department determines that an individual or organization is qualified to carry out specific research, that official may disclose information from this system of records to that researcher solely for the purpose of carrying out that research. The researcher shall be required to maintain Privacy Act SAFEGUARDS with respect to such records. (11) 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: Records are kept in file folders in locked file cabinets. RETRIEVABILITY: The records are indexed by the names of the individuals. SAFEGUARDS: All physical access to the site where this system of records is maintained is controlled and monitored by security personnel who check each individual entering the building for his or her employee badge. Files are kept in locked file cabinets. Immediate access to these records is restricted to authorized staff. RETENTION AND DISPOSAL: Pending disposal, Debarment and Suspension records are retained at the system location. The Department will retain and dispose of the records in accordance with the Department of Education Records Disposition Schedules (ED/RDS). SYSTEM MANAGER(S) AND ADDRESS: Director, Grants Policy & Oversight Staff, Contracts & Purchasing Office, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3652, ROB-3, Washington, DC 20202-0498. Assistant Inspector General for Planning, Analysis, and Management Services, Office of Inspector General, U.S. Department of Education, Maryland Avenue, SW., Room 4022, Mary E. Switzer Building, Washington, DC 20202-1510. Director, Administrative Actions and Appeals Division, Institutional Participation and Oversight Service, Office of Student Financial Assistance Programs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3082, ROB-3, Washington, DC 20202-5267.

NOTIFICATION PROCEDURE: If an individual wishes to determine whether a record exists regarding him or her in this system of records, the individual must provide the system manager his or her name, date of birth and social security number. Requests for notification about an individual record must meet the requirements of the regulations at 34 CFR 5b.5. RECORD ACCESS PROCEDURES: If an individual wishes to gain access to a record in this system, he or she must contact the system manager and provide information as described in the notification procedure. Requests for access to an individual's record must meet the requirements of the regulations at 34 CFR 5b.5. Consistent with 5 U.S.C. 552a(e)(5), the Department retains the discretion not to disclose records to an individual during the course of a debarment or suspension proceeding against the individual. CONTESTING RECORD PROCEDURES: If an individual wishes to change the content of a record in the system of records, he or she must contact the system manager with the information described in the notification procedure, identify the specific item(s) to be changed, and provide a written justification for the change, including any supporting documentation. Requests to amend a record must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Department employees involved in the management of grants and contracts, and other organizations or persons that may have relevant information regarding participants and their principals. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-03-02 Education's Central Automated Processing System (EDCAPS)
(64 FR 30114-30116)

18-03-02 June 4, 1999 SYSTEM NAME: Education's Central Automated Processing System (EDCAPS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Recipient System (RS), Payment Management Service & Reporting Unit, Financial Payments & Cash Management Operations, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4W202, Washington, DC 20202. Financial Management Software System (FMSS), General Ledger Systems Group, Financial Reporting and Systems Operations, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4W202, Washington, DC 20202. Contracts and Purchasing Support System, Support Services Group, Contracts and Purchasing Operations, Office of the Chief Financial Officer, U.S. Department of Education, Seventh & D Streets, SW., Room 3616, ROB-3, Washington, DC 20202-4651. Contracts and Purchasing Support System (CPSS) National Finance Center, Department of Agriculture, New Orleans, Louisiana. Grants Administration and Payments System (GAPS) Grants and Contract Management System (GCMS) and the Payment Management System PMS). The grant application portion of GAPS will be managed by the Grants Policy & Oversight Staff, Office of the Chief Financial Officer, GSA Regional Office Building 3, Seventh & D Streets, SW, Room 3652, Washington, DC 20202-4651. The GAPS payment process will be managed by Payment Management Service & Reporting Unit, Financial Payments & Cash Management Operations, Office of the Chief Financial Officer, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Categories of individuals include employees of the Department, consultants, contractors, grantees, advisory committee members, and other individuals receiving funds from the department for performing services for the Department. Although EDCAPS contains information about institutions associated with individuals, the purpose for which the Department collects and maintains information under this system of records, and its usage of this information, pertains only to individuals protected under the Privacy Act of 1974 (5 U.S.C. 552a). CATEGORIES OF RECORDS IN THE SYSTEM: Records in this system contain the individual's name, address, Social Security number, eligibility codes, detailed and summary obligation data, reports of expenditures, and grant management data, including application and close out information. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 44 U.S.C. 301. PURPOSE(S): The purpose of EDCAPS is to maintain financial and management records associated with the normal operations of the Department. Records are used for managing grant and contract awards, making payments, accounting for goods and services provided and received, enforcing eligibility requirements, conditions in awards and U.S. law relating to transactions covered by the system, and defending the Department in actions relating to those transactions. EDCAPS consists of four subsystems, as follows: RS (Recipient System) RS serves as the recipient database for EDCAPS land the central repository of recipients having a relationship with the Department (e.g., receiving grantees.) It maintains core information about a recipient and tracks reference data to support information on recipients (e.g., countries, states, and congressional districts).

FMSS (Financial Management Software System) The purpose of FMSS is to serve as the official general ledger for the Department. It also performs all funds control checks for all EDCAPS obligations, either by the GAPS or by a contractor of the Department. FMSS maintains detailed information about obligations paid to the contractor and maintains general ledger level balance information for obligations paid directly by the Department through GAPS. GAPS (Grants Administration and Payment System) The purpose of GAPS is to administer the grants award processing from planning through closeout including disbursing funds to grants recipients for certain Department programs. Summary payment data are returned to FMSS for processing. GAPS maintains a record of grant awards by the Department, including management information collected during the award process. Payment information is retrievable in GAPS by Taxpayer Identification Number (TIN). The TIN for an individual is the social security number. The name, mailing address and other characteristic data related to federal grants or institutional loans are also maintained. CPSS (Contract and Purchasing Support System) The purpose of CPSS is to administer the contracts award process from planning to closeout. CPSS shares information with FMSS. CPSS maintains a record of contact awards by the Department, including management information collected during the award process. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE 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 agreement. (a) Litigation disclosure. (1) Disclosure to the Department of Justice. If the Department determines that disclosure of certain records to the Department of Justice is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the Department of Justice. Such a disclosure may be made in the event that one of the parties listed below is involved in the litigation, or has an interest in such litigation: (i) The Department or any component of the Department; or (ii) Any employee of the Department in his or her official capacity; or (iii) Any employee of the Department in his or her individual capacity where the Department of Justice has agreed to represent the employee; or (iv) Any employee of the Department in his or her individual capacity where the agency has agreed to represent the employer; or (v) The United States where the Department determines that the litigation is likely to affect the Department or any of its components. (2) Other litigation disclosures. If the Department determine that disclosure of certain records to a court, adjudicative body before which the Department is authorized to appear, individual or entity designated by the Department or otherwise empowered to resolve disputes, counsel or other representative, or potential witness is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the court, adjudicative body individual or entity, counsel or other representative, or witness. Such a disclosure may be made in the event that one of the parties listed below is involved in the litigation, or has an interest in the litigation; (i) The Department or any component of the Department; or (ii) Any employee of the Department in his or her official capacity; or

(iii) Any employee of the Department in his or her individual capacity where the Department has agreed to represent the employee; or (iv) The United States where the Department determines that litigation is likely to affect the Department or any of its components. (b) FOIA advice of disclosure. In the event the Department deems it desirable or necessary, in determining whether particular records are required to be disclosed under the Freedom of Information Act or other authority permitting disclosure of records, disclosure may be made to the Department of Justice for the purpose of obtaining its advice. (c) Contract disclosure. The Department may disclose information from this system of records as a routine use to the private firm or contractor with which the Department contemplates it will contract or with which it has contracted for the purpose of performing any functions or analyses that facilitate or are relevant to an investigation, audit, inspection, or other inquiry. Such contract or private firm shall be required to maintain Privacy Act safeguards with respect to such information. (d) 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 or any applicable statute, regulation, or order of a competent authority, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether foreign, Federal, State, Tribal, or local, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or executive order or rule, regulation, or order issued pursuant thereto. (e) 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552(a)(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(e)(4) and the procedures contained in subsection 31 U.S.C. 3711(f). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained on microfilm, microfiche, disk packs and magnetic tapes and stored in a retrievable file system retrievability: Records are indexed by name, or other individual identifier, and TIN. The records are retrieved by a manual or computer search by indices. SAFEGUARDS: Direct access is restricted to authorized Department staff performing official duties. Authorized staff are assigned passwords which must be used for access to computerized data. Also, an additional password is necessary to gain access to the system. The system-access password is changed frequently. The data is maintained in a secured-access area. RETENTION AND DISPOSAL: Files are regularly updated. Records are maintained for ten years. Inactive records are purged from the automated file every five years.

SYSTEM MANAGER(S) AND ADDRESS: The Registry System is managed by the Payment Management Service & Reporting Unit, Financial Payments & Cash Management Operations, Office of the Chief Financial Officer, U.S. Department of Education, Washington, DC 20202. The Financial Management Software System is managed by the General Ledger Systems Group, Financial Reporting and Systems Operations, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202. The Contracts and Purchasing Support System is managed by the Support Services Group, Contracts and Purchasing Operations, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3616, ROB-3, Washington, DC 20202-4651. The grant application portion of the Grants Administration and Payments System will be managed by the Grants Policy & Oversight Staff, Office of the Chief Financial Officer, U.S. Department of Education, Room 3652, ROB-3, Washington, DC 20202-4651. The GAPS payment process will be managed by Payment Management Service & Reporting Unit, Financial Payments & Cash Management Operations, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3332, Washington, DC 20202. NOTIFICATION PROCEDURE: If an individual wishes to determine whether a record pertaining to him or herself is the system of records, the individual should provide his or her name and Social Security number to the appropriate system manager. Such request must meet the requirements in the regulations at 34 CFR 5b.5. RECORD ACCESS PROCEDURES: If an individual wishes to gain access to a record in this system, he or she should contact the appropriate system manager and provide information as described in the notification procedure. Requests by an individual for access to a record must meet the requirements in the regulations at 34 CFR 5b.5. CONTESTING RECORD PROCEDURES: If an individual wishes to change the content of a record pertaining to himself or herself that is contained in the system or records, he or she should contact the appropriate system manager with the information described in the notification procedure, identify the specific items requested to be changed, and provide a justification for such change. A request to amend a record must meet the requirements in the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system will be obtained from applicants applying for a Department contract, grant, or loan at the time of application. Information will also be obtained from Department program offices, employees, consultants, and others performing personnel services for the Department. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-03-03 Receivables Management System
(64 FR 30116-30118)

18-03-03 June 4, 1999 SYSTEM NAME: Receivables Management System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Office of the Chief Financial Officer, Financial Improvement and Receivables Group, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-4330. Office of the Chief Information Officer, U.S. Department of Education, Seventh and D Streets, SW., Washington, DC 20202. Nationwide Credit, Inc., Credit Claims and Collection, 2253 Northwest Parkway, Marietta, GA 30067.Payco American Corporation, 180 N. Executive Drive, Brookfield, WI 530056011. CSC Credit Services, Inc., 7909 Parkwood Circle, Suite 200, Houston, TX 77036-6565. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals covered by the system include: Persons billed by the Department of Education (Department) for materials and services such as Freedom of Information Act requests and computer tapes of statistical data, persons ordered by a court of law to pay restitutions to the Department, individuals who received grants under the Bilingual Education Fellowship Program and who have not provided evidence to the Department of fulfilling their work requirements as described in the Bilingual Education Fellowship Program Contract, individuals who have received funds through the Rehabilitation Services Administration (RSA) Scholarship program and who have not provided evidence of fulfilling their obligations under that program, current and former Department employees who received overpayments on travel allowances or who received salary overpayments and the overpayments have not been waived by the Department, individuals who were overpaid or inappropriately paid under grant programs administered by the Department other than Title IV of the Higher Education Act of 1965, as amended (HEA) and claims against individuals, including orders by a court or other authority to make restitution for the misuse of Federal funds in connection with any program administered by the Department. CATEGORIES OF RECORDS IN THE SYSTEM: Documents maintained in the system include: activity logs, copies of checks, contracts, court orders, letters of notice, promissory notes, telephone logs, and related correspondence. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Federal Claims Collection Act of 1966; Debt Collection Act of 1982; and the Debt Collection Improvement Act of 1996. PURPOSE(S): The Receivables Management System is a database system that is kept for servicing general consumer debts owed to the Department and issuing reports of operations and the status of accounts to the U.S. Department of Treasury (Treasury) and the Office of Management and Budget. The receivables are generated from bills to individuals for materials and services from the Department, claims arising from court-ordered restitutions for any program administered by the Department, loans and overpayments to individuals under programs other than the student financial assistance programs authorized under Title IV of the Higher Education Act of 1965, as amended. Records will be used by debt servicing staff to bill debtors to the Department and collect the debts.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE 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. Disclosures under the following routine uses may be made on a case-bycase basis or, in appropriate circumstances under computer matching agreements authorized under the Privacy Act of 1974 (5 U.S.C. 552a). Records may be disclosed for the following debt servicing program purposes: (a) Program purposes: (1) To verify the identity and location of the debtor, disclosures may be made to credit agencies and Federal agencies. (2) To enforce the terms of a loan or where disclosure is required by Federal law, disclosure may be made to credit agencies, educational and financial institutions, and Federal, State, or local agencies. (b) Debt servicing. Records under routine use may be disclosed to the United States Department of the Treasury and privately contracted collection companies for debt servicing. (c) Litigation disclosure. (1) In the event that one of the parties listed below is involved in litigation, or has an interest in litigation, the Department may disclose certain records to the parties described in paragraphs (2), (3) and (4) of this routine use under the conditions specified in those paragraphs: (i) The Department, or any component of the Department; (ii) Any Department employee in his or her official capacity; (iii) Any employee of the Department in his or her individual capacity where the Department of Justice (DOJ) has agreed to provide or arrange for representation for the employee; (iv) Any employee of the Department 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. (2) Disclosure to the DOJ. If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the DOJ. (3) 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 disputes is relevant and necessary to the administrative litigation and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the adjudicative body, individual or entity. (4) Opposing counsel, representatives and witnesses. If the Department determines that disclosure of certain records to an opposing counsel, representative or witness in an administrative proceeding is relevant and necessary to the litigation and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the counsel, representative or witness. (5) 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 relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether foreign, Federal, State, Tribal, or local, charged with the responsibility of investigating or prosecuting this violation or charged with enforcing or implementing the statute, or executive order or rule, regulation, or order issued pursuant thereto. (6) Contract disclosure. If the Department contracts with an entity for the purpose of performing any function that requires disclosure of records in this system to employees of the

contractor, the Department may disclose the records as a routine use to those employees. Before entering into a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (7) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose individually identifiable information to OMB as necessary to fulfill CRA requirements. (8) Employee grievance, complaint or conduct disclosure. Records may be disclosed if a record maintained in this system of records is relevant to present or former employee grievance, complaint, discipline or competence determination proceedings of another agency of the Federal Government. In this case, the Department may disclose the record as a routine use in the course of the proceedings if the disclosure is compatible with the purposes for this system of records. (9) Labor organization disclosure. Records under this routine use may be disclosed whenever a contract between a component of the Department and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (10) Research disclosure. Records under this routine use may be disclosed whenever an appropriate official of the Department determines that an individual or organization is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher is required to maintain Privacy Act safeguards with respect to these records. (11) Freedom of Information Act (FOIA) Advice Disclosure. Records under this routine use may be disclosed to the DOJ and the OMB in the event that the Department deems it desirable or necessary in determining whether particular records are required to be disclosed under the FOIA. (12) Disclosure to the Department of Justice. Records may be disclosed under this routine use to the DOJ from this system of records as a routine use to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (13) Congressional member disclosure. The Department may disclose information from this system of 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 Members' 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: Records under this system will be kept on paper files in metal file cabinets and in data files in computers. They are stored in desktop and mainframe computers with records backed up on magnetic media. RETRIEVABILITY: The data will be retrieved by name, loan or case number, or Social Security number. SAFEGUARDS: All physical access to the sites of the Department of Education and the contractors where this system of records is maintained, are controlled and monitored by security personnel who check each individual entering the building for an employee's or visitor's badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department of Education and contract staff on a "need-to-know" basis, and controls individual users' ability to

access and alter records within the system. All users of this system are given a unique user ID. All interactions by individual users with the system are recorded. At contractor sites, access to all automated data processing facilities are restricted by photo identification, sign-in and out logs, CYPHER locks, or ID card readers. Smoke and fire detection devices are installed and maintained operational on all facilities including tape and disk library areas. Physical security of the building involves restricted access as well as 24-hour security guard at the ground-floor entrance to the building. Access to building is obtained through the use of key entry doors. The system permits entry to an individual only with an access code. RETENTION AND DISPOSAL: Records are disposed of in accordance with the National Archives and Records Administration's General Records Schedule (GRS) 6, items 1a, 10b, and 10c; and GRS 7. SYSTEM MANAGER(S) AND ADDRESS: Director, Financial Improvement and Post-Audit Operations, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4C135, Washington, DC 20202. NOTIFICATION PROCEDURE: If an individual wishes to determine whether a record exists regarding him or her in this system of records, the individual should provide the system manager his or her name, Social Security number, case or loan number, or other debt identifying number. Requests for notification about an individual must meet the requirements in the regulations at 34 CFR 5b.5. RECORD ACCESS PROCEDURES: If an individual wishes to gain access to a record in this system, he or she should contact the system manager and provide information described in the notification procedure. Requests by an individual for access to a record must meet the requirements in the regulations at 34 CFR 5b.5. CONTESTING RECORD PROCEDURES: If an individual wishes to change the content of a record in the system of records, he or she should contact the system manager with the information described in the notification procedure, identify the specific item(s) to be changed, and provide a written justification for the change. Requests to amend a record must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information is obtained from Department program offices, debtors, court orders, and probation officers. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-03-04 Files and Lists of Potential and Current Consultants, Grant Application Reviewers Peer Reviewers, and Site Visitors
18-03-04
(64 FR 30118-30119) June 4, 1999

SYSTEM NAME: Files and Lists of Potential and Current Consultants, Grant Application Reviewers Peer Reviewers, and Site Visitors. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: See the Appendix attached to this system notice. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals who have been or may be used by the Department as consultants, field readers, grant application reviewers, peer reviewers or site visitors, to review and evaluate various program activities. CATEGORIES OF RECORDS IN THE SYSTEM: Name, address, telephone number, title, institutional or agency affiliation, resume, social security number or other individual identifier, compensation and/or reimbursement information (if any), and area(s) of individual expertise of each individual serving as a consultant, field reader, grant application reviewer or site visitor. Records of past performance of individuals covered by this notice. Disability (if special arrangement need to be made). AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 1221e-3(a)(1), (b), 1232, and 3474. PURPOSE(S): The Department uses the information in this system of records to determine qualification and fitness of individuals the Department may use to review and evaluate documents, programs, and projects of the Department of Education, its grantees and contractors. 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 Privacy Act, under a computer matching agreement. (1) 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. (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) 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. (4) Employment, benefit, and contracting disclosure. (5) For decisions by the Department. A record from this system of records may be disclosed as a "routine use" to a Federal, state, or local agency maintaining civil, criminal or other relevant enforcement records or other pertinent records, such as current licenses, if necessary to obtain a record relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit. (6) For decisions by other Federal agencies. A record from this system of records may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, 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 by the requesting agency, to the extent that the record is relevant and necessary to the requesting agency's decision on the matter. (7) Employee conduct disclosure. If a record maintained by The Department is relevant to an employee discipline or competence determination proceeding of another agency of the Federal Government, The Department may disclose the record in the course of the proceeding. (8) Labor organization disclosure. Where a contract between a component of the Department and a labor organization recognized under Chapter 71, U.S.C. Title V provides that the agency will disclose personal records relevant to the organization's mission, records in this system of records may be disclosed to such an organization. (9) FOIA advice disclosure. In the event the Department deems it desirable or necessary, in determining whether particular records are required to be disclosed under the Freedom of Information Act, disclosure may be made to the Department of Justice for the purpose of obtaining its advice. (10) Contract disclosure. When the Department contemplates that it will contract with a private firm for the purpose of collating, analyzing, aggregating or otherwise refining records in this system. Relevant records will be disclosed to such a contractor. The contractor shall be required to maintain Privacy Act safeguards with respect to such records. (11) Research disclosure. The Department may, if the disclosure of a record is compatible with the purpose for which the record was collected, disclose a record from this system of records as a routine use to individuals and organizations deemed qualified by the Secretary to carry out specific research solely for the purpose of carrying out such research. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in file cabinets or card files and (in limited locations) computer tapes and disks.

RETRIEVABILITY: By name, title, area(s) of individual expertise, dates served, institutional or agency affiliation, or social security number of potential, current or past consultant, field reader, grant application reviewer, or site visitor. SAFEGUARDS: Direct access is restricted to persons designated by system managers to be responsible for maintenance of file(s) or decisions regarding selection of consultants, field readers, grant application reviewers, or site visitors. Automated locations are protected by requiring a password as well as ID users' code. RETENTION AND DISPOSAL: Records regarding an individual are destroyed 5 years after the last time the Department makes use of the individual's services. SYSTEM MANAGER(S) AND ADDRESS: Executive Office, Office of Chief Financial and Chief Information Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4E213, Washington, DC 20202. See the Appendix to this system notice for additional system managers. NOTIFICATION PROCEDURE: Contact system manager of pertinent organizational component(s) and provide identification information required under 34 CFR 5b.5. RECORD ACCESS PROCEDURES: Same as notification procedure above. RECORD SOURCE CATEGORIES: Information provided voluntarily by individuals interested in serving as consultants, field readers, grant application reviewers, or site visitors. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-03-04 Additional System Managers and System Locations Supervisor, Management and Program Analyst, Office for Civil Rights, U.S. Department of Education, 330 C Street, SW., Room 5026, Washington, DC 20202. Supervisor, Management and Program Analyst, Office for Civil Rights, U.S. Department of Education, 330 C Street, SW., Room 5026, Washington, DC 20202. Policy Coordinator Analyst, Office of Elementary and Secondary Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3W337, Washington, DC 20202. Director, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W300, Washington, DC 20202. Management and Program Analyst, Office of Postsecondary Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4082, Washington, DC 20202. Customer Service Specialist, Office of Special Education and Rehabilitative Services, U.S. Department of Education, 400 Maryland Avenue, SW., Room 3113, Washington, DC 20202. Executive Secretariat Liaison, Office of Vocational and Adult Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4090, Washington, DC 20202. Director, International Education and Graduate Programs Service, Office of Postsecondary Education, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-5247.

Director, Office of Indian Education, Office of Elementary and Secondary Education, 400 Maryland Avenue, SW., Room 4300, Portal Building, Washington, DC 20202-6335.

18-03-05 Travel Manager System
18-03-05
(67 FR 5908-5910) February 7, 2002

SYSTEM NAME: Travel Manager System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Office of Financial Management Operations, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, room 4W202, Washington, DC 20202. See the Appendix at the end of this system notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on employees, former employees and other individuals authorized to travel at government expense for the Department of Education (the Department). CATEGORIES OF RECORDS IN THE SYSTEM: The system contains a variety of records related to travel expenditures and related expenses in order to reimburse employees, former employees and other individuals authorized to travel at the expense of the government for the Department. This system also includes names, social security numbers, residential addresses, office locations, phone numbers, itineraries, mode of travel, purpose of travel, dates of travel, amounts claimed and amounts reimbursed. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. Chapter 57. PURPOSE(S): The records in this system are used to provide the Department with (1) necessary information on the travel and transportation costs and (2) management information reports for expense control purposes. The records in this system also will be used to ensure that travel reimbursements are appropriately processed. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: The 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) Contractor Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (2) 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 prosecutorial responsibility within the receiving entity's jurisdiction. (3) Enforcement Disclosure. In the event that information in his 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. (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 or 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 been requested to or has agreed to provide or arrange for representation for the employee; (iv) Any Department employee in his or her individual capacity where the Department 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 or Judicial Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear or to an individual or entity designated by the Department or otherwise empowered to resolve or mediate disputes is relevant and necessary to the litigation or ADR, 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 is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness. (5) 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 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. (6) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaints, grievances, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (7) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law.

(8) 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. (9) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained on a database server and in file folders in the Principal Offices of the traveler. RETRIEVABILITY: Records are retrieved by social security number and by name of individual. SAFEGUARDS: The system of records will be secured by permitting only designated individuals within the Department to access the database. Furthermore, the designated individual's access to personal computers, the network, and the system of records will require personal identifiers and unique passwords, which will be periodically changed to prevent unauthorized access. The building in which the system of records is housed is monitored by security personnel during business and non-business hours. RETENTION AND DISPOSAL: All records are to be retained for six years after which time they will be destroyed in accordance with the National Archives and Records Administration's General Records Schedule (GRS) 9, Item 3.

SYSTEM MANAGER(S) AND ADDRESS: Deputy Chief Financial Officer, Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202 NOTIFICATION PROCEDURE: Any individual may request information regarding this system of records, or information as to whether the system contains records pertaining to him/her from the system manager. A request for information pertaining to an individual should be in writing and should contain: name, address, social security number and particulars involved. RECORD ACCESS PROCEDURE: If you wish to gain access to your record in this system, provide the system manager with your name, date of birth, and social security number. Your request must meet the regulatory requirements of 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURE: If you wish to contest the content of a record, contact the system manager. Your request must meet the regulatory requirements of 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information in this system comes primarily from individuals who submit travel vouchers for reimbursement after travel is performed. Some of the information is obtained from the payroll and personnel systems maintained by the Department of the Interior. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-03-05 Additional System Locations Capitol Place, 555 New Jersey Avenue, NW, Washington, DC 20208. Federal Building No. 6, 400 Maryland Avenue, SW Washington, DC 20202. L'Enfant Plaza, 2100 Corridor, Washington, DC 20202. Mary E. Switzer Building, 330 C Street, SW, Washington, DC 20202. 1990 K Street, NW, Washington, DC 20006. Regional Office Building, 7th and D Streets, SW, Washington, DC 20202. 2100 M Street, NW, Washington, DC 20037. 1775 I Street, NW, Washington, DC 20006. 1255 22nd Street, NW, Washington, DC 20037. 400 Virginia Avenue, SW, Washington, DC 20202. 800 North Capitol Street, NW, Washington, DC 20001. 525 School Street, SW, 6th Street Entrance, Washington, DC 20407. Union Center Plaza, 830 First Street, NE, Washington, DC 20202. Region I McCormack PO & Ct Hs, Boston, MA 02109-4557. Region II 65 Court St., Brooklyn, NY 11201-4916. Region II Federal Building 150 Carlos Chardon Avenue Hato Rey, Puerto Rico 00918-1721. Region III 100 Penn Square East, Suite 505, Philadelphia, PA 19107. Region IV 61 Forsyth Street, SW, Atlanta, GA 30303. Region IV 7890 Peters Road, Suite G-100, Plantation, FL 33324. Region V 600 Superior Avenue, E Cleveland, OH 44114. Region V 111 North Canal Street, Chicago, IL 60606. Region VI 1999 Bryan Street, Suite 2700, Dallas, TX 75201. Region VII 10220 N. Executive Hills Blvd, Suite 720, Kansas City, MO 64153-1367. Region VIII Federal Building, 1244 Speer Blvd. Suite 310, Denver, CO 80204-3582. Region IX 50 United Nations Plaza, San Francisco, CA 94102-4987.

Region X Jackson Federal Bldg. 915 Second Avenue, Seattle, WA 98174-1099.

18-04-01 Freedom of Information Act and Privacy Act Case Files
(64 FR 72385-72387)

18-04-01 December 27, 1999 SYSTEM NAME: Freedom of Information Act and Privacy Act Case Files. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Information Management Group, Office of the Chief Information Officer, U.S. Department of Education, Seventh and D Streets, Room 5624, ROB-3, Washington, DC 20202-4651. See the Appendix at the end of this notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records and related correspondence on individuals who have submitted requests for information under the provisions of the Freedom of Information Act (FOIA) (5 U.S.C. 552) or the Privacy Act (5 U.S.C. 552a), as well as individuals whose records have been the subject of a FOIA or Privacy Act request. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains correspondence and other documents related to requests made by individuals pursuant to the Freedom of Information Act and the Privacy Act. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Freedom of Information Act, 5 U.S.C. 552, as amended; The Privacy Act of 1974, 5 U.S.C. 552a, as amended. PURPOSE(S): These records are maintained to process individuals' requests made under the provisions of the Freedom of Information Act and the Privacy Act. The records are also used by the Department of Education (Department) to prepare its reports to OMB and Congress as required by the Freedom of Information Act and the Privacy Act. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The 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 Privacy 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. (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) 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 or 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, 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) 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. (7) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (8) 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.

(9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act SAFEGUARDS as required under 5 U.S.C. 552a(m) with respect to the records in the system. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in hard copy and in word processing software. RETRIEVABILITY: Records are retrieved by the name of the individual. SAFEGUARDS: Records are stored in locked metal filing cabinets or in a secured room, with access limited to personnel whose duties require access. All physical access to the Department's sites, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for an employee or visitor badge. RETENTION AND DISPOSAL: Records relating to the agency's implementation of the FOIA and the Privacy Act are disposed of in accordance with the General Records Schedule (GRS) 14 issued by the National Archives and Records Administration. SYSTEM MANAGER(S) AND ADDRESS: Freedom of Information Officer, Room 5624, ROB-3, 400 Maryland Avenue, SW., Washington, DC 20202-4651. Privacy Act Officer, Room 5624, ROB-3, 400 Maryland Avenue, SW., Washington, DC 20202-4651. See the Appendix at the end of this notice for additional system managers. NOTIFICATION PROCEDURE: If you wish to inquire whether a record exists regarding you in this system, you should contact the appropriate system manager at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received. You must provide your name, date of the request, name of organization, and subject matter. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If you wish to request access to your records, you should contact the appropriate system manager at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received. You must comply with the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to request an amendment to your records, you should contact the appropriate system manager at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system of records is obtained from the individual to whom the information applies, officials of the Department, and official Department documents.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: The Department has claimed exemptions for several of its other systems of records under 5 U.S.C. 552a(k) (1), (2), (3), (4), (5),(6), and (7). During the course of processing a Freedom of Information Act or Privacy Act request, exempt materials from those other systems may be included in the Freedom of Information Act and Privacy Act Case Files; these materials maintain their exempt status. Appendix to 18-04-01 Additional System Locations Office of the Secretary, U.S. Department of Education, 400 Maryland Avenue, SW, room 7C122, Washington, DC 20202. Office of the Deputy Secretary, U.S. Department of Education, 400 Maryland Avenue, SW, room 7W310, Washington, DC 20202. Office of the Under Secretary, U.S. Department of Education, 400 Maryland Avenue, SW, room 6W300, Washington, DC 20202. Office of Postsecondary Education, U.S. Department of Education, Seventh and D Streets, SW, room 4913, ROB-3, Washington, DC 20202. Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW, room 4E223, Washington, DC 20202. Office of Educational Research and Improvement, 555 New Jersey Avenue, NW, room 602E, Capitol Place, Washington, DC 20208. Office of Special Education and Rehabilitative Services, U.S. Department of Education, 330 C Street, SW, Room 3613, Switzer Building, Washington, DC 20202. Office of Vocational and Adult Education, U.S. Department of Education, 330 C Street, SW, room 4064, Switzer Building, Washington, DC 20202. Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW, room 6C142, Washington, DC 20202. Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW, room 2W211, Washington, DC 20202. Office of Inspector General, U.S. Department of Education, 330 C Street, SW, room 4200, Switzer Building, Washington, DC 20202. Office of Elementary and Secondary Education, U.S. Department of Education, 400 Maryland Avenue, SW, room 3W341, Washington, DC 20202. Office of Public Affairs, U.S. Department of Education, 400 Maryland Avenue, SW, room 7E201, Washington, DC 20202. Office of Student Financial Assistance, U.S. Department of Education, Seventh and D Streets, SW, room 4913, ROB-3, Washington, DC 20202. Office for Civil Rights, U.S. Department of Education, 330 C Street, SW, room 5424, Switzer Building, Washington, DC 20202. Office of Bilingual Education and Minority Affairs, U.S. Department of Education, 330 C Street, SW, room 5616, Switzer Building, Washington, DC 20202. Office of Educational Research and Improvement, U.S. Department of Education, 400 Maryland Avenue, SW, room 4W332, Washington, DC 20202. Office of Legislation and Congressional Affairs, U.S. Department of Education, 400 Maryland Avenue, SW, room 7E307, Washington, DC 20202. Region I: U.S. Department of Education, John W. McCormack P.O. and Courthouse, Room 540, Post Office Square, Boston, MA 02109-4557. Region II: U.S. Department of Education, 75 Park Place, 12th Floor, New York, NY 10278-0043.

Region III: U.S. Department of Education, 3535 Market Street, Room 16350, Philadelphia, PA 19104-3398. Region IV: U.S. Department of Education, 61 Forsyth Street, SW., Suite 19T40, Atlanta, GA 30303. Region V: U.S. Department of Education, 111 N. Canal Street, Suite 1094, Chicago, IL 60606. Region VI: U.S. Department of Education, 1200 Main Tower Building, #2260, Dallas, TX 75202-4309. Region VII: U.S. Department of Education, 10220 N. Executive Hills Blvd., 8th Floor, Kansas City, MO 64153-1367. Region VIII: U.S. Department of Education, Federal Office Building, 1244 Speer Blvd., Room 300, Denver, CO 80204-3582. Region IX: U.S. Department of Education, 50 United Nations Plaza, San Francisco, CA 94102. Region X: U.S Department of Education, room 3362, Mail Code 10-9060, 915 2nd Avenue, Seattle, WA 98174-1099. Metro Region: U.S. Department of Education, Office for Civil Rights, 1100 Pennsylvania Avenue, NW., Washington, DC 20044. Additional System Managers Region I: Deputy Regional Director, U.S. Department of Education, John W. McCormack PO and Courthouse, Room 540, Post Office Square, Boston, MA 02105-4557. Region II: Secretary's Regional Representative, U.S. Department of Education, 75 Park Place, 12th Floor, New York, NY 10278-0043. Region III: Assistant to the Secretary's Regional Representative, U.S. Department of Education, 3535 Market Street, Room 16350, Philadelphia, PA 19104-3398. Region IV: Deputy Secretary's Regional Representative, U.S. Department of Education, 61 Forsyth Street, SW., Suite 19T40, Atlanta, GA 30303. Region V: Secretary's Regional Representative , U.S. Department of Education, 111 N. Canal Street, Suite 1094, Chicago, IL 60606. Region VI: Administrative Officer, U.S. Department of Education, 1200 Main Tower Building, #2260, Dallas, TX 75202-4309. Region VII: Secretary's Regional Representative, U.S. Department of Education, 10220 N. Executive Hills Blvd., 8th Floor, Kansas City, MO 64153-1367. Region VIII: Secretary's Regional Representative, U.S. Department of Education, Federal Office Building, 1244 Speer Blvd., room 300, Denver, CO 80204-3582. Region IX: Secretary's Regional Representative, U.S. Department of Education, 50 United Nations Plaza, San Francisco, CA 94102. Region X: Secretary's Regional Representative, U.S. Department of Education, room 3362, Mail Code 10-9060, 915 2nd Avenue, Seattle, WA 98174-1099. Metro Region: Program Specialist, Office for Civil Rights, U.S. Department of Education, 1100 Pennsylvania Avenue, NW., Washington, DC 20044.

18-04-02 Freedom of Information Act and Privacy Act Tracking System
18-04-02
(64 FR 72387-72389) December 27, 1999

SYSTEM NAME: Freedom of Information Act and Privacy Act Tracking System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Office of the Chief Information Officer, Information Management Group, U.S. Department of Education, 400 Maryland Avenue, SW., ROB-3, Room 5624, Washington, DC 20202-4651. See the Appendix at the end of this system notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on individuals who have submitted requests made under the provisions of the Freedom of Information Act and under the Privacy Act of 1974. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of names, addresses, dates of request and responses, descriptions or identifications of records requested, amount of fees paid, if any; payment delinquencies, if any; final determinations of appeals or denials and summary of log. Copies of requested records are not maintained in the system. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Freedom of Information Act, 5 U.S.C. 552, as amended; The Privacy Act of 1974, 5 U.S.C. 552a, as amended; and 5 U.S.C. 301. PURPOSE(S): This system is used to document and track the status of requests made under both the Freedom of Information Act and the Privacy Act. This system is also used to generate the annual report to the Department of Justice (DOJ) as required by the Freedom of Information Act and the biennial report to the Office of Management and Budget (OMB) and Congress as required by the Privacy Act. 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 Privacy 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. (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) 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, 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (7) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act SAFEGUARDS as required under 5 U.S.C. 552a(m) with respect to the records in the system.

(8) 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. (9) 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: These records are maintained on electronic media. RETRIEVABILITY: Records are retrieved by the name of the individual and the control tracking number. SAFEGUARDS: All physical access to the Department site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a "need to know" basis, and controls individual users'' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Files maintained for control purposes in responding to requests, including registers and similar records listing date, nature, and purpose of request and name and address of requester are destroyed by erasure 6 years after the date of the last entry. (GRS 14, Item 13) SYSTEM MANAGER(S) AND ADDRESS: Freedom of Information Officer, Room 5624, ROB-3, 400 Maryland Avenue, SW., Washington, DC 20202-4651. Privacy Act Officer, Room 5624, ROB-3, 400 Maryland Avenue, SW., Washington, DC 20202-4651. See the Appendix at the end of this notice for additional system managers. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the system manager at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received. Your request must meet the requirements of the Department'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 at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received. Your request must meet the requirements of the Department's Privacy Act 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 at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system of records is obtained from the individual who submitted the request, officials of the Department, and official Department documents. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-04-02 Additional System Locations Office of the Secretary, U.S. Department of Education, 400 Maryland Avenue, SW, room 7C122, Washington, DC 20202. Office of the Deputy Secretary, U.S. Department of Education, 400 Maryland Avenue, SW, room 7W310, Washington, DC 20202. Office of the Under Secretary, U.S. Department of Education, 400 Maryland Avenue, SW, room 6W300, Washington, DC 20202. Office of Postsecondary Education, U.S. Department of Education, Seventh and D Streets, SW, room 4913, ROB-3, Washington, DC 20202. Office of the Chief Financial Officer, U.S. Department of Education, 400 Maryland Avenue, SW, room 4E223, Washington, DC 20202. Office of Educational Research and Improvement, 555 New Jersey Avenue, NW, room 602E, Capitol Place, Washington, DC 20208. Office of Special Education and Rehabilitative Services, U.S. Department of Education, 330 C Street, SW, Room 3613, Switzer Building, Washington, DC 20202. Office of Vocational and Adult Education, U.S. Department of Education, 330 C Street, SW, room 4064, Switzer Building, Washington, DC 20202. Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW, room 6C142, Washington, DC 20202. Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW, room 2W211, Washington, DC 20202. Office of Inspector General, U.S. Department of Education, 330 C Street, SW, room 4200, Switzer Building, Washington, DC 20202. Office of Elementary and Secondary Education, U.S. Department of Education, 400 Maryland Avenue, SW, room 3W341, Washington, DC 20202. Office of Public Affairs, U.S. Department of Education, 400 Maryland Avenue, SW, room 7E201, Washington, DC 20202. Office of Student Financial Assistance, U.S. Department of Education, Seventh and D Streets, SW, room 4913, ROB-3, Washington, DC 20202. Office for Civil Rights, U.S. Department of Education, 330 C Street, SW, room 5424, Switzer Building, Washington, DC 20202. Office of Bilingual Education and Minority Affairs, U.S. Department of Education, 330 C Street, SW, room 5616, Switzer Building, Washington, DC 20202. Office of Educational Research and Improvement, U.S. Department of Education, 400 Maryland Avenue, SW, room 4W332, Washington, DC 20202. Office of Legislation and Congressional Affairs, U.S. Department of Education, 400 Maryland Avenue, SW, room 7E307, Washington, DC 20202. Region I: U.S. Department of Education, John W. McCormack P.O. and Courthouse, Room 540, Post Office Square, Boston, MA 02109-4557.

Region II: U.S. Department of Education, 75 Park Place, 12th Floor, New York, NY 10278-0043. Region III: U.S. Department of Education, 3535 Market Street, Room 16350, Philadelphia, PA 19104-3398. Region IV: U.S. Department of Education, 61 Forsyth Street, SW., Suite 19T40, Atlanta, GA 30303. Region V: U.S. Department of Education, 111 N. Canal Street, Suite 1094, Chicago, IL 60606. Region VI: U.S. Department of Education, 1200 Main Tower Building, #2260, Dallas, TX 75202-4309. Region VII: U.S. Department of Education, 10220 N. Executive Hills Blvd., 8th Floor, Kansas City, MO 64153-1367. Region VIII: U.S. Department of Education, Federal Office Building, 1244 Speer Blvd., Room 300, Denver, CO 80204-3582. Region IX: U.S. Department of Education, 50 United Nations Plaza, San Francisco, CA 94102. Region X: U.S Department of Education, room 3362, Mail Code 10-9060, 915 2nd Avenue, Seattle, WA 98174-1099. Metro Region: U.S. Department of Education, Office for Civil Rights, 1100 Pennsylvania Avenue, NW., Washington, DC 20044. Additional System Managers Region I: Deputy Regional Director, U.S. Department of Education, John W. McCormack PO and Courthouse, Room 540, Post Office Square, Boston, MA 02105-4557. Region II: Secretary's Regional Representative, U.S. Department of Education, 75 Park Place, 12th Floor, New York, NY 10278-0043. Region III: Assistant to the Secretary's Regional Representative, U.S. Department of Education, 3535 Market Street, Room 16350, Philadelphia, PA 19104-3398. Region IV: Deputy Secretary's Regional Representative, U.S. Department of Education, 61 Forsyth Street, SW., Suite 19T40, Atlanta, GA 30303. Region V: Secretary's Regional Representative, U.S. Department of Education, 111 N. Canal Street, Suite 1094, Chicago, IL 60606. Region VI: Administrative Officer, U.S. Department of Education, 1200 Main Tower Building, #2260, Dallas, TX 75202-4309. Region VII: Secretary's Regional Representative, U.S. Department of Education, 10220 N. Executive Hills Blvd., 8th Floor, Kansas City, MO 64153-1367. Region VIII: Secretary's Regional Representative, U.S. Department of Education, Federal Office Building, 1244 Speer Blvd., room 300, Denver, CO 80204-3582. Region IX: Secretary's Regional Representative, U.S. Department of Education, 50 United Nations Plaza, San Francisco, CA 94102. Region X: Secretary's Regional Representative, U.S. Department of Education, room 3362, Mail Code 10-9060, 915 2nd Avenue, Seattle, WA 98174-1099. Metro Region: Program Specialist, Office for Civil Rights, U.S. Department of Education, 1100 Pennsylvania Avenue, NW, Washington, DC 20044.

18-04-03 ED Web Personalization Pilot Data Collection
(66 FR 46689-46690)

18-04-03 September 6, 2001 SYSTEM NAME: ED Web Personalization Pilot Data Collection. SECURITY CLASSIFICATION: None. SYSTEM LOCATION(S): Office of the Chief Information Officer, Web Services Group, U.S. Department of Education, Seventh and D Streets, SW., room 4923, ROB-3, Washington, DC 20202-5130. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: All users of the U.S. Department of Education web site (www.ed.gov) who choose to personalize the web site. CATEGORIES OF RECORDS IN THE SYSTEM: The ED Web Personalization Pilot Data Collection contains user customization data. The system contains data elements such as customer first name, middle initial and last name; customer email address; Ed.gov ID and password; and information selection criteria such as desired subject(s), audience type, level(s) of education, resource type(s). AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The general statutory authority is 40 U.S.C. 1425(b) and 44 U.S.C. Chapter 35. PURPOSE(S): The purpose of this system of records is to give ED customers the option of customizing the retrieval and delivery of web site content and services based on their interests. 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) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the Department of Justice (DOJ) 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. (2) Disclosure to the DOJ. The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (3) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (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 or 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) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (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. (7) Disclosure for Use By Law Enforcement Agencies. The Department may disclose information to any Federal, State, local or foreign agency or other 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 entity's jurisdiction. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISCLOSING OF RECORDS IN THE SYSTEM: STORAGE: System records will be maintained on a database server as part of the www.ed.gov web site, and are backed up and archived onto electronic storage media. RETRIEVABILITY: Each record in this system is indexed and retrieved by a personal ID and password that is created by the user of the www.ed.gov web site. SAFEGUARDS: All users of this system will have a unique user ID with a personal identifier. This system does not use persistent cookies (data that a web server causes to be placed on a user's hard drive) to implement personalization. It is the policy of the Department to prohibit the use of persistent cookies on U.S. Department of Education Web sites except where: there is a compelling need; there are appropriate safeguards in place; the use is personally approved by the Secretary of Education; and there is clear and conspicuous notice to the public. All physical access to the U.S. Department of Education web site and the sites of Department contractors where this system of records is maintained, is controlled and monitored

by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the U.S. Department of Education offers a high degree of resistance to tampering and circumvention. This security system limits data access to the Department, and contract staff on a "need to know" basis, and controls individual users'ability to access and alter records within the system. RETENTION AND DISPOSAL: U.S. Department of Education web personalization customers can remove any information about their web preferences (i.e., the subjects, levels of education, types of resources, and audience-targeted materials in which they are interested), as well as any bookmarks or saved searches they have stored on the Department's web pages. U.S. Department of Education customers, however, cannot delete their names, zip codes, or email addresses from the system (although they can replace it with other information). The system, however, automatically will purge any unused accounts after a certain period of disuse. If approval to continue the ED web personalization service is received before the end of pilot, ED will keep the existing registration database active to avoid forcing customers to reregister. If approval is not received, ED will delete all customer information from the database and disable the service. If the personalization service is continued, the Department will retain and dispose of these records in accordance with National Archives and Records Administration General Records Schedule 20, Item 1.c. This schedule provides disposal authorization for electronic files and hard-copy printouts created to monitor system usage, including, but not limited to, log-in files, password files, audit trail files, system usage files, and cost-back files used to assess charges for system use. Records will be deleted or destroyed when the agency determines they are no longer needed for administrative, legal, audit, or other operational purposes. SYSTEM MANAGERS AND ADDRESS: Internet Project Manager, U.S. Department of Education, Office of the Chief Information Officer, 7th and D Streets, SW., Regional Office Building 3, room 4923-B, Washington, DC 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, you may gain access to the system via the www.ed.gov web site, or by contacting the system administrator through the webmaster@inet.ed.gov email address. Requests for notification about an individual must meet the requirements of the regulations at 34 CFR 5b.5. Individuals may also present their requests in writing or in person at any of the locations identified for this system of records. RECORD ACCESS PROCEDURES: If you wish to gain access to a record in this system, follow the directions described in the Notification Procedure. CONTESTING RECORD PROCEDURES: If you wish to change the content of a record in this system of records, you may gain access to the system and alter the record via the www.ed.gov web site and the system edit and update function. If you wish to contest the content of a record, contact the system manager by following the directions described in the Notification Procedure. Requests to amend a record must meet the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system is obtained from customers who use the www.ed.gov web site and complete the optional web site personalization. The personalization form provides the information contained within the system.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-05-01 Departmental Parking Control Policy
(64 FR 30122-30123)

18-05-01 June 4, 1999 SYSTEM NAME: Departmental Parking Control Policy. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Director, Quality Workplace Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2E315, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: All Department employees and non-Department carpool members utilizing parking facilities. CATEGORIES OF RECORDS IN THE SYSTEM: This system includes the following information on all persons applying for a parking permit: Name, office room number, office phone number, agency, home address, and automobile license number. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 63 Stat. 377;41 CFR 101-20.111. PURPOSE(S): The information contained in this system is used to: (1) Provide standards for apportionment and assignment of parking spaces on Department-managed and Departmentcontrolled property and on property assigned to the Department by the General Services Administration or any other Agency, and (2) allocate and check parking spaces assigned to government vehicles, visitors, handicapped personnel, executive personnel, carpool and van pools and others. 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) Congressional Member Disclosure. The Department may disclosure 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. (2) Litigation and Alternative Dispute Resolution (ADR) Disclosure. (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. (3) 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. (4) 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. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are stored in binders in file cabinets. RETRIEVABILITY: Records are filed alphabetically by location. SAFEGUARDS: All physical access to the Department of Education site where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. RETENTION AND DISPOSAL: Superseded policy materials are maintained by the Director, Quality Workplace Group for historical purposes. Records at other Department locations are maintained until the Parking Control purpose has been met, and the records are then destroyed. SYSTEM MANAGER(S) AND ADDRESS: Director, Quality Work Group (QWG), Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2E315, Washington, DC 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, provide the system manager with your name, social security number, agency and office and the location where Department parking is provided. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: Same as Notification Procedure. Requesters should also reasonably specify the record contents sought. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: Contact the system manager at the address specified under notification procedure above, and reasonably identify the record and specify the information to be contested. Your request must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system are obtained from reports submitted by Department Staff, Principal Offices and Regional Offices, GSA-Federal Management circulars and Federal Property Management Regulations. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-05-02 Family Educational Rights and Privacy Act (FERPA) and the Protection of Pupil Rights Amendment (PPRA) Record Systems
18-05-02
(64 FR 30123-30124) June 4, 1999

SYSTEM NAME: Family Educational Rights and Privacy Act (FERPA) and the Protection of Pupil Rights Amendment (PPRA) Record Systems. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Family Policy Compliance Office, Office of Management, U.S. Department of Education, Room 2W100, Washington, DC 20202-4506. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals who have made inquiries or who have filed complaints alleging violations of provisions in FERPA and PPRA; and those who have commented to the Department on its proposed rules and practices. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of correspondence alleging violations of FERPA and PPRA as well as comments submitted to the Department on its proposed rules and practices. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Family Educational Rights and Privacy Act (20 U.S.C. 1232g) and Protection of Pupil Rights Amendment (20 U.S.C. 1232h). PURPOSE(S): Information contained in this system is used to resolve disputes regarding violations of FERPA and PPRA. 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) Member of Congress 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. (2) Educational Agency or Institution. The Department may disclosure records from this system of records to an educational agency or institution against which a complaint has been made. (3) State Educational Agency. The Department may disclose records to a State educational agency relative to an educational agency or institution in that State against which a complaint has been filed. (4) 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.

(5) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to FERPA or PPRA investigations or other enforcement responsibilities under FERPA or PPRA; (6) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act SAFEGUARDS as required under 5 U.S.C. 552a(m) with respect to the records in the system. (7) 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. (8) 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. (9) 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in hard-copy form filed in standard lockable file cabinets, or on electronic files in which case document disks are kept in lockable file cabinets.

RETRIEVABILITY: Records are indexed under the names of institutions against which individuals are alleging violations of FERPA. SAFEGUARDS: Direct access is restricted to FPCO staff; main files are left in locked file cabinets when not in use. RETENTION AND DISPOSAL: Inquiry records are maintained a minimum of three years; complaint and investigative records are maintained a minimum of five years after the case is closed. SYSTEM MANAGER(S) AND ADDRESS: Director, Family Policy Compliance Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W100, Washington, DC 20202-4056. 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 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. RECORD SOURCE CATEGORIES: The information in this system is obtained from incoming correspondence, responses and material obtained during the course of any investigation. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-05-03 Federal Personnel Payroll System
(64 FR 72389-72391)

18-05-03 December 27, 1999 SYSTEM NAME: Federal Personnel Payroll System SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Department of Interior, Bureau of Reclamation, Management Operations Center, Division of Payroll Operations, 7333 West Jefferson Ave., Academy Place 1, Denver, CO 80235 CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on all employees of U.S. Department of Education, the National Commission of Library and Learning and the National Goals Panel. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of a variety of records relating to pay and leave determinations made about each employee of the Department of Education, the National Commission of Library and Learning and the National Goals Panel, including the name of the employee, the employee's date of birth, social security number, home address, grade, employing organization, timekeeper number, salary, Civil Service retirement fund contributions, pay plan, number of hours worked, annual and sick leave accrual rate and usage, annual and sick leave balance, FICA withholdings, Federal, state, and local tax withholdings, Federal Employees Government Life Insurance withholdings, garnishment documents, savings allotments, union and management association dues withholding, savings bonds allotments, and Combined Federal Campaign allotments. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 5101, et seq.; 31 U.S.C. 3512; 20 U.S.C. 3461. PURPOSE(S): The records in this system are maintained in order to facilitate fiscal operations for payroll, attendance, leave, insurance, tax, retirement and cost accounting programs; and to prepare related reports to other Federal agencies including the Department of the Treasury and the Office of Personnel Management. 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 Privacy 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. (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) 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: The Department, 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. (4) 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 an 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: Complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (7) 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. (8) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. (13) Payroll Disclosure. The Department may disclose records to the Department of the Treasury for preparation of payroll checks, payroll deductions, U.S. Saving bonds, and other checks to Federal, State, and local government agencies, non-governmental organizations and individuals. (14) Tax Disclosure. The Department may disclose records to the Internal Revenue Service and to state and local government agencies having taxing authority in order to prepare W-2 Forms. (15) Personnel Management Disclosure. The Department may disclose records to the Office of Personnel Management, Merit Systems Protection Board, Equal Employment Opportunity Commission, and the Federal Labor Relations Authority (including the General Counsel of the Authority and Federal Service Impasses Panel) to carry out their functions. (16) Workers' Compensation Disclosure. The Department may disclose records to the Department of Labor to make a compensation determination in connection with a claim filed by an employee for compensation on account of a job-connected injury or disease. (17) Wage Garnishment Disclosure. The Department may disclose records to the IRS in order to respond to orders from IRS for garnishment of an employee's pay for Federal income tax purposes. (18) Unemployment Compensation Disclosure. The Department may disclose records to state offices of unemployment compensation in connection with claims filed by former Department employees for unemployment compensation. (19) Association Dues Disclosure. The Department may disclose records to financial organizations designated to receive labor organization or management association dues withheld from an employee's pay, in order to account for the amounts of the withheld dues which they receive. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is

determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained on electronic media and in hard copy. RETRIEVABILITY: Records are retrieved by the employee's name and Social Security number. SAFEGUARDS: Access to and use of these records are limited to personnel whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. All physical access to the Department's sites, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for an employee or visitor badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a "need to know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with user defined password. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Records submitted by the individual, such as allotment authorization forms, home address forms, and tax withholding forms are retained until superseded by new updated transactions whether electronically or paper, or until the individual leaves the Department. Some of these records must be retained for an additional period, or forwarded to the new employing agency. Records are retired to the Federal Personnel Records Center and subsequently disposed of in accordance with the General Records Schedules issued by the National Archives and Records Administration. SYSTEM MANAGER(S) AND ADDRESS: Director, Human Resources Systems, Human Resources Group, Office of Management, Department of Education, 400 Maryland Ave., SW, Room 2E108, Washington, DC 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the executive officer in your office. Your request must meet the requirements of the Department'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 executive officer in your office. Your request must meet the requirements of the Department's Privacy Act 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 executive officer in your office. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7.

RECORD SOURCE CATEGORIES: Information in this system of records is obtained from individual employees, timekeepers and supervisors. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-05-04 Discrimination Complaints Records System
(64 FR 30124-30125)

18-05-04 June 4, 1999 SYSTEM NAME: Discrimination Complaints Records System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Equal Employment Opportunity Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue SW, Room 2W228, Washington, DC 20202-4550. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on individuals--employees as well as applicants for employment--or groups of individuals who have filed Equal Employment Opportunity (EEO) complaints of discrimination on the basis of race, color, religion, sex (including sexual harassment or sexual orientation), national origin, age, disability, or reprisal for having engaged in a prior EEO activity. CATEGORIES OF RECORDS IN THE SYSTEM: This system of records consists of records concerning the Department's formal complaints of discrimination processes, including counselor' reports, the initial allegations and efforts at resolution, letters or notices to the individual or class agent, materials placed into the record to support or refute the decision or determination, statements to witnesses, investigative reports, instructions about action to be taken to comply with decisions, and related correspondence, opinions and recommendations. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 42 U.S.C. 2000e; 29 U.S.C. 633a; Executive Order 11478; 29 CFR part 1614. PURPOSE(S): The Equal Employment Opportunity Group uses the information contained in this system to adjudicate complaints or appeals, to provide a basis for a corrective action related to the discrimination situation and as a data source for management information for production of descriptive statistics and analytical studies. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The Department (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 to OMB, MSPB and EEOC. The Department may disclose records to the Office of Personnel Management, Merit Systems Protection Board (including its Office of the Special Counsel), or the Equal Employment Opportunity Commission for the purpose of carrying out their functions. (2) 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. (3) Litigation and Alternative Dispute Resolution (ADR) Disclosures. (a) Introduction. In the event of litigation where 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, 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; or (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 directly 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in file folders and binders inside a file room centrally situated within the EEOG office. RETRIEVABILITY: The records are indexed by formal complaint case numbers, and cross-referenced by a separate log identifying the names of the individuals or class agents on whom they are maintained. SAFEGUARDS: Access to and use of these records are limited to those persons whose official duties require access. Physical security of the file room and entire office area involves lockable entry doors with off-the-master keys. RETENTION AND DISPOSAL: The complaint cases of discrimination may be retired to the Federal Records Center three years after their final disposition through the administrative (and judicial, as applicable) processes. SYSTEM MANAGER(S) AND ADDRESS: Director, Equal Employment Opportunity Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-4550. NOTIFICATION PROCEDURE: If you wish to determine if a record exists regarding you in this system of records, contact the system manager at the address listed above. You should include your name, date of birth, Departmental principal office in which the situation arose, the approximate date, and the type of action taken. 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 records regarding you in this system of records, follow the procedures described above under Notification Procedure. You should also reasonably specify the record contents being sought. 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 information contained in this system of records, you should contact the system manager at the address listed above. You should reasonably identify the record and specify the information to be contested. Your request should satisfy the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system is obtained from individuals to whom the record pertains, Department officials or other officials, statements from employees or other witnesses, official documents pertinent to the complaint and correspondence from specific organizations or persons. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-05-05 Grievances Filed Formally Under the Administrative Grievance Procedure
18-05-05
(64 FR 30125-30127) June 4, 1999

SYSTEM NAME: Grievances Filed Formally Under the Administrative Grievance Procedure. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Human Resources Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202. See the Appendix at the end of this system notice for additional locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on non-bargaining unit employees of the Department regardless of type of appointment, who individually or as a group, request personal relief in a matter of concern or dissatisfaction which is subject to the control of Department management. This includes former employees of the Department for whom a remedy can be provided as well as applicants. CATEGORIES OF RECORDS IN THE SYSTEM: Information or documents relating to the grievance and personal relief sought, materials used in consideration of the grievance, and correspondence related to disposition of the grievance, including but not limited to the formal grievance, fact finder's report, final decision, and all other related documents. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 1302. PURPOSE(S): The information contained in this system is to consider and settle matters of dissatisfaction or concern of covered individuals. 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. (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) 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 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: Complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (7) 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.

(8) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in hard copy stored in file folders, on computers and in handwritten logs for Human Resources. Summary data of records are also maintained in a computerized tracking system. RETRIEVABILITY: Records are indexed alphabetically by organization and year. SAFEGUARDS: Access to and use of these records are limited to those persons with a "need-to-know" and whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. Computers are password protected for individuals with access. All data bases are designed with stringent security measures to control individual users' ability to access and alter records within the system. RETENTION AND DISPOSAL: Records are retained for three (3) years after the grievance case is closed, and are then destroyed, as set forth in the General Records Schedule 1, Civilian Personnel Records, Item 30(a). SYSTEM MANAGER(S) AND ADDRESS: Director, Human Resources Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2E314, Washington, DC 20202. See the Appendix at the end of this system notice for additional system managers. 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 records regarding you in this system of records, contact the system manager at the address listed above and follow the steps outlined in the Notification Procedure. 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 in this system of records, contact the system manager at the address listed above. Your request must meet the requirements of the regulations at 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information in this system of records is supplied from the following sources: Directly by the individual filing the grievance, from information supplied by the individual, by testimony of witnesses, employee representatives, Department employees or officials. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-05-05 Additional System Locations and System Managers Director, Human Resources Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202. Employee Relations Team, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2E233, Washington, DC 20202-4737. U.S. Department of Education, Regional Personnel Office O'Neill Federal Building, 10 Causeway Street, Room 1095 Boston, MA 02222. U.S. Department of Education, Regional Personnel Office 75 Park Place, 12th Floor, New York, NY 10007. U.S. Department of Education, Regional Personnel Office 3535 Market Street, Room 16300, Philadelphia, PA 19104. U.S. Department of Education, Regional Personnel Office 61 Forsyth Street, SW, Suite 18T55, Atlanta, GA 30303. U.S. Department of Education, Regional Personnel Office 111 N. Canal Street, Room 1084, Chicago, IL 60606. U.S. Department of Education, Regional Personnel Office 1999 Bryan Street, Suite 2710, Dallas, TX 75201-6817. U.S. Department of Education, Regional Personnel Office 10220 North Executive Hills Boulevard, 9th Floor, Kansas City, MO 64153. U.S. Department of Education, Regional Personnel Office 1244 Speer Boulevard, Room 353, Denver, CO 80204-3582. U.S. Department of Education, Regional Personnel Office 50 United Nations Plaza, Room 207, San Francisco, CA 94102-4987. U.S. Department of Education, Regional Personnel Office 915 Second Avenue, Room 3388, Seattle, WA 98174-1099.

18-05-06 Grievance Records Filed under Procedures Established By Labor-Management Negotiations
(64 FR 30127-30129)

18-05-06 June 4, 1999 SYSTEM NAME: Grievance Records Filed under Procedures Established By Labor-Management Negotiations. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on present and past bargaining unit employees of the Department covered by the Collective Bargaining Agreement between the Department and American Federation of Government Employees Council 252. CATEGORIES OF RECORDS IN THE SYSTEM: This system of records consists of a variety of records relating to an employee's grievance filed under procedures established by labor-management negotiations including employee's name, Social Security number, grade, job title, testimony of witnesses, material placed into the record to support the decision, the arbitrator's decision, the arbitrator's report, and a record of an appeal to the Federal Labor Relations Authority. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: U.S.C. 7101. PURPOSE(S): The information in this system is used to make determinations and to document a decision made on a grievance filed by an employee under the negotiated grievance procedures. Information from this system may be used by Department officials for preparing statistical summary or management reports. 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) Agency Disclosure. The Department may disclose information from this system to the Office of Personnel Management, Merit Systems Protection Board (including its Office of Special Counsel), Equal Employment Opportunity Commission, and the Federal Labor Relations Authority (including the General Counsel of the Authority and the Federal Systems Impasses Panel) to facilitate their administrative or enforcement functions. (2) 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 prosecutorial responsibility within the receiving entity's jurisdiction. (3) 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. (4) 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. (5) 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. (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. (7) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. (8) 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; (vi) The arbitrator that the Department and AFGE Council 252 contracts to hear arbitration hearings as the result of invocation of arbitration under the collective bargaining agreement between them. (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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in hard copy and a list of individual names is maintained in electronic media. RETRIEVABILITY: Records are retrievable by file number which are cross-referenced by individual names. SAFEGUARDS: When not in use by authorized persons, these records are stored in metal file cabinets stored within the secured suite of the Labor Relations Group. Access to and use of these records are limited to personnel who have a need for the records in the performance of their duties. RETENTION AND DISPOSAL: Records are destroyed 5 years after final resolution of case. SYSTEM MANAGER(S) AND ADDRESS: Director, Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, approximate date of grievance, and management component and/or individual against whom the grievance was filed. 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 in this system, contact the system manager at the above address. Your request must meet the requirements of the at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to contest the content of records regarding you in this system, contact the system manager at the above address and reasonably identify the record and specify the information contested. Your request must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system of records is obtained directly from information supplied by the individual; testimony of witnesses, union officials, or by Department officials. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-05-07 Unfair Labor Practice Records
18-05-07
(64 FR 30129-30130) June 4, 1999

SYSTEM NAME: Unfair Labor Practice Records. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on present and past Department employees and union officials. CATEGORIES OF RECORDS IN THE SYSTEM: This system of records consists of a variety of records relating to an unfair labor practice charge including the employee's name, Social Security number, grade, job title, employment history and a variety of work and personnel records associated with the charges and required under proceedings established by 5 U.S.C. 7101 and Department of Labor Regulations. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 7101. PURPOSE(S): The information in this system is used in the processing, investigation and litigation of unfair labor practice charges that may be filed by the AFGE Council 252, any of the AFGE Local offices located at Department Headquarters and each of 10 regional offices and by bargaining unit employees of the Department. 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) Agency Disclosure. The Department may disclose information from this system to the Office of Personnel Management, Merit Systems Protection Board (including its Office of Special Counsel), Equal Employment Opportunity Commission, and the Federal Labor Relations Authority (including the General Counsel of the Authority and the Federal Systems Impasses Panel) to facilitate their administrative or enforcement functions. (2) 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. (3) 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; (vi) The arbitrator that the Department and AFGE Council 252 contracts to hear arbitration hearings as the result of invocation of arbitration under the collective bargaining agreement between them. (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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in hard copy and a list of individual names are kept on electronic media. RETRIEVABILITY: Records are retrievable by file number which are cross-referenced by individual names. SAFEGUARDS: When not in use by authorized persons, these records are stored in metal file cabinets stored within the secured suite of the Labor Relations Group. Access to and use of these records are limited to personnel who have a need for the records in the performance of official duties. RETENTION AND DISPOSAL: According to the Records Retention Schedule of the NARA, records are maintained for 5 years. SYSTEM MANAGER(S) AND ADDRESS: Director, Labor Relations Group, U.S. Department of Education, 400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, approximate date of record, the unfair labor practice charges as specified by the complainant, and management component against which the charge was filed. 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 in this system, contact the system manager at the above address. 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 records regarding you in this system, contact the system manager at the above address and reasonably identify the record and specify the information contested. Your request must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system of records is: (1) Supplied directly by the individual; or (2) Derived from information supplied by the individual; or (3) Supplied by testimony of witnesses; or (4) Supplied by Department officials. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-05-08 Official Time Records of Union Officials and Bargaining Unit Employees at the Department of Education
18-05-08
(64 FR 30130-30131) June 4, 1999

SYSTEM NAME: Official Time Records of Union Officials and Bargaining Unit Employees at the Department of Education. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-4754. See the Appendix at the end of this system notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on current and former Department professional and nonprofessional employees who are non-temporary, non-schedule C, non-supervisory and nonmanagerial employees and union officials who report use of official time as defined under the Federal Service Labor-Management Relations Statute, 5 U.S.C. 7101. CATEGORIES OF RECORDS IN THE SYSTEM: This system of records consists of the individual employees' Department Flexible Schedule Certification Form and the electronic transcript of the number of hours attributable for each pay period into an active accounting of total hours used by each individual employee to be reported to authorized Executive Branch agencies and to the Congress as requested. AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM: Federal Service Labor Management Relations Statute (FSLMRS), 5 U.S.C. 7101. PURPOSE(S): The information contained in this system is used to determine compliance with the collective bargaining agreement between the U.S. Department of Education and the American Federation of Government Employees' Council of Education Locals, No. 252 under the FSLMRS and to produce reports as may be required by the Congress. 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) Agency Disclosure. The Department may disclose information from this system to the Office of Personnel Management, Merit Systems Protection Board (including its Office of Special Counsel), Equal Employment Opportunity Commission, and the Federal Labor Relations Authority (including the General Counsel of the Authority and the Federal Systems Impasses Panel) to facilitate their administrative or enforcement functions. (2) 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. (3) 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; (vi) The arbitrator that the Department and AFGE Council 252 contracts to hear arbitration hearings as the result of invocation of arbitration under the collective bargaining agreement between them. (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. (4) 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in hard copy and electronic media after transcription from hard copy. RETRIEVABILITY: Records are retrievable by name. SAFEGUARDS: Records are stored in electronic databases stored in secured rooms with access limited to those whose official duties require access. RETENTION AND DISPOSAL: According to the National Archives and Records Administration's General Records Schedules, records are maintained for 5 years. SYSTEM MANAGER(S) AND ADDRESS: Director, Labor Relations Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2C136, Washington, DC 20202-4754.

NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, approximate date of grievance, and management component or individual or both against whom the grievance was filed. 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 in this system, contact the system manager at the above address. 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 records regarding you in this system, contact the system manager at the above address and reasonably identify the record and specify the information contested. Your request must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system of records is: (1) Supplied directly by the individual, or (2) Supplied by union officials, or (3) Supplied by Department officials. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-05-08 Additional System Locations Employee Relations Team, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2E233, Washington, DC 20202-4737. Informal Dispute Resolution Center, Office of Hearings and Appeals, U.S. Department of Education, L'Enfant Plaza, Room 2100A, Washington, DC 20202. Regional Personnel Office, U.S. Department of Education, O'Neill Federal Building, 10 Causeway Street, Room 1095, Boston, MA 02222. Regional Personnel Office, U.S. Department of Education, 75 Park Place, 12th Floor, New York, NY 10007. Regional Personnel Office, U.S. Department of Education, Wanamaker Building, 100 Penn Square East, Suite 503, Philadelphia, PA 10107. Regional Personnel Office, U.S. Department of Education, 61 Forsyth Street, SW, Suite 8T55, Atlanta, GA 30303. Regional Personnel Office, U.S. Department of Education, 111 N. Canal Street, Room 1084, Chicago, IL 60606. Regional Personnel Office, U.S. Department of Education, 1999 Bryan Street, Suite 2710, Dallas, TX 75201-6817. Regional Personnel Office, U.S. Department of Education, 10220 North Executive Hills Boulevard, 9th Floor, Kansas City, MO 64153. Regional Personnel Office, U.S. Department of Education, 1244 Speer Boulevard, Room 353, Denver, CO 80204-3582. Regional Personnel Office, U.S. Department of Education, 50 United Nations Plaza, Room 207, San Francisco, CA 94102-4987. Regional Personnel Office, U.S. Department of Education, 915 Second Avenue, Room 3388, Seattle, WA 98174-1099.

18-05-09 Voluntary Leave Transfer (VLT) Program
(64 FR 30131-30133)

18-05-09 June 4, 1999 SYSTEM NAME: Voluntary Leave Transfer (VLT) Program. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Director, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W300, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on Department of Education employees seeking voluntary donations of annual leave from other federal employees in order to cover leave shortfalls brought about by documented medical emergencies. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of written applications of employees seeking assistance from the program, medical statements certifying need, agency approvals or denials, leave donation records, leave transfer records, supervisor/timekeeper approvals, payroll notification records, leave program termination records, and other related documents. Most of these records contain individual Social Security numbers. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Pub. L. 100-566; 5 CFR 630.913.1. PURPOSE(S): The information contained in this system is used for the purposes of determining program eligibility and for documenting voluntary transfers of leave to program recipients. 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) Program Disclosures. The Department may disclose records to (1) the Office for Personnel Management in order to respond to requests for information or other official inquiries; and (2) the staff of the Department of Interior responsible for preparation of payroll documents, (2) 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. (3) 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. (4) 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. (5) 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. (6) 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 the 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. (7) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (8) 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.

(9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act SAFEGUARDS as required under 5 U.S.C. 552a(m) with respect to the records in the system. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are stored in file folders in a manual filing system. RETRIEVABILITY: Records are retrievable by name of program recipient. SAFEGUARDS: Access to and use of these records are limited to personnel whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. RETENTION AND DISPOSAL: Records are retained for one year after the end of the year in which the file is closed and are then destroyed. SYSTEM MANAGER(S) AND ADDRESS: Director, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W300, Washington, DC 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, approximate date of grievance, and management component and/or individual against whom the grievance was filed. 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 in this system, contact the system manager at the above address. 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 records regarding you in this system, contact the system manager at the above address and reasonably identify the record and specify the information contested. Your request must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system of records is provided by the individual to whom it applies, is derived from information he or she supplied or is obtained from information supplied by others. SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT: None.

18-05-10 General Performance Appraisal System (GPAS)
(64 FR 30133-30135)

18-05-10 June 4, 1999 SYSTEM NAME: General Performance Appraisal System (GPAS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Human Resources Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2E300, Washington, DC 20202-4737. See the Appendix at the end of this system notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The U.S. Department of Education (Department), General Performance Appraisal System (GPAS) contains the performance appraisal of all Department employees in General Schedule (GS), General Merit (GM), Administratively Determined (AD), and prevailing rate plans. CATEGORIES OF RECORDS IN THE SYSTEM: The Department GPAS software holds two categories of data on employees participating in Department's performance appraisal process. These records include: (1) Personnel data, such as name, social security number, organizational entity, supervisor, position title, series and grade; and (2) Performance appraisal data: GPAS Employee Performance Agreement, evaluation standards, list of evaluators, scores and comments. Hard copies of an employee's GPAS Employee Performance Agreement, Rating of Record, and any required comments are maintained in an Employee Performance File (EPF). These files are located in cabinets in a locked secure room with Department employees' Official Personnel Folders. Hard copies of the "Summary Evaluation and Comments Reports" are generated by the GPAS System/Group Administrator. These reports are treated with utmost confidentiality. They are provided to the employee's supervisor and shared with the employee, approving official and with other appropriate management employees on a "need-to-know" basis. The GPAS System/Group Administrator retains a hard copy of the Summary and Comments Reports for each employee for one year. The GPAS System/Group Administrator maintains hard copies of the feedback and comments reports for one year. Hard copies of the GPAS Employee Performance Agreement, Rating of Record, and any required comments are maintained in the employee's Employee Performance File for four years. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 43; Title 5, Code of Federal Regulations (CFR), part 430, Performance Management, subparts A and B. PURPOSE(S): The information in this system is used to generate feedback reports on employees which are taken into consideration when the employee's supervisor provides the summary rating incorporated in the "Rating of Record," which is the official rating document placed in an employee's Employee Performance File (EPF). ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The 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 purpose 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) Employment-Related Disclosures. The Department may disclose records to Department supervisors and other management personnel on a “need-to-know” basis. The records may be used as a basis for, or in conjunction with, Reduction-in-Force, performancebased actions, within-grade actions, adverse actions, decisions regarding retention of employees during probationary period, recognition, promotions, reassignments and other appropriate personnel actions. When the Official Personnel Folder (OPF) and EPF of a GPAS employee are sent to another agency or to the National Personnel Records Center, the Servicing Personnel Office shall include all Ratings of Record that are four years old or less, any required comments, and the associated GPAS Employee Performance Agreements in the EPF. (2) 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 prosecute responsibility within the receiving entity's jurisdiction. (3) 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. (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 or 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) Employment, Benefit, and Contracting Disclosure. (a) 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) 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. (6) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to an arbitrator or another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (7) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (8) 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. (9) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (10) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (11) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (12) 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. (13) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The Department GPAS electronic records reside on a single dedicated computer that is housed in a secure area. The GPAS System Administrator retains for one year a hard copy of each employee's "Summary Appraisal Report," "Summary Evaluation Report," and any Comments Reports. These are housed in locked file cabinets in the GPAS unit at the Department. Hard copies of Ratings of Records, GPAS Employee Performance Agreements and any related required comments are stored in an employee's EPF in a locked room. RETRIEVABILITY: The GPAS records may be retrieved by an employee's name or social security number. SAFEGUARDS: All physical records are maintained in locked file cabinets. Employees have access to the GPAS software at their workstations, controlled by passwords that the employees designate. If individuals walk into employees' work area while employees are using the GPAS software, the software includes a Hide key so that the evaluations will not be compromised. System and group administrators maintain the GPAS software. These individuals are the only individuals who have access to the entire database. They do not have employees' passwords, but have the ability to change the passwords upon request. The database is protected by stringent security mechanisms that include a combination of hardware, operating system, application software, database software, and procedures. All physical access to the Department site, and the sites of Department contractors where this system of records are maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. RETENTION AND DISPOSAL: An employee's records remain in the GPAS database until employment with the Department is terminated. Some data is housed temporarily in the GPAS database during each of the Department's annual and midpoint reviews or surveys during which new data is entered directly into the GPAS system by the employee and their evaluation team members and accumulates over the course of the review process. An employee's GPAS Employee Performance Agreement, which identifies their performance elements and standards, and the "Rating of Record," Department's official performance review document, are kept in the employee's EPF for four years. If the employee leaves the Department prior to the end of the 4 years, the GPAS records are forwarded to either the National Personnel Records Center or the agency to which the employee transferred. SYSTEM MANAGER(S) AND ADDRESS: Director, Human Resources Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., FB-6, Room 2E300, Washington, DC 20202-4737. See the Appendix at the end of this system notice for additional system managers. NOTIFICATION PROCEDURE: If an employee wishes to determine whether a record exists regarding them in the system of records, the employee should provide the system manager with his name (including all names used) and social security number. The request must meet the requirements of the regulations at Title 5, Code of Federal Regulations, part 34 Sec. 5b.5, including proof of identity. The employee may present a request in person at any of the locations identified for this system of records or address it to the appropriate system manager.

RECORD ACCESS PROCEDURES: If you wish to gain access to the records regarding you in this system of records, you should contact the system manager at the above address. Your request must meet the regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to contest the content of a record, you should contact the system manager at the above address. Your request must meet the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: The information in this system comes from the Department's integrated personnel/payroll system, the employees, supervisors, and evaluation team members. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-05-10 Additional System Locations and System Managers Regional Personnel Officer, Human Resources Group, U.S. Department of Education, 61 Forsyth Street, SW., Suite 18T55, Atlanta, GA 30303. Regional Personnel Officer, Human Resources Group, U.S. Department of Education, 111 N. Canal Street, Room 1084, Chicago, IL 60606. Regional Personnel Officer, Human Resources Group, U.S. Department of Education, 50 United Nations Plaza, Room 207, San Francisco, CA 94102-4987.

18-05-11 Training Registration and Information System (TRAINS)
(64 FR 30135-30137)

18-05-11 June 4, 1999 SYSTEM NAME: Training Registration and Information System (TRAINS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Training and Development Center, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W210, Washington, DC 20202. See Appendix at the end of this system notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: TRAINS contains records of employees who register to attend training classes within the Department or who request training with an outside vendor for which approval and payment is required. CATEGORIES OF RECORDS IN THE SYSTEM: TRAINS consists of records relating to an employee's applications for, and participation in, Department training classes (internal training) and training courses, conferences, or other training-related activities offered by vendors or government agencies outside the Department (external training). In addition to the employee's name, the system contains the employee's Social Security Account Number, position level, pay plan, grade, series, organization in which employed, building/room/telephone number, service completion date, supervisor's name, training requests, record of whether the employee attended or did not attend the internal class, and record of approval by principal office and cost of the external training, conference or training-related activity. For internal training use, TRAINS has tables of course names and categories required to set up internal training classes and report the statistics on training offerings (numbers of attendees for specific courses during specific date parameters, for example). TRAINS also contains tables of users' identification information, building addresses, room locations, and vendor names and addresses. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 4103 (1994). PURPOSE(S): TRAINS is used for the following purposes: (1) To track course enrollments; (2) provide course rosters; (3) to produce attendance records for employees who attend internal training classes; (4) to produce reports on individual employees' training activities; (5) to produce reports on training activities conducted by individual organizations within the Department; and (6) by employees to request approval to attend training activities conducted outside the Department. 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 notice 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.

(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) 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determi-nation proceedings. The disclosure may only be made during the course of the proceeding.

(6) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (7) 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. (8) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained on a networked computer server with backup procedures standard to all Department servers. Individual offices may maintain a hard copy of the training requests. Since entries are made and stored electronically, any hard copy records are kept following the procedures and/or requirements of the individual principal office. The Training and Development Center maintains hard copies of data such as signed class rosters only until the TRAINS database is updated. RETRIEVABILITY: The system is indexed by Social Security number. The Training and Development Center staff, designated employees, and contractors who support the staff can access data in the system by employee name. Data for reports are retrievable by information from tables such as organization code and identifying codes for course names. SAFEGUARDS: All physical access to the Department of Education site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor

badge. The computer system employed by the Department of Education offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department of Education and contract staff on a "need-to-know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. At a program/server level all interactions by individual users with the system are recorded. Utilities within the program can identify users' last logon and record changes made in registrations. There are four categories of individuals who have some access to this system: training coordinators, executive officers, TDC staff and designated employees and contractors who support TDC activities and system administrators. RETENTION AND DISPOSAL: Records of individuals are in the system indefinitely. Employees whose names are no longer in the personnel database are marked for archiving within the system. A utility is available to reactivate the records of an employee who returns to the Department. SYSTEM MANAGER(S) AND ADDRESS: Training and Development Group Director, Training and Development Center, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W210, Washington, DC 20202-4614. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the training coordinator for your principal office and provide the training coordinator with your name and social security number. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. You may also present your request in person at any of the locations identified for this system of records which include your specific organization or address your request to the system manager at the address listed above. RECORD ACCESS PROCEDURES: You may request a copy of your student transcript from TRAINS through the training coordinator for that organization. Managers may request reports that may include the names of employees in that organization from the training coordinator or principal office for that organization. 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 information in this system pertaining to you, you should contact the system manager at the above address. You will need to provide specific information concerning any errors or omissions. It should be noted that not all employee training is entered into TRAINS and therefore cannot be tracked on the student transcript. Questions about external training for which there is no record must be addressed to the appropriate principal office. RECORD SOURCE CATEGORIES: The employee database is a subset of information from the Department's employee payroll database. This provides the employee Social Security number, name, grade, job series, and service completion date. Locator information (building/room/phone number) is updated manually from employee-provided information. Supervisor's name is updated manually from employee-provided information. All information regarding external training requests are provided by the employee requesting the training. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

Appendix to 18-05-11 Additional System Locations Capital Place, 555 New Jersey Avenue, NW., Washington, DC 20208. Mary E. Switzer Building, 330 C Street, SW., Washington, DC 20202. L'Enfant Plaza, 2100 Corridor, Washington, DC 20202. ROB-3, 7th and D Streets, SW., Washington, DC 20202. Portals Building, 1250 Maryland Avenue, SW., Washington, DC 20202. Region I, McCormack Post Office & Courthouse, Boston, MA 02109. Region II, 75 Park Place, New York, NY 10007. Region III, The Wanamaker Building, 100 Penn Square East, Room 502, Philadelphia, PA 19107. Region IV, 61 Forsyth Street, SW, Atlanta, GA 30303. Region V, 111 North Canal Street, Chicago, IL 60606. Region VI, 1999 Bryan Street, Dallas, TX 75201. Region VII, 10220 North Executive Hills Blvd., Kansas City, MO 64153. Region VII, 7505 Tiffany Springs Parkway, Kansas City, MO 64153. Region VIII, 1244 Speer Boulevard, Denver, CO 80204. Region VIII, 1391 N. Speer Boulevard, Denver, CO 80204. Region IX, 50 United Nations Plaza, San Francisco, CA 94102. Region X, 915 Second Avenue, Seattle, WA 98174. Region X, 1000 Second Avenue, Seattle, WA 98174.

18-05-12 Grievances Filed Informally Through the Informal Dispute Resolution Center (IDR Center)
(64 FR 30137-30139)

18-05-12 June 4, 1999 SYSTEM NAME: Grievances Filed Informally Through the Informal Dispute Resolution Center (IDR Center). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Informal Dispute Resolution Center, Office of Hearings and Appeals, Office of Management, U.S. Department of Education, L'Enfant Plaza, Room 2100 A, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on non-bargaining unit employees of the Department regardless of type of appointment, who individually or as a group, request personal relief in a matter of concern or dissatisfaction which is subject to the control of Department management. This includes former employees of the Department for whom a remedy can be provided, as well as applicants. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of IDR Center files. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 1302. PURPOSE(S): The information contained in this system is to consider and settle matters of dissatisfaction or concern of covered individuals. 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. (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) 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (7) 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. (8) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system.

(9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in hard copy. Summary data of records are also maintained in a computerized tracking system. RETRIEVABILITY: IDR Center records are indexed by docket number. SAFEGUARDS: Access to and use of these records are limited to those persons with a "need-to-know" and whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. Computers are password protected for individuals with access. All data bases are designed with stringent security measures to control individual users' ability to access and alter records within the system. RETENTION AND DISPOSAL: The IDR Center records are retained for 4 years after resolution of the case, as set forth in the General Records Schedule 1, Civilian Personnel Records, Item 25(a), 30(a). SYSTEM MANAGER(S) AND ADDRESS: Director, Informal Dispute Resolution Center, U.S. Department of Education, 400 Maryland Avenue, SW., Suite 2100 A, L'Enfant Plaza, 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 Act regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If you wish to gain access to records regarding you in this system of records, contact the system manager at the address listed above and follow the steps outlined in the Notification Procedure. 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 in this system of records, contact the system manager at the address listed above. Your request must meet the requirements of the regulations at 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information in this system of records is supplied from the following sources: Directly by the individual filing the grievance, from information supplied by the individual, by testimony of witnesses, employee representatives and/or Department employees/officials. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-05-13 Child Care Subsidy Program System
18-05-13
(65 FR 38266-38268) June 20, 2000

SYSTEM NAME: Child Care Subsidy Program System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: U.S. Department of Education, Office of Management, 400 Maryland Avenue, SW., room 2W200, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on employees who apply for a subsidy for child care expenses, their spouses and the children who are enrolled in government-subsidized child care. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of records relating to an employee's application for, and participation in, the child care subsidy program, including the employee's name, their spouse's name, the employee's title, grade and salary, the employee's home and work telephone numbers, the employee's home and work addresses, the organization in which the employee works, the employee's social security number, their spouse's social security number, the employee's tax returns, their spouse's tax returns, the name and social security number of the child on whose behalf the parent is applying for a subsidy, the child's date of birth, the date of entry into the Child Care Subsidy Program, and the amount of subsidy received; the name, address, telephone number, employer identification number (EIN), license and accreditation status of the child care center in which the employee's child(ren) is (are) enrolled, and the dates of attendance. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Pub. L. 106-58 (113 Stat. 477). PURPOSE(S): The information contained in this system is used for the purposes of determining program eligibility and benefits, verifying the identity of the individual, verifying the eligibility of the child care center, investigating possible fraud and verifying compliance with regulations. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: The Department of Education (the Department) may disclose information contained in a record in the systems 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. (1) Disclosures to Child Care Providers. The Department may disclose information from this system of records to child care providers in order to verify a child's dates of attendance at the provider's facility. (2) 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. (3) 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. (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 or 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) 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. (6) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: Complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (7) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department

will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (8) 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. (9) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (10) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (11) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (12) 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. (13) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE The records are maintained in hard copy and on a computer database. RETRIEVABILITY: The files in this system are retrievable by social security number or name. SAFEGUARDS: All physical access to the Department site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a need to know basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Records of individual are destroyed after five years. SYSTEM MANAGER(S) AND ADDRESS: Lead Program Specialist, Family-Friendly Programs, Work/Life Programs Group, Office of Management, 400 Maryland Avenue SW., room 2W200 Washington, DC 20202.

NOTIFICATION PROCEDURES: If you wish to determine whether a record exists regarding you in this system of records, contact the system manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. You may present your request in person at any of the locations identified for this system of records or address your request to the system manager at the address listed above. RECORD ACCESS PROCEDURES: If you wish to access a record regarding you in this system of records, contact the system manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. You may present your request in person at any of the locations identified for this system of records or address your request to the system manager at the address listed above. CONTESTING OF RECORDS PROCEDURES: If you wish to contest a record regarding you in this system of records, contact the system manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7, including proof of identity. You may present your request in person at any of the locations identified for this system of records or address your request to the system manager at the address listed above. RECORD SOURCE CATEGORIES: Information is provided by Department employees who apply for a child care subsidy and from the child care providers. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-05-14 Human Capital Learning and Performance Improvement System
18-05-14
(69 FR 19171-19176) April 12, 2004

SYSTEM NAME: Human Capital Learning and Performance Improvement System (HCL&PIS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: U.S. Department of Education, Office of Management, Human Resources Services, Training and Development Team, 400 Maryland Avenue, SW., room 1W100, Washington, DC 20202-4614. In addition to this location, the records of the Mentoring Program System also will be located at The Training Connection, Inc., 15700 Beacon Court, Montclair, VA 22026. The following records for the currently existing or prospective programs may be decentralized: • Competency Development System, • Skills Assessment System, • Learning Tracks System, • Individual Development Plan System, • Learning Management System, • Knowledge Management System, and • Employee Learning Account System. The additional locations for these programs are listed in the Appendix at the end of this notice. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Categories of individuals may include all employees of the Department of Education (Department). The system contains records on Department employees who apply for and/or participate in the following programs: • Mentoring Program System, • Employee Learning Accounts, • Tuition Reimbursement Program, • Leadership and Management Development Program, • Mobility Assignment Program, • Upward Mobility Program, • Evaluation System, • Certificate Program, • Career Intern Program, and • Presidential Management Fellows Program. The system also contains records on Department employees who request the following services: • Career Counseling Services, and • Organizational Development Process. The system also contains records on Department employees who choose to access the following currently existing or prospective electronic or web-based systems: • Competency Development System, • Skills Assessment System, • Learning Tracks System, • Individual Development Plan System,

• • •

Mentoring Program System, Learning Management System, and Knowledge Management System.

CATEGORIES OF RECORDS IN THE SYSTEM: This system contains a variety of records related to Department employees' applications for and/or participation in the following programs: • Skills Assessment System, • Learning Tracks System, • Individual Development Plan System, • Learning Management System, • Competency Development System, • Mentoring Program System, • Knowledge Management System, • Tuition Reimbursement Program, • Employee Learning Account, • Evaluation System, • Leadership and Management Development Program, • Career Counseling Service, • Organizational Development Process, • Mobility Assignment Program, • Upward Mobility Program, • Certificate Program, and • Career Intern Program/Presidential Management Fellows. Records in the system contain all or some of the following data: the individual's name, address, social security number, position level, pay plan, grade, series, supervisor, organization in which employed, building, room, telephone number, history of internal/external training attended and other learning and development activities for which the employee participated, associated training costs, competencies needed to perform a job, skill strengths and skill development needs; and short- and long-term career development plan, goals and objectives. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. sections 3301, 3302, 4103, 4109, and 4115; Executive Orders 13162 (authorizing the Career Intern Program) and 13318 (authorizing the Presidential Management Fellows Program). PURPOSE(S): The purpose of the HCL&PIS is to implement the President's Management Agenda and to achieve the Department's One ED initiatives by strategically aligning the Department's human capital resources with its mission, core values, goals and objectives. The Department's ultimate objective is to ensure that the right people with the right skills are in the right jobs. And, in order to sustain a high performing workforce that is continuously improving in productivity, various systems and programs are designed and integrated to allow the Department to identify, develop, track and manage the learning and development of its human capital. This comprehensive systems development approach to learning and performance improvement allows Human Resources Service's (HRS) Training and Development Team (TDT) to identify skills needed for the current and future workforce, to design and implement activities to correct skill gaps and imbalances, and to capture the best-in-practice knowledge and skills of employees who leave the Department. The Department's approach to aligning its human capital resources to its mission includes and consists of implementation of these programs, services, and electronic or web-based systems:

Learning Management System (LMS) The Learning Management System (LMS) will serve the following purposes: (1) To track course enrollments by Department employees; (2) to provide course rosters; (3) to produce attendance records for Department employees who attend internal training classes; (4) to produce reports on an individual employee's training activities; (5) to produce reports on training activities conducted by individual organizations within the Department; and (6) to allow Department employees to request approval to attend training activities conducted outside the Department. Competency Development System (CDS) Competencies are specific knowledge, skills, abilities, characteristics, and behaviors that enhance job performance. Therefore, the CDS will identify competencies for each critical job function within the Department and allow employees within those job functions or who aspire to move into those job functions to identify the level of promotion progression within those jobs and the level of performance required to carry out those functions. Skills Assessment System (SAS) Once an individual has identified, through the CDS, the necessary competencies for a specific job function and the expected level of performance at each grade interval, the purpose of the SAS is to help the employee to self-assess and measure, at the various grade intervals, the individual's ability to perform a specific skill and his or her knowledge of a particular job function. Another assessment component will allow the employee to identify individual training needs, including the types of training desired and the varying delivery formats (i.e., classroom or e-learning). In addition, other self-assessment components will be facilitated, analyzed and interpreted by a certified consultant and will allow the employee to assess his or her behavior and interpersonal style in relation to various work environments and to determine areas for improvement. Use of any component of the SAS is voluntary, and information is maintained only on those employees who access the SAS. Learning Tracks System (LTS) As a result of the skills assessment, employees may identify existing skills they need to enhance or new skills they need to develop. The LTS will serve the purpose of helping an employee link a specific job function and its levels of performance to various learning and development activities that are available (internally and externally) to the Department. Individual Development Plan (IDP) System In addition, as a result of the data identified in the LTS, the IDP system will allow employees to chart a selected learning track and develop a plan of action with objectives that will help them achieve three to five year career goals. The IDP will guide employees through a process of setting short- and long-term developmental objectives and identifying learning activities that will enhance those skills necessary to achieve high performance in their current job function and/or prepare for future career transition goals. Mentoring Program System (MPS) The MPS is a learning and development option that complements the traditional classroom training, conference attendance, and e-learning opportunities made available to

employees. The MPS will allow a process for creating an environment for one-on-one working relationships. One person invests time, know-how, and effort in enhancing another person's growth, knowledge and skills and responds to that person's critical professional needs in order to help prepare the individual for greater productivity or achievement. In addition, the MPS will focus on developing leaders into coaches, enhancing their ability to influence others, and ingraining a willingness in them to accomplish organizational values, principles and vision. The system will ultimately allow managers and team leaders to train and orient employees to the realities of the workplace and help employees remove any barriers to achieving optimum work performance. Knowledge Management System (KMS) The KMS will serve the purpose of establishing a systematic process for identifying, capturing and transferring information and knowledge that can be used to create, complete and improve job functions. The KMS will increase the Department's ability to capture best-in-practice data, share the knowledge, and review past strategic plans, key business initiatives and customer relationships. In addition, having access to this type of historical data will allow Department employees and officials to make better informed decisions for overcoming current barriers and carrying out the organization's mission. Tuition Reimbursement Program (TRP) The TRP expands the opportunities for Department employees to pursue higher education learning at a college or university of their choice that is strategically linked to their current job or the mission of the Department. The purpose of this program is to enable the Department to retain and recruit highly skilled employees necessary to carry out mission critical functions within the Department. Courses can be taken through traditional classroom learning or e-learning. Employees receive tuition reimbursement for successfully completing pre-approved graduate or undergraduate job-related courses. Employee Learning Account (ELA) The purpose of an ELA is to set aside a specified amount of resources such as dollars, hours, or learning technology tools (e.g., access to the Internet, use of government computers at an employee's desk, or time away from the office) or a combination of these options for an individual employee to use for his or her learning and development. ELAs move the Department's focus to continuous learning and strategic workforce development and integrates resources for training with balancing work and learning time. ELAs can benefit both managers and employees because they improve organizational performance through targeting employees' specific learning needs and involve employees in their own development. Evaluation System (ES) The ES will help the TDT measure the effectiveness of the content of training courses; the transfer of knowledge to the participant; the ability of the employee to apply the learning back on the job; and the goals achieved as a result of the employee participating in the learning. The analysis of the data allows TDT to make improvements to the systems and programs as necessary and ensures accountability for results. Leadership and Management Development Program (LMDP)

The LMDP supports the Department's goal of ensuring management excellence to foster accountability and achieve strategic business outcomes. The purpose of the program is to enhance the ability of leadership to manage effectively their organization, maintain productive interpersonal relationships with subordinates, peers and upper level management, manage conflict, and balance work and life. The focus of the program evolves around the following Executive Core Qualifications: Leading Change, Leading People, Results Driven, Business Acumen and Building Coalitions/Communications. Career Counseling Service (CCS) The CCS assists employees with selecting alternatives for their career progression. The purpose of CCS is to provide on-site, confidential, one-on-one career counseling that helps individuals explore their future and match their interests and skills to their career plans. The counselors help employees develop their career profiles and individual development plans to utilize their strengths, maximize their potential, and put them on the path to achieving their goals. Employees determine their potential interests, interpersonal styles and basic skills through various adult-learning techniques. Employees can take charge of their individual development through the CCS. In addition, guidance is provided to employees and/or team leaders to create a comprehensive development plan that will contribute to individual and organizational effectiveness. Organizational Development Process (ODP) The purpose of an ODP is to offer principal offices (POs) the opportunity to review their organizational effectiveness in preparation for a reorganization initiative or significant organizational change. In conducting the review, TDT partners with leading management consulting firms staffed with highly respected experts in the fields of organizational development and psychology. They conduct reviews that are tailored to the needs of the organization and can cover such areas as: operating structure, leadership, customer satisfaction, employee satisfaction, organizational performance, and human resource needs. Throughout the review, POs are provided with updates on any emerging trends. In addition, the POs are provided with a report and briefing describing the findings, recommendations and next steps. Mobility Assignment Program (MAP) The Mobility Assignment Program (MAP) is designed to provide opportunities for employees to participate in detail assignments offering new skills, perspectives, and knowledge. MAP creates avenues for Department employees to gain experience in program areas in which they have not previously worked, thereby enhancing their skills and broadening their knowledge base. MAP details can last from 30 days to one year. MAP participants who are on a detail assignment for more than 120 days must have an individual development plan (IDP). Upward Mobility Program (UMP) The purpose of the UMP is to provide an opportunity for lower level employees whose current job provides limited or no opportunity for advancement, to enter a new career field in a technical, administrative or trade occupation that provides growth potential. The program allows an employee to develop specific skills that will prepare the employee for an identified target position. This program is initiated by the employee's supervisor and is part of a larger career development system that includes creating a position vacancy, developing an IDP, receiving career counseling, completing developmental activities and obtaining a promotion.

Certificate Program (CP) The purpose of the CP is to provide professional certification for job functions that include, but are not limited to, Information Technology, Accounting, Project Management and Financial Management. Employees within these job functions have the opportunity to enhance their knowledge and skills, stay abreast of the most current practices within their fields, and earn credit hours to maintain the necessary licenses or credentials required in their professions. Employees participate in a formal program that consists of several classes presented by a local college/university or an accredited institution. Career Intern and Presidential Management Fellows Program (CIP&PMF) The CIP and PMF Programs are special hiring authorities for recruitment and hiring of entry-level employees into professional career fields. Program participants must create and complete an Individual Development Plan, which identifies the learning objectives and describes the on-the-job and formal learning experiences that the intern will undertake. Progress towards completion of the program objectives and activities is monitored through records of course completions and evaluations of assignments. Successful completion of these programs leads to promotion and/or conversion to a permanent position. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: The 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 Privacy Act, under a computer matching agreement. (1) Enrollment and Payment Disclosure. The Department may disclose a record in this system of records to course or learning providers for enrollment purposes. Disclosures may also be made to course or learning providers to ensure that appropriate payments are being made to employees requesting reimbursement of their expenses. (2) Litigation and Alternative Dispute Resolution (ADR) Disclosures. (a) Introduction. In the event that one of the following parties is involved in litigation or ADR, or has an interest in litigation or 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, or any of its components; or (ii) Any Department employee in his or her official capacity; or (iii) Any Department employee in his or her individual capacity where the Department of Justice (DOJ) agrees to or has been requested to provide or to arrange for representation of the employee; (iv) Any Department employee in his or her individual capacity where the Department 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 DOJ. If the Department determines that disclosure of certain records to the DOJ, or attorneys engaged by DOJ, is relevant and necessary to litigation or ADR, and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the DOJ. (c) Adjudicative Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, or to an individual or entity designated by the Department or otherwise empowered to resolve or mediate

disputes, is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity. (d) Parties, Counsel, Representatives and Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness. (3) Freedom of Information Act (FOIA) Advice Disclosure. In the event the Department deems it desirable or necessary, in determining whether particular records are required to be disclosed under the FOIA or other authority permitting disclosure of records, disclosure may be made to DOJ or the Office of Management and Budget for the purpose of obtaining advice. (4) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C 552a(m) with respect to the records in the system. (5) 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 relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether foreign, Federal, State, Tribal, or local, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute or executive order, or rule, regulation, or order issued pursuant thereto. (6) Congressional Member Disclosure. The Department may disclose to a member of Congress the records 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. (7) Disclosure for Use By Law Enforcement Agencies. The Department may disclose information to any Federal, State, local or other agencies 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 prosecutorial responsibility within the entity's jurisdiction. (8) 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 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. (9) Employee Grievance, Complaint, or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competency determination proceedings. The disclosure may only be made during the course of the proceeding. (10) Labor Organization Disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or

to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The following programs, services, and systems are maintained in hard copy and on a networked computer database with backup procedures standard to all Department servers: CDS, SAS, LTS, IDP, ES, LMS, KMS, TRP, ELA, LMDP, CCS, ODP, MAP, UMP, CP, CIP, and PMF. The MPS is maintained on a contractor's leased/licensed system. Hard copies will be maintained in locked file cabinets. RETRIEVABILITY: The records are retrieved by a manual or computer search by indices. The TDT staff, designated employees, and contractors who support the TDT staff can access data in the systems by employee name or other individual identifiers. SAFEGUARDS: All physical access to the sites within the Department where the system of records is maintained are controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. Direct access to the system of records is restricted to authorized Department staff performing official duties. All hard copy records are maintained in locked file cabinets. Authorized staff is assigned passwords that must be used for access to computerized data. The systems-access passwords are changed frequently. The data is maintained in a secured-access area. All users of the system of records are given unique user IDs with personal identifiers. At a program/server level all interactions by individual users with the system are recorded. The databases will be protected by stringent security mechanisms that include a combination of hardware, operating systems, application software, and database software and procedures. The license holder will also maintain records for the Mentoring Program System. All information sent to the contractor's site for MPS is encrypted protecting against disclosures to third parties. Once data is received at the contractor's website, the contractor for MPS will follow the same safeguards as listed above. RETENTION AND DISPOSAL: The Department will retain and dispose of these records in accordance with National Archives and Records Administration General Records Schedule 1, Item 29, for Training Records. SYSTEM MANAGER(S) AND ADDRESS: Director, Human Resources Services, Training and Development Team, Human Resources Services, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., room 1W100, Washington, DC 20202-4614. NOTIFICATION PROCEDURES: If an individual wishes to inquire whether a record exists regarding him or her in this system, the individual should provide his or her name and social security number to the appropriate system manager. Such request must meet the requirements of the Department's Privacy Act regulations in 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If an individual wishes to gain access to a record in this system, he or she should contact the appropriate system manager and provide information as described in the notification procedure. Requests by an individual for access to a record must meet the requirements in 34 CFR 5b.5.

CONTESTING OF RECORDS PROCEDURES: If an individual wishes to request an amendment to a record pertaining to himself or herself that is contained in the system of records, he or she should contact the appropriate system manager with the information described in the notification procedure, identify the specific items requested to be changed, and provide a justification for such change. A request to amend a record must meet the requirements in 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system of records is obtained from the individual to whom the information applies. Additionally, the system may obtain additional information from the Department's Federal Personnel Payroll System (FPPS). The FPPS database may be used to provide the employee's social security number, name, grade, job series and service computation date. Supervisor and locator information (building/room/phone number, etc.) and all other information is manually provided by the TDT administrative staff, contractors supporting TDT, the individual employee and/or the supervisor of the employee. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-05-14---Additional Systems Locations • • • • • • • • • • • • • • • • • • Capital Place, 555 New Jersey Avenue, NW., Washington, DC 20208. Federal Building 6, 400 Maryland Ave., SW., Washington, DC 20202. Mary E. Switzer Building, 330 C Street, SW., Washington, DC 20202. L'Enfant Plaza, 2100 Corridor, Washington, DC 20202. Regional Office Building, 7th and D Streets, SW., Washington, DC 20202. 1990 K Street, NW., Washington, DC 20006. Union Center Plaza, 830 First Street, NE., Washington, DC 20202. Potomac Center, 555 12th Street, SW., Washington, DC 20024. Region I, McCormack Post Office and Courthouse, Boston, MA 02109. Region II, 75 Park Place, New York, NY 10007. Region III, 100 Penn Square East, Philadelphia, PA 19107. Region IV, 61 Forsyth Street, SW., Atlanta, GA 30303. Region V, 111 North Canal Street, Chicago, IL 60606. Region VI, 1999 Bryan Street, Dallas, TX 75201. Region VII, 10220 N. Executive Hills Blvd., Kansas City, MO 64153. Region VIII, 1244 Speer Blvd., Denver, CO 80204. Region IX, 50 United Nations Plaza, San Francisco, CA 94102. Region X, 915 Second Avenue, Seattle, WA 98174.

18-05-15 Student Loan Repayment Benefits Case Files
18-05-15
(67 FR 37412-37414) May 29, 2002

SYSTEM NAME: Student Loan Repayment Benefits Case Files. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Human Resources Group, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., room 2E300, FOB-6, Washington, DC 20202-4573. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records and related correspondence on individuals who are being considered for student loan repayment benefits under the Department of Education's Personnel Manual Instruction 537-1 entitled "Repayment of Federal Student Loans," as well as individuals who have been approved for and are receiving such benefits. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains correspondence and other documents related to requests made by selecting officials or supervisors to offer student loan repayment benefits to recruit or retain highly qualified employees. This system contains: (1) Request letters from selecting official or supervisor with supporting documentation; (2) employee's (or potential employee's) names, home and work addresses, social security numbers, student loan account numbers, loan balances, repayment schedule, repayment history, and repayment status; and (3) the loan holder's name, address and telephone number. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Floyd D. Spence National Defense Authorization Act of Fiscal Year 2001 (Public Law 106-398); 5 U.S.C. 5379, as amended, and regulations to be codified at 5 CFR part 537. PURPOSE(S): These records are maintained to determine eligibility and benefits and to process requests to offer student loan repayment benefits to employees under authority set forth at 5 U.S.C. 5379. The records are used by the Department to prepare its reports for OPM, as is required by 5 CFR 537.110. The Department will also refer information from this system to loan holders for collection activities in the case of any student loan default or delinquency that becomes known to the Department in the course of determining an employee's (or potential employee's) eligibility for student loan repayment benefits because of the Department's mission responsibilities for Federal student loan programs and its role in promoting their responsible use by student borrowers. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES The 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 Privacy Act, under a computer matching agreement. (1) Personnel Management Disclosure. The Department may disclose as a routine use to OPM any records or information in this system of records that OPM requests or requires pursuant to OPM's oversight and regulatory functions. (2) Salary Offset or Debt Collection Disclosures. The Department may disclose records in this system to other Federal agencies, hearing or court officials, and present employers of an employee in order for the Department to obtain repayment, if an employee fails to complete the

period of employment under a service agreement and fails to reimburse the Department the amount of any student loan repayment benefits the employee received from the Department. (3) Disclosure to other Federal agencies. The Department may disclose records in this system to its payroll processing provider in order to calculate tax withholdings and disburse payments of student loan repayment benefits to loan holders on behalf of employees approved to receive this benefit. (4) Disclosure to Student Lending Institutions or Loan Holders. The Department may disclose to student lending institutions or loan holders records from this system as a routine use disclosure in order to obtain information (such as the borrower's account number, original and current loan balance, repayment schedule, repayment history, and current repayment status) to allow the Department to determine an employee's or potential employee's initial and continuing eligibility for this program, to facilitate accurate payments to student loan holders on behalf of eligible employees, and to ensure the Department discontinues making student loan repayments to individuals who do not remain eligible for them during the period of the service agreement. The Department also may disclose to loan holders records from this system of records as a routine use disclosure in the event it becomes known to the Department during the course of its program eligibility determinations that an individual is past due, delinquent, or in default of a federally insured student loan so that the Department can facilitate the loan holder's collection of any past due, delinquent or defaulted student loans, because of the Department's mission responsibilities for Federal student loan programs and its role in promoting their responsible use by student borrowers. (5) 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 prosecutorial responsibility within the receiving entity's jurisdiction. (6) 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. (7) 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 or 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, 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 Department requests representation for or 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 litigation or ADR, 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 is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness. (8) 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. (9) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: a complaint, a grievance, or a discipline or competence determination proceeding. The disclosure may only be made during the course of the proceeding. (10) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to DOJ and OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA. (11) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the program covered by this system. (12) 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. (13) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) the name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in hard copy and may be retained in electronic form accessible with office automation software on a Department personal computer in offices of the Human Resources Group. RETRIEVABILITY: Records are retrieved by the name of the individual. SAFEGUARDS: Hard copy records are stored in a locked metal filing cabinet, with access limited to personnel whose duties require access. Electronic records are stored on computer diskette that is secured in a locked metal filing cabinet, with access limited to personnel whose duties require access. Personal computers used to view the electronic media are password protected; passwords are changed periodically throughout the year. All physical access to the building where this system of records is maintained is controlled and monitored by security personnel who check each individual entering the building for an employee or visitor badge. RETENTION AND DISPOSAL: Service agreements between the Department and an employee and related supporting documents resulting in approval for program benefits will be retained for a period of three years after the employee satisfies the terms and conditions of the agreement. All other documents will be retained in accordance with the National Archives and Records Administration General Records Schedules (GRS) 1. SYSTEM MANAGER(S) AND ADDRESS: Director, Human Resources Group, U.S. Department of Education, 400 Maryland Avenue, SW., room 2E300, FOB-6, Washington, DC 20202-4573. NOTIFICATION PROCEDURE: If you wish to inquire whether a record exists regarding you in this system, you should contact the system manager at the address listed above. You must provide your name, name of organization, and subject matter. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If you wish to request access to your records, you should contact the system manager at the address listed above. You must comply with the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to request an amendment to your records, you should contact the system manager at the address listed above. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system of records is obtained from the individual to whom the information applies, lending institutions holding student loans for the individual to whom the information applies, officials of the Department, and official Department documents. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-05-17 Investigatory Material Compiled for Personnel Security and Suitability, Positive Identification Verification and Access Control for the Department of Education Security Tracking and Reporting System (EDSTAR)
18-05-17
(72 FR 66158-66162) November 27, 2007

SYSTEM NAME: Investigatory Material Compiled for Personnel Security, Suitability, Positive Identification Verification and Access Control for the Department of Education Security Tracking and Reporting System (EDSTAR). SECURITY CLASSIFICATION: None SYSTEM LOCATIONS: (1) Security Services, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-5345. (2) U.S. Department of Education, Data Center, 6710 Oxon Hill Road, Oxon Hill, MD 207451117. (3) U.S. Office of Personnel Management (OPM), Federal Investigations Processing Center, P.O. Box 618, 1137 Branchton Road, Boyers, PA 16018-0618. (4) Verisign, 487 E. Middlefield Road, Mountain View, CA 94043-4047. (5) U.S. Department of Justice (DOJ), DOJ Rockville Data Center, 1151-D Seven Locks Road, Rockville, MD 20854-0001. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains information on applicants seeking Federal or contract employment with the Department, current Federal employees and contractors, and other persons or entities doing business with the Department, or persons either seeking unescorted access to the facilities, or access to the information systems of the Department, or both. The system does not cover term employees of less than 30 calendar days with monitored access to either the Department’s facilities or information system, or both. Nor does it cover occasional visitors or short-term guests to the Department to the extent that they are issued non-Personal Identity Verification (PIV) temporary identification. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of records containing investigative information pertaining to current and former Department employees, current and former contractor personnel, and current employees of entities making offers to the Department for purposes of doing business. This information may include information pertaining to the individuals' character, conduct, and loyalty to the United States as relevant to determination of their suitability for employment in the Department. This system of records may include an individual’s name, former names, birth date, birth place, Social Security number, home address, phone numbers, employment history, residential history, education and degrees earned, names of associates and references and their contact information, citizenship, names of relatives, birth dates and birth places of relatives, citizenship of relatives, names of relatives who work for the Federal government, mental health history, drug use, financial information, summary report of investigation, results of suitability decisions, level of security clearance, date of issuance of security clearance, requests for appeal, witness statements, investigator’s notes, tax return information, credit reports, security violations, circumstances of violation, and agency action taken. These records also may, as appropriate to the individual being investigated, include the following types of information:

(1) Documentation as to his or her arrests and convictions for violations of the law. (2) Reporting as to interviews held with the individual, his or her present and former supervisors, co-workers, associates, neighbors, educators, etc. (3) Correspondence relating to adjudication matters involving the individual. (4) Reports of inquiries made of law enforcement agencies for information about the individual contained in the agencies’ records. (5) Information provided by organizations having association with the individual, such as employers, educational institutions attended, professional or fraternal or social organizations to which the individual is or was a member, etc. (6) Reports of action following an OPM investigation or a Federal Bureau of Investigation Section 8(d) full field investigation. (7) Personal access logs of individuals entering access controlled space. (8) Public Key Infrastructure (PKI) Certificates issued under direct guidance from Homeland Security Presidential Directive (HSPD)-12 and Federal Information Processing Standard (FIPS)201. (9) Personal fingerprint records for identification and criminal records checks. (10) Other information developed from the previous sources. In addition, this system contains records maintained on individuals issued PIV credentials by the Department. These records may include the following data fields: full name; Social Security number; date of birth; signature; image (photograph); fingerprints; hair color; eye color; height; weight; organization or office of assignment; company name; copy of background investigation form; PIV card issuance and expiration dates; personal identification number (PIN); results of background investigation; PIV request form; PIV registrar approval signature; PIV card serial number; emergency responder designation (if applicable); copies of documents used to verify identification or information derived from those documents such as document title, document issuing authority, document number, document expiration date, document other information); level of national security clearance and expiration date; computer system user name; user access and permission rights, authentication certificates; and digital signature information. For those issued non-PIV identification these fields do not apply. Note 1: OPM and DOJ issue the standard forms used to collect information in this system, i.e. Standard Form (SF) 85, SF-85P, SF-85PS, SF-86, SF-87, and Fingerprint card FD-258. Note 2: To the extent that the Department has records of a personnel investigative nature that come from OPM or its contractors, these records are covered by OPM/CENTRAL-9, Personnel Investigations Records, and are not covered by this system notice. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: HSPD-12, Policy for a Common Identification Standard for Federal Employees and Contractors (August 27, 2004); Executive Orders 10450, 18 FR 2489, 3 CFR 1949-1953 Comp., p. 936); 10577 (3 CFR 1954-1958 Comp., p. 218); and 12968 (Access to Classified Information); 5 U.S.C. 3301 and 7301; Federal Property and Administrative Act of 1949, as amended through Public Law 106-580; and 5 CFR parts 5, 731, 732, and 736. PURPOSE(S): Records in this system are maintained to assist in making determinations concerning suitability for Federal employment, security clearances, access to classified information, unescorted access to Federal government owned and Federal government leased facilities or restricted areas, and evaluations as to acceptability for performance under Federal contracts or other agreements with the Federal government. Purposes of this system also include: ensuring the safety and security of Federal facilities, systems, and information resources, as well as the safety and security of the occupants and users of these facilities, systems, and information

resources; verifying that persons entering Federal facilities and using Federal systems and information resources, are authorized to do so; and tracking and controlling PIV cards issued to persons entering the Federal government’s facilities and using its systems and information resources. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The 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. The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1998, as amended, under a computer matching agreement. (1) Program Purpose. The Department may disclose records from this system of records to any source or potential source from which information is requested in the course of an investigation concerning the suitability or retention of an employee or a contractor, or the retention of a security clearance, contract, grant, license, or other benefit, to the extent necessary to identify the individual being investigated, inform the source of the nature and purpose of the investigation, and to identify the type of information requested. (2) Enforcement Disclosure. The Department may disclose relevant records to a Federal, State, local, foreign, or tribal entity or other public authority responsible for the investigation, prosecution, enforcement, or implementation of a statute, rule, regulation, or order, when a record on its face or in combination with any other information indicates a violation or potential violation of law (whether civil, criminal, or regulatory in nature) if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility of the receiving entity. It is Office of Management policy not to disclose records under this routine use that pertain to those questions for which the Office of Management has promised confidentiality under SF-85P, Questionnaire for Public Trust Positions. (3) Contract Disclosure. If the Department contracts with an entity for the purpose of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records as a routine use to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (4) Litigation or Alternative Dispute Resolution (ADR) Disclosure. (a) Introduction. In the event that one of the following parties is involved in litigation or ADR, or has an interest in litigation or 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 or any of its components. (ii) Any Department employee in his or her official capacity. (iii) Any employee of the Department in his or her individual capacity where the DOJ has agreed to or has been requested to provide or arrange for representation of the employee. (iv) Any employee of the Department in his or her individual capacity where the Department has agreed to represent the employee. (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 or attorneys engaged by DOJ is relevant and necessary to litigation or ADR and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to DOJ. (c) Adjudicative Disclosure. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear or to an individual or

entity designated by the Department or otherwise empowered to resolve or mediate disputes is relevant and necessary to litigation or ADR and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity. (d) Disclosure to Parties, Counsel, Representative, or Witnesses. If the Department determines that disclosure of certain records to a party, an opposing counsel, representative, or witness is relevant and necessary to litigation or ADR and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to a party, counsel, representative, or witness. (5) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose information from this system of records to DOJ for the purpose of obtaining advice regarding the releasability of records maintained in this system of records under the FOIA and the Privacy Act of 1974. (6) Congressional Member Disclosure. The Department may disclose information from this system of records to a Member of Congress or to a Congressional staff member in response to an inquiry of the Congressional office made at the written request of the constituent about whom the record is maintained. (7) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information from this system of records 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, investigative, or prosecutorial responsibility within the receiving entity's jurisdiction. (8) Disclosure for Use for Intelligence Activities. The Department may disclose information from this system of records to Federal, State, or local agencies, other appropriate entities or individuals, or, through established liaison channels, to selected foreign governments, in order to enable an intelligence agency to carry out its responsibilities as authorized by law, including the National Security Act of 1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333 or any successor order, applicable national security directives, or classified implementing procedures approved by the Attorney General and promulgated pursuant to such statutes, orders or directives. (9) Employment, Benefits, and Contracting Disclosure. (a) For Decisions by the Department. The Department may disclose information from this system of records to a Federal, State, or local agency or to another public authority or professional organization, to obtain information relevant to the Department’s conduct of a security or suitability investigation of an individual seeking employment, licensure, other benefits, or to perform contractual services for, or to otherwise associate with, the Department. (b) For Decisions by Other Public Agencies and Professional Organizations. The Department may disclose information from this system of records to a Federal, State, local, or foreign agency, or other public authority or professional organization, so that the receiving entity may obtain information relevant to its conduct of a security or suitability investigation of an individual seeking employment, licensure, other benefits, or to perform contractual services for, or to otherwise associate with, the receiving entity. (10) Employee Grievance, Complaint, or Conduct Disclosure. If a record is relevant and necessary to a grievance, complaint, or disciplinary proceeding regarding a present or former employee of the Department, the Department may disclose the record in the course of an investigation, fact-finding, or adjudication to another agency of the Federal government, or to any witness, designated fact-finder, mediator, or other person designated to resolve issues or decide the matter. The disclosure may only be made during the course of the investigation or the proceeding. (11) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records to appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in this system has been compromised; (b) the

Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (c) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist the Department in responding to the suspected or confirmed compromise and in helping the Department prevent, minimize, or remedy such harm. (12) Disclosure to Protect Safety and Security of Department Employees, Customers, and Facilities. The Department may disclose to Federal, State, and local law enforcement agencies and private security contractors, as appropriate, information that the Department deems necessary in order to: (a) assist with the protection of the safety of Department employees and customers, the security of the Department's workplace, or the operation of the Department's facilities or information systems; or (b) assist with investigations or prosecutions with respect to activities that affect such safety and security or activities that disrupt the operation of the Department. Note 3: Disclosures within the Department of data pertaining to date and time of entry and exit of a Department employee working in the District of Columbia may not be made to supervisors, managers, or any other persons (other than the individual to whom the information applies) to verify employee time and attendance records for personnel actions because 5 U.S.C. 6106 prohibits Federal Executive agencies (other than the Bureau of Engraving and Printing) from using a recording clock within the District of Columbia, unless used as a part of a flexible schedule or compressed work schedule under 5 U.S.C. 6120 et seq. POLICIES AND PRACTICES OF STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained on paper and in electronic form. Paper records are stored in fire resistant locked file cabinets in locked access-controlled rooms. Within the locked accesscontrolled room, electronic files are encrypted and stored in alarmed electronic retrieval file systems. The data servers, the laptops, and the desk computers where the data resides are in locked access-controlled rooms. PIV identification card data on cardholders entering the Department’s facilities is stored in an encrypted database. RETRIEVABILITY: Electronic and paper records are retrieved by an unique identifying number by the Department pursuant to the National Institute of Standards and Technology (NIST), Federal Information Processing Standard (FIPS) 201, Personal Identity Verification for Federal Employees and Contractors; this number is cross-referenced to the name of the individual. SAFEGUARDS: All physical access to the Department’s sites, and the sites of the Department’s contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. In accordance with the Department’s Administrative Communications System (ACS) Directive OM: 5-101 entitled “Contractor Employee Personnel Security Screenings,” all contract and Department personnel who have facility access and system access are required to undergo a security clearance investigation. Individuals requiring access to Privacy Act data are required to hold, at a minimum, a moderate-risk security clearance level. These individuals are required to undergo periodic screening at five-year intervals. In addition to undergoing a security clearance investigation, contract and Department personnel are required to complete security awareness training on an annual basis. This training is required to ensure that contract and Department

users are trained appropriately in safeguarding Privacy Act data in accordance with OMB Circular No. A-130, Appendix III. Computer databases are kept on encrypted servers on an isolated virtual local area network (VLAN) that is not connected to any outside network including the Internet. Database accessibility is restricted to hard wire network connection from within the Office Management, Security Services, and direct Integrated Services Digital Network (ISDN) line to the Department of Justice (DOJ), or via secure portal to the Office of Personnel Management (OPM). Authorized log-on codes and passwords prevent unauthorized users from gaining access to data and system resources. All users have unique log-on codes and passwords. The password scheme requires that users must change passwords every 60 days and may not repeat the old password. Any individual attempting to log on who fails is locked out of the system after three attempts. Access after that time requires intervention by the system manager. RETENTION AND DISPOSAL: Most background investigative records are maintained in accordance with General Records Schedule (GRS) 18, Item 22 - destroy not later than five years after separation or transfer of employee or no later than five years after contract relationship expires, whichever is later. Records are destroyed by deletion or shredding. Reports of background investigations conducted by the Office of Inspector General under delegated authority of the OPM are retained in accordance with OPM retention standards for similar records, pending National Archives and Records Administration (NARA) approval. Records will be maintained for 15 years after the last investigative activity, except investigations involving potentially actionable issue(s) will be maintained for 25 years after the last investigative activity and then destroyed by deletion or shredding. Personal access logs of individuals entering controlled space are retained in accordance with GRS 18, Item 17. In the Department’s secured facilities, records are destroyed five years after final entry or five years after date of document, as appropriate. For all other facilities, records are destroyed two years after final entry or two years after date of document, as appropriate. Records are destroyed by deletion or shredding. PKI certificates and PIV cards issued under guidance of HSPD-12 and FIPS-201 will be retained in accordance with the pending GRS disposition authority as issued by NARA, or in a NARA-approved, Departmental records retention schedule, as appropriate. SYSTEM MANAGER(S) AND ADDRESS: Security Services, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W314, Washington, DC 20202-5345. NOTIFICATION PROCEDURE: If an individual wishes to determine whether a record exists regarding him or her in this system of records, the individual must contact the system manager and provide his or her name, date of birth, social security number, signature, and the address to which the record information should be sent. This information is required to ensure the positive identification of the person’s record in the system. Requests for notification about an individual must meet the requirements of the regulations in 34 CFR 5b.5.

RECORD ACCESS PROCEDURE: If an individual wishes to gain access to a record in this system, he or she must contact the system manager and provide information as described in the notification procedure. CONTESTING RECORD PROCEDURE: If an individual wishes to change the content of a record in the system of records, he or she must contact the system manager with the information described in the notification procedure, identify the specific item or items to be changed, and provide a written justification for the change, including any supporting documentation. Requests to amend a record must meet the requirements of the regulations in 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information contained in this system of records is obtained from-(a) Investigative and other record material furnished by other Federal entities, other departmental components, State, local, and foreign governments; (b) Applications and other personnel and security forms; (c) Personal investigation, written inquiry, interview, and the electronic accessing of computer databases of sources, such as the OPM system of records known as Personnel Investigations Records (OPM/Central-9), employers, educational institutions, references, neighbors, associates, police departments, courts, credit bureaus, medical records, probation officials, prison officials, DOJ, newspapers, magazines, periodicals, and other publications; and (d) Confidential sources. EXEMPTIONS CLAIMED FOR THE SYSTEM: The Secretary has exempted by regulation –- in 34 CFR 5b.11(d) -- this system of records only to the extent that the information is investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5): (1) 5 U.S.C. 552a(c)(3), regarding access to an accounting of disclosures of records. (2) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification of and access to records and correction or amendment of records. (3) 5 U.S.C. 552a(e)(4)(G) and (H) regarding inclusion of information in the system notice about procedures for notification, access, and correction of records. As indicated in 34 CFR 5b.11(f), individuals will be provided access to information in this system, except when, in accordance with the provisions of 5 U.S.C. 552a(k)(5): (1) The disclosure of such information would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence; or (2) The information was obtained prior to September 28, 1975 and the disclosure of such information would reveal the identity of the source under an implied promise that the identity of the source would be held in confidence.

18-05-18 Education Publications Center (ED PUBS)
(70 FR 55817 – 55518) September 23, 2005

18-05-18
SYSTEM NAME: Education Publications Center (ED PUBS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Aspen Systems Corporation, 2277 Research Boulevard, Rockville, MD 20850. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on individuals who contact ED PUBS to request products from the U.S. Department of Education. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains the name, address, and telephone number of the individuals, as well as what product those individuals request. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Goals 2000: Educate America Act, Pub. L. 103-227, 951, 20 U.S.C. 6051 (Supp. I, 1995). PURPOSE(S): The information in this system is used to disseminate the Department's products to the public. 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 Privacy 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 prosecutorial responsibility within the receiving entity's jurisdiction. (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) 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, 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) Labor Organization Disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation. (7) 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. (8) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system.

(10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are retained in a computer database. RETRIEVABILITY: The records are retrieved by customer type (this is a categorical description of the customer such as school administrator, parent, teacher K-12, etc.), order date, the title of the requested product, and the region of the country from which the order was placed. SAFEGUARDS: Records in the system will be maintained in a secure password-protected electronic system that will utilize security hardware and software to include: firewalls to block external access to the system, the required use of a unique user ID with personal identifiers, and the recording of all interactions with the system. A maximum of one trusted individual with a Department of Justice Civil clearance has system logon access. This clearance is based on a National Agency Checks with Written Inquiries and Credit (NACIC) review, equivalent to the Department's moderate risk 5C clearance process. All physical access to the site of the Department's contractor, where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The ED PUBS system has been granted Certification and Full Accreditation in accordance with the Department's Certification and Accreditation Program, and applicable Federal laws and policies. RETENTION AND DISPOSAL: Records are deleted upon revision or update. SYSTEM MANAGER(S) AND ADDRESS: ED PUBS Contract Officer's Representative & Program Manager/Analyst, Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW., room 2E103, 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's Privacy Act regulations at 34 CFR 5b.5, including proof of identity.

RECORD ACCESS PROCEDURES: If you wish to access a record regarding you in the system of records, contact the system manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to contest a record regarding you in the system of records, contact the system manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: The information in this system is obtained from the individuals who contact ED PUBS. EXEMPTions claimed for the System: None.

18-06-01 Federal Advisory Committee Membership Files
18-06-01
(64 FR 30139-30140) June 4, 1999

SYSTEM NAME: Federal Advisory Committee Membership Files. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Committee Management, Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 5E330, Washington, DC 202023571. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals who have been or are presently members of or are being considered for membership on advisory committees or other committees within the jurisdiction of the Department of Education. CATEGORIES OF RECORDS IN THE SYSTEM: Records in this system consists of one or more of the following: Name, title, sex, place and date of birth, home address, business address, organizational affiliation, phone numbers, fax numbers, e-mail addresses, degrees held, general educational background, ethnic background, resume, curriculum vitae, dates of term on advisory committee, status on advisory committee, reason for leaving advisory committee, previous or current membership on other advisory committee, special qualifications of the individual for the advisory committee or other membership, source who recommended the individual for membership on advisory and miscellaneous correspondence. Additionally, memoranda justifying the individual's selection are included in the file in cases in which the individual has served repetitively on advisory committees, has not had a one-year break in service on advisory, or where various statutory or other requirements for advisory committee membership cannot be met. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Federal Advisory Committee Act, as amended, (U.S.C.A. Appendix ). PURPOSE(S): The information in this system is used to evaluate and select individuals for membership on advisory committees or other committees within the jurisdiction of the Department. 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) Reporting Disclosures. The Department may disclose a record to the President, the Office of Management and Budget, the General Services Administration or to the General Accounting Office in order to complete its reporting requirements under 41 CFR part 101-6. (2) 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. (3) 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: Records are maintained in hard-copy filed in file cabinets and/or index cards. RETRIEVABILITY: For the most part records are maintained in an alphabetical index by name of the committees. Records from the system are available to the staffs of the respective Advisory Committees and other Department staff on a "need-to-know" basis. Uses include special administrative reports; quarterly alphabetical listings of past, present and recommended members of Advisory Committees; and other administrative needs. SAFEGUARDS: Direct access to records is restricted to authorized personnel through locked files, rooms, and buildings, as well as building pass and security guard sign-in systems. RETENTION AND DISPOSAL: Retention is variable from one year to permanent retention depending upon the type of record, e.g., names of former members of advisory committees are retained permanently. Certain records are disposed of by referral to the Federal Records Center. Others are disposed of as trash by the system manager or office of security depending upon the confidentiality of the information contained on the record. SYSTEM MANAGER(S) AND ADDRESS: Committee Management Officer, Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 5E330, Washington, DC 20202-3571. NOTIFICATION PROCEDURE: Same as above.

RECORD ACCESS PROCEDURES: Same as notification procedures. Requestors should also reasonable specify the record contents, being sought. These access procedures are in accordance with Department Regulations (34 CFR 5b.5(a)(2)). CONTESTING RECORD PROCEDURES: Contact the official at the address specified under notification procedures, and reasonably identify the record and specify the information to be contested. (These procedures are in accordance with Department Regulations (34 CFR 5b.7).) RECORD SOURCE CATEGORIES: The vast majority of information contained in records on individuals is obtained directly from the individual. Other information in the form of references and recommendations is obtained from other private individuals, program personnel, biographical reference books, private organizations, former employees, regional office of the Department, Members of Congress, and other government sources. Additionally the system of records contains information about members of the public who have requested that they receive various publications through the inclusion of their names and addresses on various mailing lists. Information maintained on those individuals who have requested participation on mailing lists is limited to name and mailing address, information maintained on individuals who are past, present, or recommended

18-06-02 Telephone Directory/Locator System
(64 FR 30140-30141)

18-06-02 June 4, 1999 SYSTEM NAME: Telephone Directory/Locator System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Information Resource Center, Intergovernmental and Interagency Affairs, U.S. Department of Education, Room 5E233, 400 Maryland Avenue, SW., Washington, DC 202020498. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on current employees of the Department, vendors or other Federal employees located in Department operating offices and facility complexes. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains records such as first and last names, titles, agency office addresses, program and principal office agency mailing addresses, telephone numbers, fax numbers, e-mail addresses, and standard administrative codes for departmental employees and other individuals with access rights to the Department's Intranet. Names, phone numbers, principal and program offices, office addresses (building name, address, room number, region), and e-mail addresses are available via the Department's website. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 301, 40 U.S.C. 486(c). PURPOSE(S): Records are used to develop and maintain current employee locator and directory listings. The locator listings are used by the Department information centers, employees, mail rooms, and others specifically for the purpose of locating employees and for routing mail. The directory listings are used to produce departmental telephone directories on an as needed basis. 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) 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. (2) 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are stored on hard drives, computer printouts, and in hard copy. RETRIEVABILITY: Records are retrievable by first and last name, principal office name, telephone number, and a keyword search field. SAFEGUARDS: Only authorized personnel have access to master lists and the ability to make permanent changes. RETENTION AND DISPOSAL: Data is edited by each employee online in real time. Therefore data can change or be deleted each day. Once the employee leaves the Department, all data is deleted from the database as the database only houses the most current Departmental employee location data. SYSTEM MANAGER(S) AND ADDRESS: Locator Administrator(s), Information Resource Center, Intergovernmental and Interagency Affairs, U.S. Department of Education, Room 5E233, 400 Maryland Avenue, SW., Washington, DC 20202-0498. NOTIFICATION PROCEDURE: If you wish to determine whether a record regarding you exists in this system, contact the system manager at the address provided above. Your request must meet the requirements of the regulations at 34 5b.5, including proof of identity.

RECORD ACCESS PROCEDURES: If you wish to gain access to records regarding you in this system, 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, contact the system managers. Your request must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system is obtained from individual employee, the Information Resource Center and the Chief Information Office. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-06-03 Presidential Scholars Program--Files of Selected Participants
(64 FR 72392-72393)

18-06-03 December 27, 1999 SYSTEM NAME: Presidential Scholars Program--Files of Selected Participants. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: U.S. Department of Education, Office of Intergovernmental and Interagency Affairs, Regional Services, Community Services, 400 Maryland Avenue, SW., Washington, DC 202023500. American College Testing, Inc., Recognition Program Services, 2255 North Dubuque Road, Tyler Building, Iowa City, Iowa 52243-4030. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals covered by the system are participants in the Presidential Scholars Program. CATEGORIES OF RECORDS IN THE SYSTEM: Information contained in the system includes the name, Social Security number, address, and other biographical information provided by the student, such as SAT/ACT scores, school transcripts, and essays. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Executive Order No. 11,555, 29 FR 6,909, 3 CFR 198 (1964). PURPOSE(S): The Presidential Scholars files are kept for purposes of the annual selection of scholars and for historical archive purposes. 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 Privacy 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. (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) 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, 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) 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. (7) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (8) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (9) 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. (10) Media Purposes. The Department may disclose records from this system of records in order to promote the program and recognition of local students. Partial file disclosures will be made on a case-by-case basis to state and local governments, officials, and institutions; congressional offices; and program sponsors and affiliates. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETREIVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records in this system are maintained in hard copy in paper files in metal file cabinets and in data files on computers. RETRIEVABILITY: The data is retrieved by name, Social Security number, state, high school, and year of selection. SAFEGUARDS: All physical access to the Department site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer systems employed by the Department and contractors offer a high degree of resistance to tampering and circumvention. These security systems limit data access to Department and contract personnel on a "need to know" basis, and controls individual users' ability to access and alter records within the system. All users of these systems are given a unique user ID and interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Records are maintained for four years and are then destroyed. SYSTEM MANAGER(S) AND ADDRESS: Director, Presidential Scholars Program, Office of Intergovernmental and Interagency Affairs, U. S. Department of Education, 400 Maryland Avenue, SW., Room 5E223, Washington, DC 20202-3500. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, you should provide the system manager your name, Social Security number, and year of high school graduation. Your requests for notification must meet the requirements in the Department'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 in this system, you should contact the system manager and provide information described in the notification procedure. Your requests for access to a record must meet the requirements in the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity.

CONTESTING RECORD PROCEDURES: If you wish to change the content of a record in the system of records, you should contact the system manager with the information described in the notification procedure, identify the specific item(s) to be changed, and provide a written request for the change. Your request to amend a record must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information in this system of records is obtained from the individuals' applications, testing records of the American College Testing, Inc., and the Educational Testing Service and questionnaires completed by school officials at the request of the individual. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-06-04 Satellite Event Participant Registration System
18-06-04
(64 FR 72393-72395) December 27, 1999

SYSTEM NAME: Satellite Event Participant Registration System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Information Resource Center, Intergovernmental and Interagency Affairs, U.S. Department of Education, Room 5E233, FOB-6, 400 Maryland Avenue, SW., Washington, DC 20202-0498. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on individuals and contact persons from organizations that register for participation in selected events hosted by the U.S. Department of Education (such as the monthly Satellite Town Meeting) as well as individuals who have requested regular information on such events. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of a variety of records including the name of the individual, his or her e-mail address, telephone number, fax number, mailing address, the name of organization with whom the individual is affiliated, name of the technical satellite contact, the name of the event, the event location and broadcast information. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 1231a. PURPOSE(S): The information contained in this system is used to serve those individuals and organizations participating in Department of Education events and satellite broadcast events as well as to provide selected information to the public about such events. 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) Press Disclosure. The Department may disclose information from this system to potential viewers of the event or to the press in order to provide a list of event participants. Such disclosures are made only at the request of the event participants whose information is disclosed. (2) Event Planning Disclosure. The Department may disclose information from this system to government and non-government entities involved with hosting or producing the event in order to assist in the planning of the event. (3) 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. (4) 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. (5) 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, 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. (6) 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. (7) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (8) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into

such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (9) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (10) 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. (11) 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in electronic form on hard drives and when appropriate, in hard copy for a short time. RETRIEVABILITY: Records are retrievable by all fields in the database. SAFEGUARDS: All physical access to the Department site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer systems employed by the Department and contractors offer a high degree of resistance to tampering and circumvention. These security systems limit data access to Department and contract personnel on a “need to know” basis, and controls individual users’ ability to access and alter records within the system. All users of these systems are given a unique user ID and interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Records are destroyed after the appropriate revisions are made or after three months, whichever is sooner. SYSTEM MANAGER(S) AND ADDRESS: System Administrator, Information Resource Center, Intergovernmental and Interagency Affairs, U.S. Department of Education, Room 5E233, FOB-6, 400 Maryland Avenue, SW, Washington, DC 20202-0498. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, you should provide the system manager your name, Social Security number, and year of high school graduation. Your requests for notification must meet the requirements in the Department'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 in this system, you should contact the system manager and provide information described in the notification procedure. Your requests for access to a record must meet the requirements in the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to change the content of a record in the system of records, you should contact the system manager with the information described in the notification procedure, identify the specific item(s) to be changed, and provide a written request for the change. Your request to amend a record must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information contained in the system are obtained from the event participants as well as those individuals who have requested information about the events. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-06-05 Partners in Education
18-06-05
(67 FR 4642-4644) January 30, 2002

SYSTEM NAME: Partners in Education. SECURITY CLASSIFICATION: None. SYSTEM LOCATIONS: The White House Initiative Partners in Education is located at the White House Initiative on Educational Excellence for Hispanic Americans, Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Federal Building 6, Room 5E110, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The system will contain information on individuals who have indicated an interest in receiving information about the White House Initiative, its publications and programs, and ways in which they can become partners. This system contains records containing an individual's name, title, affiliation, mailing address, telephone number, fax, e-mail, and representational category (e.g. parents, educators, schools, school districts, businesses, etc.). The system generated identifier or ``key'' will consist of a combination of numbers and letters and is produced by the system of records automatically. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Executive Order 13230, 66 FR 52841. PURPOSE(S): The information contained in the records maintained in this system is used for the purposes of conducting individual, mass, and targeted mailings of White House Initiative program information, publications, and reports. 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) Other Agencies and Institutions. The Department may disclose records from the representational categories to Federal, State, or local agencies if the requested use is intended to fulfill that Federal, State, or local agency's responsibilities under Executive Order 13230, 66 FR 52841. (2) Litigation and Alternative Dispute Resolution (ADR) Disclosures. (a) Introduction. In the event that one of the following parties is involved in litigation or ADR, or has an interest in litigation or 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 if the agency has agreed to represent the employee; or

(v) The United States if the Department determines that the litigation is likely to affect the Department or any of its components. (b) Disclosure to the Department of Justice. 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 or Judicial Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to mediate or resolve disputes is relevant and necessary to the litigation, the Department may disclose those records as a routine use to the adjudicative or judicial body, individual, or entity. (d) Parties, Counsel, Representatives, and Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness in an administrative or judicial 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. (3) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (4) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research that is compatible with the purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research that is compatible with the purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (5) 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. (6) Freedom of Information Act (FOIA) Advice Disclosure. In the event that the Department deems it desirable or necessary, in determining whether particular records are required to be disclosed under the Freedom of Information Act, disclosure may be made to the Department of Justice or the Office of Management and Budget for the purpose of obtaining their advice. (7) Disclosure to the Department of Justice. The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained on a computer and backed up on magnetic tape or other electronic media. RETRIEVABILITY: Records will be retrieved by name, group, organization, and/or the requestor's regional location for the purpose of conducting targeted mailings. SAFEGUARDS: The system of records will be secured by permitting only designated individuals within the White House Initiative program staff access to the database. Furthermore, the designated

individuals' access to personal computers, the network, and the system of records will require personal identifiers and unique passwords, which will be periodically changed to prevent unauthorized access. The building in which the system of records is housed is monitored by security personnel during business and non-business hours. RETENTION AND DISPOSAL: The Department will retain and dispose of these records in accordance with National Archives and Records Administration General Records Schedule 20, Item 14 for electronic mail requests and General Records Schedule 13, Item 14 for all other requests for information. SYSTEM MANAGER(S) AND ADDRESS: Associate Director, White House Initiative on Educational Excellence for Hispanic Americans, Office of Intergovernmental and Interagency Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 5E110, Washington, DC 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, provide the system manager with your name, address, phone number, and affiliation. Requests must meet the requirements of the regulations in 34 CFR 5b.5. RECORD ACCESS PROCEDURES: If you wish to gain access to a record in this system, contact the system manager and provide information as described in the notification procedure. Requests by an individual for access to a record must meet the requirements of the regulations in 34 CFR 5b.5. CONTESTING RECORD PROCEDURES: If you wish to contest a record in the system of records, contact the system manager with the information described in the notification procedure, identify the specific items you are contesting, and provide a written justification for each item. Requests to amend a record must meet the requirements of the regulations in 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system of records is obtained from individuals who request, in writing, verbally, or electronically, to be listed on the system of records in order to receive information. The individual's affiliation will comprise the representational category. The system generated identifier or ``key'' will consist of a combination numbers and letters and is produced by the system of records automatically. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-07-01 Congressional Members' Biographies System
18-07-01
(64 FR 30141-30142) June 4, 1999

SYSTEM NAME: Congressional Members' Biographies System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Legislative Affairs Office, Office of the Assistant Secretary for Legislation and Congressional Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records about all members of Congress. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains biographical files on congressional members consisting of the Member's name, title, state and district he or she represents, date of appointment to Congress, date of birth, place of birth, educational background, previous employment including political offices, House or Senate committee assignments, political support scores, how he or she voted on key education legislation, brief personal background and education interests pertaining to the Department of Education, names of universities and colleges located in each House member's district, and a brief description of the district or state in which the Member of Congress represents. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 3412(e). PURPOSE(S): The information in this system is used by the Secretary of Education and any departmental staff who need background information of a Member of Congress while preparing for hearings and meetings. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The 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 purpose for which the record was collected. The member's right to the information is no greater than the right of the individual who requested it. These disclosures may be made on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act, under a computer matching agreement. (1) Contact Disclosures. The Department may disclose records contained in this system to individuals and entities (including educational institutions) that the Department contacts while formulating and enforcing education policies. (2) 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. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in hard copy individual files stored in standard four-drawer file cabinets and also in electronic format on a hard drive accessible by staff of the Office for Legislation and Congressional Affairs.

RETRIEVABILITY: Records are indexed alphabetically by last name. SAFEGUARDS: Files are maintained in the Office of Legislation and Congressional Affairs and requests are honored on a “need-to-know” basis only. All physical access to the Department of Education site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department of Education offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department of Education and contract staff on a "need-to-know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Records are constantly updated as circumstances warrant relative to the activities of Congress. SYSTEM MANAGER(S) AND ADDRESS: Office of Legislation and Congressional Affairs, Legislative Affairs Office, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E301, 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 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. RECORD SOURCE CATEGORIES: Information is obtained from Congressional Quarterly, Inc., The Almanac of American Politics, Roll Call Newspapers, on-line biographies and press releases of Members of Congress, and the Office of Postsecondary Education at the U.S. Department of Education. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-07-02 Congressional Grant Notification Control System
18-07-02
(64 FR 30142-30143) June 4, 1999

SYSTEM NAME: Congressional Grant Notification Control System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Congressional Outreach, Office of Legislation and Congressional Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The Congressional Grant Notification Control System contains records about members of Congress. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of direct inquiries and letters of support concerning discretionary grants from Members of Congress. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 301. PURPOSE(S): The information in this system is used to provide responses to inquiries from Members of Congress regarding discretionary grant notification. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE 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 Privacy Act, under a computer matching agreement. (1) Inter-Agency Disclosure. Inquiries that do not pertain to the Department, but fall under the jurisdiction of another Federal agency, are transferred to that Agency with a request that a direct response be provided to the correspondent. (2) 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. (3) Litigation and Alternative Dispute Resolution. (a) In the event of litigation where one of the parties listed below is involved in litigation or ADR, the Department may disclose such records as it deems desirable or necessary to the Department of Justice (DOJ) to enable DOJ to effectively represent such party, provided such disclosure is compatible with the purpose for which the records were collected. (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; or (iv) Any Department employee in his or her individual capacity where the agency has agreed to represent the employee; or (iv) 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 used 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 records as a routine use to the party, counsel, representative or witness. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in hard copy filed in standard file cabinets. RETRIEVABILITY: Records are indexed alphabetically by grant title. SAFEGUARDS: Records are kept in the responsible grant notification team member's office. All physical access to the Department's site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a “need-to-know” basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Records are maintained for two years. SYSTEM MANAGER(S) AND ADDRESS: Director, Congressional Outreach, Office of Legislation and Congressional Affairs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 7E301, Washington, DC 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, provide the system manager at the above address with the name of the Member of Congress who corresponded with the Department, the name of the referenced constituent, the grant title, and the date of the correspondence. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identification. RECORD ACCESS PROCEDURES: Same as the Notification Procedure. CONTESTING RECORD PROCEDURES: If you wish to contest the content of a record pertaining to you, contact the system manager at the address noted above, and reasonably identify the record and specify the information to be contested. Your request must meet the requirements of the regulations at 34 CFR 5b.7.

RECORD SOURCE CATEGORIES: The information in this system is provided by the correspondent and by the agency that prepares the final response. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-08-01 Complaint Files and Log
18-08-01
(69 FR 12249-12251) March 15, 2004

SYSTEM NAME: Complaint Files and Log. SECURITY CLASSIFICATION: None. SYSTEM LOCATION(S): Office for Civil Rights, U.S. Department of Education, 330 C Street, SW., Room 5000 MES, Washington, DC 20202. See the Appendix at the end of this system notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains information on individuals or groups of individuals who have made civil rights complaints to the Office for Civil Rights (OCR). CATEGORIES OF RECORDS COVERED BY THE SYSTEM: This system consists of records relating to complaints to the Office for Civil Rights including-(1) Names, addresses, and telephone numbers of complainants, complaint allegations, and results of investigations; (2) Correspondence related to the complaint, which may include copies of correspondence sent by OCR to others, correspondence received by OCR, records of telephone conversations, copies of e-mail, or other written communications; (3) Investigator and attorney memoranda; (4) Interview notes or transcriptions and witness statements; (5) Documents gathered during an investigation, including photographs of persons or things, portions of a recipient institution's records, and complainants' or other individuals' scholastic, medical, or employment records; and (6) Charts, prepared exhibits, or other analytical materials prepared by OCR staff or by consultants retained by OCR. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d, et seq.; Title IX of the Education Amendments of 1972, 20 U.S.C. 1681, et seq.; Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, et seq.; Age Discrimination Act of 1975, 42 U.S.C. 6101, et seq.; Title II of the Americans With Disabilities Act, 42 U.S.C. 12131, et seq.; and the Boy Scouts of America Equal Access Act, 20 U.S.C. 7905. PURPOSE(S): The Office for Civil Rights uses this system for the following purposes: (1) To determine and to document whether there was discrimination against the complainant or others; (2) To record the steps taken to resolve a case; (3) To store materials gathered, developed, or received during the processing of a case; (4) To document the steps taken to resolve a case; (5) To report the status of individual complaints to OCR managers and staff for tracking the progress of individual cases and to provide information used to prepare summaries of case processing activities; and (6) To report to Congress, other agencies, and to the public to explain or document the work that has been accomplished. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

The 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. The Department may make these disclosures on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, under a computer matching agreement. (1) Disclosure to Congress, Other Agencies, or the Public. The Department may disclose summary information derived from this system of records to Congress, other agencies, and the public to describe the kinds of work OCR has done or to document the work OCR has accomplished. (2) Disclosure to Recipients of Federal Financial Assistance, Witnesses, or Consultants. The Department will release information contained in this system of records to recipients of Federal financial assistance, witnesses, or consultants if it determines that the release would assist OCR in resolving a civil rights complaint or in obtaining additional information or expert advice relevant to the investigation. (3) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information to any Federal, State, tribal, local, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulations if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility within the receiving entity's jurisdiction. (4) 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, regulations, 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, regulations, or order issued pursuant thereto. (5) Litigation and Alternative Dispute Resolution (ADR) Disclosures. (a) Introduction. In the event that one of the following parties is involved in litigation or ADR, or has an interest in litigation or 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 been requested to provide or arrange for representation for the employee; (iv) Any Department employee in his or her individual capacity if the agency has agreed to represent the employee; or (v) The United States if 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) Adjudicative Disclosures. If the Department or one of its components determines that disclosure of certain records to an adjudicative body before which the Department or one of its components is authorized to appear or to an individual or entity designated by the Department or otherwise empowered to resolve or mediate disputes is relevant and necessary to the litigation or ADR, 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 or one of its components determines that disclosure of certain records to a party, counsel, representative, or

witness is relevant and necessary to the litigation or ADR, the Department or its component may disclose those records as a routine use to the party, counsel, representative, or witness. (6) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the DOJ if the Department determines that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA. (7) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (8) Congressional Member Disclosure. The Department may disclose information 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. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records in this system are contained in digital storage media and in file folders. RETRIEVABILITY: The records in this system are indexed by and retrievable by the name of the complainant, the complaint number, the name of the entity against which the complaint was filed, the basis for the alleged discrimination, and the stage of case processing. SAFEGUARDS: The system is maintained on secure computer servers located in one or more secure Department of Education network server facilities. OCR staff access information in the system through use of personal computers located in OCR offices. Data are transmitted among offices on secure servers through the Department of Education's Secure Wide Area Network. The Department of Education maintains the servers on which the records are stored in secure locations with controlled access. Access to OCR offices is controlled and available only to OCR staff and authorized visitors. Authorized OCR staff access the information system using individual user identifiers and passwords. The system also limits data access by type of user and controls users' ability to alter records within the system. File folders containing non-digital information in the system are kept in lockable storage rooms. Access to offices in which storage rooms are located is restricted to OCR staff and authorized visitors. Similar records made before December 1993 were stored on magnetic tape, a format that is no longer in use, in a secure location in OCR Headquarters. RETENTION AND DISPOSAL: Records are disposed pursuant to the Education Department Records Disposition Schedule (ED/RDS) Part 4, item 1, as approved by the National Archives and Records Administration (NARA). Digital records are destroyed or deleted when no longer needed for administrative, legal, or audit purposes. Records maintained at the Headquarters Office will be

transferred to the Federal Records Center (FRC) after the case has been inactive for five years. Records at the regional offices are transferred to the FRC after the record has been inactive for two years. Records that are no longer needed will be destroyed 15 years after the end of the fiscal year in which the case is resolved. SYSTEM MANAGER(S) AND ADDRESS: Deputy Assistant Secretary for Civil Rights, Office for Civil Rights, U.S. Department of Education, 400 Maryland Avenue, SW., Room 5000, MES Building, Washington, DC 20202. NOTIFICATION PROCEDURE: This system is exempted from 5 U.S.C. 552a(e)(4)(G) pursuant to 34 CFR 5b.11(c)(2)(iii). RECORD ACCESS PROCEDURES: This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34 CFR 5b.11(c)(2)(iii). CONTESTING RECORD PROCEDURES: This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34 CFR 5b.11(c)(2)(iii). RECORD SOURCE CATEGORIES: Records are derived from information in complaint investigation files. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: The Secretary of Education has exempted by regulations the two record systems that are being combined into the Complaint Files and Log record system, which is thereby also exempt from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552(k)(2) (civil enforcement): (1) 5 U.S.C. 552a(c)(3), regarding access to an accounting of disclosures of records. (2) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification of and access to records and correction or amendment of records.(3) 5 U.S.C. 552a(e)(4)(G) and (H) regarding inclusion of information in the system notice about procedures for notification, access, and correction of records. These exemptions are stated in 34 CFR 5b.11. As indicated in 34 CFR 5b.11, individuals will be provided with information from a record in this system if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of that material, except when in accordance with the following provisions of 5 U.S.C. 552a(k)(2): (1) Disclosure of the information would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence. (2) If information was obtained prior to September 28, 1975, disclosure of the information would reveal the identity of the source under an implied promise that the identity of the source would be held in confidence. Appendix to 18-08-01 ADDITIONAL SYSTEM LOCATIONS: OCR, Boston Office, J.W. McCormack Post Office and Court House Building, Room 701, Boston, MA 02109. OCR, New York Office, 75 Park Place, 14th Floor, New York, NY 10007. OCR, Philadelphia Office, 100 Penn Square East, Suite 515, Philadelphia, PA 19107. OCR, Chicago Office, 111 North Canal Street, Room 1053, Chicago, IL 60606.

OCR, Cleveland Office, Bank One Center, 600 Superior Avenue, East, Suite 750, Cleveland, OH 44114. OCR, Atlanta Office, Sam Nunn Federal Office Building, 61 Forsyth Street, SW., Suite 19T70, Atlanta, GA 30303. OCR, Dallas Office, 1999 Bryan Street, Suite 2600, Dallas, TX 75201. OCR, Kansas City Office, 8930 Ward Parkway, Suite 2037, Kansas City, MO 64114. OCR, Denver Office, Colonnade Building, 1244 Speer Boulevard, Suite 300, Denver, CO 80204. OCR, San Francisco Office, Old Federal Building, 50 United Nations Plaza, Room 239, San Francisco, CA 94102. OCR, Seattle Office, Henry M. Jackson Federal Building, 915 Second Avenue, Room 3310, Seattle, WA 98174. OCR, District of Columbia Office, 100 Pennsylvania Ave., NW., Rm. 316, P.O. Box 14620, Washington, DC 20004.

18-09-01 Administrative Claims
18-09-01
(64 FR 30146-30148) June 4, 1999

SYSTEM NAME: Administrative Claims. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Office of General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW, Room 6E301, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records about Department employees, recipients of Federal assistance under Department funded programs, and members of the public who have a claim against the Department or against whom the Department has a claim under the Federal Torts Claims Act, Military Personnel and Civilian Employees Claims Act, Federal Claims Collection Act or Act for Waiver of Overpayment of Pay. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains information that is pertinent to the particular claim being asserted, including accident reports, hospital records, charges for medical service; certifications of overpayments, audits of payroll accounts during period of overpayments, earning and leave statements; claims officers memorandum, final determinations made on claims, identity of debtors and information pertaining to how debts arose. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Federal Torts Claims Act (28 U.S.C. 2671-2680, 1346(b); Waiver of Overpayment of Pay Act (5 U.S.C. 5584; Military Personnel and Civilian Employees Claims Act, 31 U.S.C. 240 et seq.; Federal Claims Collection Act, 31 U.S.C. 951-953. PURPOSE(S): The information in this system is used to adjudicate claims between the U.S. and private parties. 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) Program Disclosure. The Department may disclose information to Federal, State, and local law enforcement agencies, private individuals, private and public hospitals, allegedly negligent parties, private attorneys, insurance companies, the United States Attorney and other Federal officials and agencies, individual law enforcement officers, and tribal officials for the purpose of investigating, settling, or litigating claims. (2) 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. (3) 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. (4) 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. (5) 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 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. (6) 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. (7) 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: Records are maintained in legal size files in filing cabinets. RETRIEVABILITY: Records can be retrieved by the name of the non-Government party, whether claimant, plaintiff, or alleged debtor. In some instances, these records are retrievable by cross reference to index cards, containing name of the party involved and the subject matter. SAFEGUARDS: Office buildings in which files are kept are locked after the close of the business day. These files are only accessible to General Counsel staff. RETENTION AND DISPOSAL: The 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 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. RECORD SOURCE CATEGORIES: The information in this system comes from a number of sources including private individuals, private and public hospitals, doctors, law enforcement agencies and officials, private attorneys, accident reports, third parties, claimants for beneficiaries and their relatives, other Federal agencies, State and local governments, agencies and instrumentalities. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-09-02 OGC Attorney Applicant Files
(64 FR 30148-30149)

18-09-02 June 4, 1999 SYSTEM NAME: OGC Attorney Applicant Files. 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: This system contains records on current Attorney Applicants for positions in the Office of the General Counsel. CATEGORIES OF RECORDS IN THE SYSTEM: The Attorney Applicant system consists of a variety of records relating to persons applying for attorney positions. These records contain information about an individual's birth date; home address; telephone number; Social Security number; educational background (e.g., law schools attended and grades); past work experience; writing samples furnished on request; recommendations from past employers and academic officials. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 3301 et seq. PURPOSE(S): The information in this system is used to evaluate the qualifications of those individuals who apply for attorney positions in the Office of the General Counsel. 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) 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. (2) 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 maintained in file folders, alphabetized by name, and in some cases the records are separated by individual law school affiliation and by the date the application is received. In some instances records are located in lockable conserva-file cabinets and in a locked secured room with access limited to those officials whose duties require access. In other instances records are maintained in file rooms or with other Office of General Counsel files. RETRIEVABILITY: These records are retrievable by name. SAFEGUARDS: Access is limited to those Department officials whose duties require access. RETENTION AND DISPOSAL: These records are retained in accordance with the Department of Education Records Disposition Schedules (ED/RDS). SYSTEM MANAGER(S) AND ADDRESS: The General Counsel, U.S. Department of Education, Office of the General Counsel, 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 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. RECORD SOURCE CATEGORIES: Information in this system of records comes from the individual to whom it applies, law school officials and past employers. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-09-03 Employee Conduct--Government Ethics
18-09-03
(69 FR 12147-12148) March 15, 2004

SYSTEM NAME: Employee Conduct--Government Ethics. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Ethics Counsel Division, Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., Room 6E231, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains information about current and past Department employees (1) who have requested and/or received advice or guidance in subject matter areas relating to employee conduct, or (2) who are required to attend ethics training. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains documents and records not covered by two government-wide executive branch Privacy Act systems of records of the Office of Government Ethics (OGE): OGE/GOVT-1 and OGE/GOVT-2. These documents and records may include, but are not limited to, information relating to acceptance or offer of gifts, entertainment and favors, or outside employment; financial interests; use of government funds, property, or official information; partisan political activity; compliance with ethics training requirements; or other matters relating to employee conduct. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Pub. L. 95-521, Ethics in Government Act of 1978; Pub. L. 101-194, Ethics Reform Act of 1989, as amended; and Executive Orders 12674, 12565, and 11222, as amended. PURPOSE(S): The records in this system are maintained in order for the Office of the General Counsel to provide advice and guidance in subject matter areas relating to employee conduct and to ensure that employees comply with ethics requirements. 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. 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. (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. (7) Office of Government Ethics Disclosure. The Department may disclose records to the Office of Government Ethics if the disclosure is relevant to the Office of Government Ethics' review of the Department's ethics program or if the Department seeks the advice of the Office of Government Ethics on matters relating to the Department's ethics program, including, but not limited to, the program's structure and staffing, education and training, counseling or advice,

public financial disclosures, confidential financial disclosures, outside employment and activities, or post employment. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper records are kept in legal size files in filing cabinets; electronic records are kept in a database maintained and managed by the Ethics Division of the Office of the General Counsel. RETRIEVABILITY: These records are retrievable by name in most cases. SAFEGUARDS: These records are only accessible to staff of the Ethics Division of the Office of General Counsel. Paper records are kept in filing cabinets that are locked after the close of the business day, and electronic records are kept only on authorized users' computers, which are passwordprotected. RETENTION AND DISPOSAL: The records in this system will be retained and disposed of in accordance with the National Archives and Records Administration's General Records Schedule (GRS) 25 for Ethics Program Records. SYSTEM MANAGER(S) AND ADDRESS: Assistant General Counsel, Ethics 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. RECORD SOURCE CATEGORIES: Information is obtained from individuals who request advice and from employees and other Department records in connection with the administration of the ethics training program. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-09-04 Litigation Files, Administrative Complaints, and Adverse Personnel Actions
(64 FR 30150-30151)

18-09-04 June 4, 1999 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. (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.

18-09-05 Department of Education Federal Docket Management System (EDFDMS)
(72 FR 66155-66158) November 27, 2007

18-09-05 SYSTEM NAME: Department of Education Federal Docket Management System (EDFDMS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: The central location is at the U.S. Environmental Protection Agency, Research Triangle Park, NC 27711–0001. Access is available through the Internet from other locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Information on individuals who voluntarily provide individually identifying information when submitting a public comment or supporting materials in response to a Department rulemaking document or notice in the Federal Docket Management System (FDMS) are covered by this system. Although this system may also contain information on and public comments submitted by representatives of governmental or organizational entities, the purpose for which the Department is establishing this system of records is only to cover individuals protected under the Privacy Act of 1974 (5 U.S.C. 552a(a)(2)). CATEGORIES OF RECORDS IN THE SYSTEM: The categories of records in the system include: First name, last name, category (such as parent/relative, student, teacher, local educational agency, or lender), city, country, State or province, email address, organization name, submitter’s representative, government agency type, government agency, additional information provided in the “General Comments” section, and other supporting documentation furnished by the submitter. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 206(d) of the E-Government Act of 2002 (Pub. L. 107-347, 44 U.S.C. 3501 note); 5 U.S.C. 301; and 5 U.S.C. 553. PURPOSE: The EDFDMS system of records permits the Department to identify individuals who have submitted comments, in response to the Department’s rulemaking documents or notices that are in FDMS, so that communications or other actions, as appropriate and necessary, can be effected. Examples of such communications are seeking clarification of a comment and responding directly to a comment. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The Department may disclose information contained in a record 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. The Department may make these disclosures on a case-by-case basis, or, if the Department has complied with the computer matching requirements of the Computer Matching and Privacy Protection Act of 1988, as amended, under a computer matching agreement. (1) Disclosure to the Public. With few exceptions, the Department may disclose information in EDFDMS to any member of the public. EDFDMS permits members of the public to search the

public comments that are received by the Department and included in FDMS by the name of the individual submitting the comment. Unless the individual submits a comment anonymously, a full-text search, using the individual’s name, will generally result in the comment and the commenter’s information being displayed for view. With few exceptions, comments that are submitted using the FDMS system will include any information that the commenter provided when submitting the comment. In addition, with few exceptions, comments that are submitted in writing and then scanned and uploaded into the FDMS system will include any identifying information about the submitter that is provided in the written comment. If a commenter provides individually identifying information about a third party, a full-text search using the third party’s name, with some exceptions, will result in the third party’s information being displayed for view. Note: Identification of an individual commenter or third party is possible only if the commenter voluntarily provides his or her name or contact information, or that of a third party. If this information is not furnished, the submitted comments or supporting documentation cannot be linked to the commenter or a third party. (2) 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 prosecutorial responsibility within the receiving entity's jurisdiction. (3) 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. (4) Litigation and Alternative Dispute Resolution (ADR) Disclosure. (a) Introduction. In the event that one of the parties listed below is involved in litigation or ADR, or has an interest in litigation or 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 or any of its components. (ii) Any Department employee in his or her official capacity. (iii) Any Department employee in his or her individual capacity if the U.S. Department of Justice (DOJ) has been requested to or has agreed to provide or arrange for representation for the employee. (iv) Any Department employee in his or her individual capacity where the Department has agreed to represent the employee. (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 DOJ. If the Department determines that disclosure of certain records to DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to DOJ. (c) Adjudicative Disclosure. If the Department determines that it is relevant and necessary to the litigation or ADR to disclose certain records to an adjudicative body before which the Department is authorized to appear, to an individual, or to an entity designated by the Department or otherwise empowered to resolve or mediate disputes, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity. (d) Disclosure to parties, counsels, representatives, or witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative, or witness is

relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness. (5) Freedom of Information Act (FOIA) and Privacy Act Advice Disclosure. The Department may disclose records to DOJ or OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA or the Privacy Act. (6) Disclosure to DOJ. The Department may disclose records to DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (7) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (8) Congressional Member Disclosure. The Department may disclose the records of an individual to a member of Congress or the member’s staff 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 the inquiry. (9) Disclosure in the Course of Responding to Breach of Data. The Department may disclose records to appropriate agencies, entities, and persons when (1) it is suspected or confirmed that the security or confidentiality of information in this system has been compromised; (2) the Department has determined that as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or by another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist the Department in responding to the suspected or confirmed compromise and in helping the Department prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained on electronic storage media and in paper. RETRIEVABILITY: EDFDMS enables record retrieval by various data elements and key word searches. These data elements are: document identification number, comment tracking number, document title, Code of Federal Regulation (CFR) (search for a specific title within the CFR), CFR citation (search for the part or parts within the CFR title being searched), document type, document sub type, date posted, and comment period end date. SAFEGUARDS: As discussed above in routine use (1), Disclosure to the Public, any member of the public who accesses FDMS through www.regulations.gov and searches the comments associated with the Department’s rulemakings can view EDFDMS records that are included in FDMS. To the extent paper records from this system of records are maintained, they will be maintained in a controlled facility where physical entry is restricted by locks, guards, and administrative procedures. Access to electronic and paper EDFDMS records that are not otherwise available to the public through FDMS is limited to those Department and contract staff who require the records to perform their official duties consistent with the purposes for which the information was collected. Personnel whose official duties require access to either electronic or written EDFDMS records

that are not otherwise available to the public through FDMS are trained in the proper safeguarding and use of the information. RETENTION AND DISPOSAL: Until the National Archives and Records Administration (NARA) approves a retention and disposition schedule for EDFDMS, the Department will treat all EDFDMS records as permanent. SYSTEM MANAGER AND ADDRESS: Elizabeth McFadden, Assistant General Counsel, Regulatory Services Division, Office of the General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW., room 6E227, Washington, DC 20202-6110. 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 regulations in 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If you wish to gain access to your record in the system of records, contact the system manager at the address listed under, SYSTEM MANAGER AND ADDRESS. Requests should contain your full name, address, and telephone number. Your request must meet the requirements of regulations in 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 in 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information maintained in this system of records is obtained from anyone who chooses to voluntarily submit a public comment or supporting materials in response to a Department rulemaking document or notice, including individuals and representatives of Federal, State or local governments, businesses, and other organizations. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-10-01 Investigative Files of the Inspector General
18-10-01
(68 FR 38155-38158) June 26, 2003

SYSTEM NAME: Investigative Files of the Inspector General. SECURITY CLASSIFICATION: None. SYSTEM LOCATION(S): Office of the Inspector General, Investigation Services (AIGI), U.S. Department of Education, 330 C Street, SW., Mary E. Switzer Building, Room 4132, Washington, DC 20202. See the Appendix at the end of this notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Categories include subjects, targets, witnesses, victims, current and former employees of the U.S. Department of Education (Department), and individuals who have any relationship to financial assistance or other educational programs administered by the Department, or to management concerns of the Department, including but not limited to--grantees, subgrantees, contractors, subcontractors, program participants, recipients of Federal funds or federally insured funds, and officers, employees, or agents of institutional recipients or program participants. CATEGORIES OF RECORDS IN THE SYSTEM: Categories include investigation files pertaining to violations of criminal laws, fraud, waste, and abuse with respect to the administration of Department of Education programs and operations, and violations of employee Standards of Conduct in 34 CFR part 73. These investigation files will contain, but will not be limited to, electronic information including names, addresses, social security numbers, dates of birth, and aliases for subjects, targets, witnesses, and victims associated with investigations; reports of interview; investigative memoranda; requests and approvals for case openings and closings and for the use of special investigative techniques requiring approval by management; and electronic copies of photographs, scanned documents, and electronic media such as audio and video. The system will store investigation work products, as well as all investigation results and other tracking information needed to identify trends, patterns, and other indicators of fraud and abuse within the Department of Education programs and operations. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Inspector General Act of 1978, as amended, (5 U.S.C. Appendix). PURPOSE(S): Pursuant to the Inspector General Act of 1978, as amended, the system is maintained for the purposes of--(1) conducting and documenting investigations by the Office of Inspector General (OIG) or other investigative agencies regarding Department of Education programs and operations and reporting the results of investigations to other Federal agencies, other public authorities or professional organizations that have the authority to bring criminal prosecutions or civil or administrative actions, or to impose other disciplinary sanctions; (2) documenting the outcome of OIG investigations; (3) maintaining a record of the activities that were the subject of investigations; (4) reporting investigative findings to other Department of Education components for their use in operating and evaluating their programs or operations and in the imposition of civil or administrative sanctions; (5) maintaining a record of complaints and allegations received relative to Department of Education programs and operations and documenting the outcome of OIG reviews of those complaints and allegations; (6) coordinating relationships with other Federal agencies, State and local governmental agencies, and nongovernmental entities in matters relating to the statutory responsibilities of the OIG; (7) acting as a repository and source for information necessary to fulfill the reporting requirements of the Inspector General Act, 5

U.S.C. Appendix; (8) reporting on the activities of the Inspectors General to the President's Council on Integrity and Efficiency (PCIE); and (9) participating in the investigative qualitative assessment review process requirements of the Homeland Security Act of 2002 (Pub. L. 107296.) ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The OIG 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. The OIG may make these disclosures on a case-by-case basis or, if the OIG has met the requirements of the Computer Matching and Privacy Protection Act, under a computer matching agreement. (1) Disclosure for Use by Other Law Enforcement Agencies. The OIG may disclose information from this system of records as a routine use 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 regulations if that information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility of the receiving entity. (2) Disclosure to Public and Private Entities to Obtain Information Relevant to Department of Education Functions and Duties. The OIG may disclose information from this system of records as a routine use to public or private sources to the extent necessary to obtain information from those sources relevant to an OIG investigation, audit, inspection, or other inquiry. (3) Disclosure for Use in Employment, Employee Benefit, Security Clearance, and Contracting Decisions. (a) For Decisions by the Department. The OIG may disclose information from this system of records as a routine use to a Federal, State, local, or foreign 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 or retention of a security clearance, the letting of a contract, or the issuance or retention of a license, grant, or other benefit. (b) For Decisions by Other Public Agencies and Professional Organizations. The OIG may disclose information from this system of records as a routine use to a Federal, State, local, or foreign agency, other public authority, or professional organization in connection with the hiring or retention of an employee or other personnel action, the issuance or retention of a security clearance, the letting of a contract, or the issuance or retention of a license, grant, or other benefit. (4) Disclosure to Public and Private Sources in Connection with the Higher Education Act of 1965, as Amended (HEA). The OIG may disclose information from this system of records as a routine use to any accrediting agency that is or was recognized by the Secretary of Education pursuant to the HEA; to any guaranty agency that is or was a party to an agreement with the Secretary of Education pursuant to the HEA; or to any agency that is or was charged with licensing or legally authorizing the operation of any educational institution or school that was eligible, is currently eligible, or may become eligible to participate in any program of Federal student assistance authorized by the HEA. (5) Litigation Disclosure. (a) Disclosure to the Department of Justice. If the disclosure of certain records to the Department of Justice (DOJ) is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the OIG may disclose those records as a routine use to the Department of Justice. The OIG may make such a disclosure in the event that one of the following parties is involved in the litigation or has an interest in the litigation: (i) The Department or any component of the Department; (ii) Any employee of the Department in his or her official capacity;

(iii) Any employee of the Department in his or her individual capacity if the DOJ has agreed to represent the employee or in connection with a request for that representation; or(iv) The United States, if the Department determines that the litigation is likely to affect the Department or any of its components. (b) Other Litigation Disclosure. If disclosure of certain records to a court, adjudicative body before which the Department is authorized to appear, individual or entity designated by the Department or otherwise empowered to resolve disputes, counsel or other representative, party, or potential witness is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the OIG may disclose those records as a routine use to the court, adjudicative body, individual or entity, counsel or other representative, party, or potential witness. The OIG may make such a disclosure in the event that one of the following parties is involved in the litigation or has an interest in the litigation: (i) The Department or any component of the Department; (ii) Any employee of the Department in his or her official capacity; (iii) Any employee of the Department in his or her individual capacity if the Department has agreed to represent the employee; or(iv) The United States, if the Department determines that the litigation is likely to affect the Department or any of its components. (6) Disclosure to Contractors and Consultants. The OIG may disclose information from this system of records as a routine use to the employees of any entity or individual with whom or with which the Department contracts for the purpose of performing any functions or analyses that facilitate or are relevant to an OIG investigation, audit, inspection, or other inquiry. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards, as required under 5 U.S.C. 552a(m) with respect to the records in the system. (7) Debarment and Suspension Disclosure. The OIG may disclose information from this system of records as a routine use to another Federal agency considering suspension or debarment action if the information is relevant to the suspension or debarment action. The OIG also may disclose information to another agency to gain information in support of the Department's own debarment and suspension actions. (8) Disclosure to the Department of Justice. The OIG may disclose information from this system of records as a routine use to the DOJ to the extent necessary for obtaining the DOJ's advice on any matter relevant to Department of Education programs or operations. (9) Congressional Member Disclosure. The OIG may disclose information from this system of 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. (10) Benefit Program Disclosure. The OIG may disclose records as a routine use to any Federal, State, local, or foreign agency, or other public authority, if relevant to the prevention or detection of fraud and abuse in benefit programs administered by any agency or public authority. (11) Overpayment Disclosure. The OIG may disclose records as a routine use to any Federal, State, local, or foreign agency, or other public authority, if relevant to the collection of debts and overpayments owed to any agency or public authority. (12) Disclosure to the President's Council on Integrity and Efficiency. The OIG may disclose records as a routine use to members and employees of the PCIE for the preparation of reports to the President and Congress on the activities of the Inspectors General. (13) Disclosure for Qualitative Assessment Reviews. The OIG may disclose records as a routine use to members of the PCIE, the DOJ, the U.S. Marshals Service, or any Federal agency for the purpose of conducting qualitative assessment reviews of the investigative operations of the Department of Education, Office of Inspector General to ensure that adequate internal safeguards and management procedures are maintained. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Electronic records are stored on a Web-based computer system. Hard-copy records are stored in bar-lock file cabinets. RETRIEVABILITY: The records are retrieved by manual or computer search of alphabetical indices or cross-indices. Indices list names, social security numbers, dates of birth, and other personal information of individuals. Indices also list names of companies and organizations. SAFEGUARDS: Electronic records are maintained on computer databases that are kept on a secured server in combination-locked rooms. Authorized log-on codes and passwords prevent unauthorized users from gaining access to data and system resources. Hard copy records are maintained in secure rooms, in security-type safes or in bar-lock file cabinets with manipulationproof combination locks. RETENTION AND DISPOSAL: Investigative files are retained and disposed of in accordance with the Department's Records Disposition Schedules (ED/RDS), as approved by the National Archives and Records Administration. You may obtain a copy of the ED/RDS by writing to the System Manager at the following address. SYSTEM MANAGER(S) AND ADDRESS: Assistant Inspector General for Investigation Services, Office of Inspector General, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4200, Mary E. Switzer Building, Washington, DC 20202-1510. NOTIFICATION PROCEDURE: See ``SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT.'' As provided in 34 CFR 5b.11(b)(3) and (c)(1), the notification procedure is not applicable to criminal investigative files except at the discretion of the Inspector General. To the extent that this procedure may apply to criminal investigative files, it is governed by 34 CFR 5b.11(b). The notification procedure is applicable to non-criminal investigative files under the conditions defined by 34 CFR 5b.11(c) and (f). Under these conditions, it is governed by 34 CFR 5b.5. RECORD ACCESS PROCEDURES: See ``SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT.'' As provided in 34 CFR 5b.11(b)(3) and (c)(1), the record access procedure is not applicable to criminal investigative files except at the discretion of the Inspector General. To the extent that this procedure may apply to criminal investigative files, it is governed by 34 CFR 5b.11(b). The record access procedure is applicable to non-criminal investigative files under the conditions defined by 34 CFR 5b.11(c) and (f). Under these conditions, it is governed by 34 CFR 5b.5. CONTESTING RECORD PROCEDURES: See ``SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT.'' As provided in 34 CFR 5b.11(b)(3) and (c)(1), the procedure for correction or amendment of records is not applicable to criminal and non-criminal investigative files. RECORD SOURCE CATEGORIES: Departmental and other Federal, State, and local government records; interviews of witnesses; and documents and other material furnished by non-governmental sources. Sources may include confidential sources. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: Pursuant to the general authority in the Privacy Act in 5 U.S.C. 552a(j)(2) (criminal investigative/enforcement files), the Secretary of Education has by regulations exempted the Investigative Files of the Inspector General from the following subsections of the Privacy Act: 5 U.S.C. 552a(c)(3)--access to accounting of disclosure.

5 U.S.C. 552a(c)(4)--notification to outside parties and agencies of correction or notation of dispute made in accordance with 5 U.S.C. 552a(d). 5 U.S.C. 552a(d)(1) through (4) and (f)--procedures for notification or access to, and correction or amendment of, records. 5 U.S.C. 552a(e)(1)--maintenance of only relevant and necessary information. 5 U.S.C. 552a(e)(2)--collection of information from the subject individual to the greatest extent practicable. 5 U.S.C. 552a(e)(3)--notice to an individual who is asked to provide information to the Department. 5 U.S.C. 552a(e)(4)(G) and (H)--inclusion of information in the system of records notice regarding Department procedures on notification of, access to, correction of, or amendment of records. 5 U.S.C. 552a(e)(5)--maintenance of records with requisite accuracy, relevance, timeliness, and completeness. 5 U.S.C. 552a(e)(8)--service of notice on individual if a record is made available under compulsory legal process if that process becomes a matter of public record. 5 U.S.C. 552a(g)--civil remedies for violation of the Privacy Act. Pursuant to the general authority in the Privacy Act in 5 U.S.C. 552a(k)(2) (civil investigative files), the Secretary of Education has by regulations exempted the Investigative Files of the Inspector General from the following subsections of the Privacy Act: 5 U.S.C. 552a(c)(3)--access to accounting of disclosure. 5 U.S.C. 552a(d)(1) through (4) and (f)--procedures for notification or access to, and correction or amendment of, records. 5 U.S.C. 552a(e)(1)--maintenance of only relevant and necessary information. 5 U.S.C. 552a(e)(4)(G) and (H)--inclusion of information in the system of records notice regarding Department procedures on notification of, access to, correction of, or amendment of records. These exemptions are stated in 34 CFR 5b.11. Appendix to 18-10-01 Additional System Locations Office of Inspector General, U.S. Department of Education, J.W. McCormack, P.O. and Courthouse Building, Devonshire Street, Room504, Boston, MA 02109. Office of Inspector General, U.S. Department of Education, 75 Park Place, 12th Floor, New York, NY 10007. Office of Inspector General, U.S. Department of Education, The Wanamaker Building, 100 Penn Square East, Suite 502, Philadelphia, PA 19107. Office of Inspector General, U.S. Department of Education, Atlanta Federal Center, 61 Forsyth Street, Room 18T71, Atlanta, GA 30303. Office of Inspector General, U.S. Department of Education, 111 N. Canal Street, Suite 940, Chicago, IL 60606-7204. Office of Inspector General, U.S. Department of Education, 1999 Bryan Street, Suite 2630, Dallas, TX 75201-6817. Office of Inspector General, U.S. Department of Education, 8930 Ward Parkway, Suite 2401, Kansas City, MO 64114-3302. Office of Inspector General, U.S. Department of Education, 501 W. Ocean Boulevard, Suite 1200, Long Beach, CA 90802. Office of Inspector General, U.S. Department of Education, 501 I Street, Suite 9-200, Sacramento, CA 95814. Office of Inspector General, U.S. Department of Education, Jacaranda Executive Court, 7890 Peters Road, Suite G-100, Plantation, FL 33324. Office of Inspector General, U.S. Department of Education, Federal Building and Courthouse, 150 Carlos Chardon Avenue, Room 747, Box 772, Hato Rey, PR 00918-1721.

18-10-03 Non-Federal Auditor Referral, Suspension, and Debarment File 18-10-03
(64 FR 30155-30157) June 4, 1999

SYSTEM NAME: Non-Federal Auditor Referral, Suspension, and Debarment File. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Audit Services, Office of Inspector General, U.S. Department of Education, 330 C Street, SW., Room 4200, Switzer Building, Washington, DC 20202-1510. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Auditors and audit firms not employed by the Federal government whom the Office of Inspector General has referred to State boards of accountancy or professional associations and/or suspended or debarred for violations of generally accepted auditing standards or generally accepted government auditing standards in connection with audits of federally assisted education programs. CATEGORIES OF RECORDS IN THE SYSTEM: Information relating to the audit activity which led to the referral, suspension or debarment action, including the referral, suspension or debarment documents; and records on the substance, status or outcome of each referral, suspension and debarment, including voluntary exclusion settlement agreements. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Inspector General Act of 1978, as amended (5 U.S.C. Appendix 3, 4(a)(1) and 4(b)(1)(C)) and 34 CFR part 85, the Nonprocurement Debarment and Suspension Regulations. PURPOSE(S): This system of records is maintained for the general purpose of enabling the OIG to fulfill the requirements of section (4)(b)(1)(C) of the Inspector General Act of 1978, 5 U.S.C. Appendix 3, 4(b)(1)(C) which requires Federal Inspectors General, including the Department Inspector General, to take appropriate steps to assure that any work performed by non-Federal auditors complies with the standards established by the Comptroller General. Records are used to document OIG actions with regard to open and closed referrals, suspensions or debarments by the OIG; to produce statistical data; and to share information with Federal, State and professional organizations which are also responsible for maintaining or monitoring adherence to audit standards. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The Department of Education (the 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 Privacy Act, under a computer matching agreement. (1) Audit oversight and referral disclosure. A record from this system of records may be disclosed to other Federal agencies, the General Accounting Office, State agencies responsible for audit oversight, State Boards of accountancy, and the American Institute of Certified Public Accountants, and other professional accountancy associations, to make and support referrals regarding inadequate audits performed by independent auditors, to track the result of proceedings against those auditors, and to inform these entities if other referrals have been made.

(2) Suspension and debarment disclosure. A record from this system of records may be disclosed to other Federal agencies, the General Accounting Office, State agencies responsible for audit oversight, State Boards of Accountancy, the American Institute of Certified Public Accountants, and other professional accountancy associations, to inform these entities of the substance, status or outcome of suspension and debarment proceedings, including settlement, and as authorized under section 3 of Executive Order 12549 for purposes of suspending and debarring an auditor pursuant to 34 CFR part 85. (3) Disclosure to auditee. A record from this system of records may be disclosed to the auditee which was the subject of audit oversight by the Department OIG. (4) Engagement disclosure. A record from this system of records may be disclosed to a contractor or grantee of the Department or other participant in Department programs which may be contemplating engaging the firm or individual named in the record to perform auditing or related services pertaining to federally assisted education programs, unless the entities to which the Assistant Inspector General for Audit Services has made a referral under routine use number 1, decline to take action against the auditor or act to exonerate the auditor. (5) Disclosure to Public and Private Entities To Obtain Information. A record from this system of records may be disclosed to public or private sources to the extent necessary to obtain information from those sources relevant to an OIG audit oversight activity, referral action, suspension and debarment action, investigation, audit, inspection, or other activity. (6) Enforcement disclosure. In the event that any records from this system of records, either alone or in combination with any other information, indicate a violation or potential violation of criminal or civil law or regulation, the Department may disclose information from this system of records as a routine use 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 of the receiving entity. (7) Disclosure to the Department of Justice. A record may be disclosed from this system of records to the Department of Justice to the extent necessary for obtaining its advice on any matter relevant to an OIG investigation, audit, inspection, or other inquiry related to the responsibilities of the OIG. (8) Hiring/contracting disclosure. (a) The Department. A record from this system of records may be disclosed as a routine use to a Federal, State, or local agency maintaining civil, criminal or other relevant enforcement records or other pertinent records, such as current licenses, if necessary to obtain a record relevant to an agency decision concerning the hiring or retention of an employee to perform audit services, the issuance of a security clearance, or the letting or continuation of a contract to perform audit services by the Department or by any recipient of Federal funds administered by the Department or its agent. (b) Other Federal agencies. A record from this system of records may be disclosed to a Federal agency, in connection with the hiring or retention of an employee to perform audit services, the issuance of a security clearance, the letting or continuation of a contract to perform audit services by the agency or by any recipient of Federal funds, or the issuance of a license, grant, or other benefit by the recipient agency. (9) Litigation disclosure. (a) Disclosure to the Department of Justice. A record from this system of records may be disclosed to the Department of Justice if the record is relevant and necessary to litigation. Such a disclosure may be made in the event that one of the parties listed below is involved in the litigation, or has an interest in the litigation: (i) The Department or any component of the Department; (ii) Any employee of the Department in his or her official capacity; (iii) Any Department employee in his or her individual capacity where the Justice Department has agreed to represent such employee; or

(iv) The United States where the Department determines that the litigation is likely to affect the Department or any of its components. (b) Other litigation disclosure. A record from this system of records may be disclosed to a court or adjudicative body, to a party, counsel or witnesses, in the course of the litigation or related settlement proceedings. Such disclosure may be made in the event that a person or entity listed below is a party to the litigation, or has an interest in the litigation: (i) The Department or any component of the Department; (ii) Any employee of the agency in his or her official capacity; (iii) Any employee of the Department in his or her individual capacity where the agency has agreed to represent the employee; or (iv) The United States, where the agency determines that litigation is likely to affect the agency or any of its components. (9) 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. (10) Employee grievance, complaint or conduct disclosure. The Department may disclose a record in this system of records to another agency of the Federal government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: Complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (11) Contract disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in file folders and/or microcomputer disk. RETRIEVABILITY: Records are indexed and retrieved by name of individuals, firms or other professional associations. SAFEGUARDS: Records are secured in file cabinets and are locked in offices after office hours. RETENTION AND DISPOSAL: Records are maintained and destroyed in accordance with the Department's Records Disposition Schedule (ED/RDS, Part 16). A copy of the ED/RDS can be obtained from the system manager at the address below. SYSTEM MANAGER(S) AND ADDRESS: Assistant Inspector General for Audit Services, Office of Inspector General, U.S. Department of Education, 400 Maryland Avenue, SW., Switzer Building, Washington, DC 202021510. NOTIFICATION PROCEDURE: Individuals wishing to know if they are named in this system of records must submit a written request to the system manager. Requests must reasonably specify the system of

records containing the information and the particular record contents being sought. For a complete statement of notification procedures, see the regulations, 34 CFR 5b.5. RECORD ACCESS PROCEDURES: Individuals wishing to gain access to a record in this system of records must submit a written request to the system manager. Requests must reasonably specify the system of records containing the information, the particular record contents being sought, and the reason for the request. For a complete statement of notification procedures, see the regulations, 34 CFR 5b.5. CONTESTING RECORD PROCEDURES: Individuals desiring to contest information contained in a record in this system of records should contact the system manager. Requests must be made either in writing or in person, and must specify: (1) The system of records from which the record is to be retrieved; (2) the particular record which the requestor is seeking to amend; (3) whether a deletion, an addition, or a substitution is being sought; and (4) the reason(s) for the requested change(s). Requestors may wish to include in their requests any appropriate documentation supporting the requested change(s). For a complete statement of contesting record procedures, see the regulations, 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information contained in the system will be obtained principally from OIG employees. Information regarding the status of referral actions will be obtained from the appropriate State licensing board and professional organizations to which the referral was made. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-10-04 Hotline Complaint Files of the Inspector General
18-10-04
(64 FR 30157-30159) June 4, 1999

SYSTEM NAME: Hotline Complaint Files of the Inspector General. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Office of Inspector General, U.S. Department of Education, 330 C Street, SW., Room 4116, Switzer Building, Washington, DC 20202-1510. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Categories include individuals who are sources of information or have made complaints to the OIG Hotline, individuals who allegedly have knowledge regarding wrongdoing affecting the programs and operations of the Department, and individuals about whom complaints and allegations have been made concerning wrongdoing involving the programs and operations of the Department of Education. These individuals may include, but are not limited to, current and former Department employees, grantees, subgrantees, contractors, subcontractors, program participants, recipients of Federal funds or federally insured funds, and officers, employees, or agents of institutional recipients or program participants. CATEGORIES OF RECORDS IN THE SYSTEM: Records in this system contain information obtained from complainants who report allegations of wrongdoing relating to Department of Education programs and operations. Specific data may include name and address (if available) of the complainant, the date the complaint was received, the affected program area, the nature and subject of the complaint, and any additional contacts and specific comments provided by the complainant. In addition, information on the OIG disposition of the complaint is included in the system. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Inspector General Act of 1978, as amended (IG Act), 5 U.S.C. app. 3. PURPOSE(S): Pursuant to the Inspector General Act, the system is maintained for the purposes of maintaining a record of complaints and allegations received concerning Department of Education programs and operations and concerning the disposition of those complaints and allegations. 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 Privacy Act, under a computer matching agreement. (1) Disclosure for Use by Other Law Enforcement Agencies. In the event that any records from this system of records, either by themselves or in combination with any other information, indicate a violation or potential violation of criminal or civil law or regulation, the Department may disclose information from this system of records as a routine use 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 of the receiving entity. (2) Litigation Disclosure.

(a) Introduction. In the event that one of the following parties is involved in litigation, or has an interest in litigation, the Department may disclose certain records to the parties described in paragraphs (2), (3), and (4) of this routine use under the conditions specified in those paragraphs: (i) The Department, or any component of the Department; or (ii) Any Department employee in his or her official capacity; or (iii) Any employee of the Department in his or her individual capacity if the Department of Justice has agreed to provide or arrange for representation for the employee; or (iv) Any employee of the Department in his or her individual capacity if the agency has agreed to represent the employee; or (v) The United States if the Department determines that the litigation is likely to affect the Department or any of its components. (b) Disclosure to the Department of Justice. If the Department determines that disclosure of certain records to the Department of Justice or attorneys engaged by the Department of Justice is relevant and necessary to litigation, the Department may disclose those records as a routine use to the Department of Justice. (c) Administrative Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear or to an individual or an entity designated by the Department or otherwise empowered to resolve 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) Opposing Counsels, Representatives, and Witnesses. If the Department determines that disclosure of certain records to an opposing 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 counsel, representative, or witness. (3) Disclosure to Public and Private Entities to Obtain Information Relevant to the Department's OIG Functions and Duties. The Department may disclose information from this system of records as a routine use to public or private sources to the extent necessary to obtain information from those sources relevant to a Department of Education/OIG investigation, audit, inspection, or other inquiry. (4) Disclosure to Public and Private Sources in Connection with the Higher Education Act of 1965, as amended (HEA). The Department may disclose information from this system of records as a routine use to any accrediting agency that is or was recognized by the Secretary of Education pursuant to the HEA, to any guarantee agency that is or was a party to an agreement with the Secretary of Education pursuant to the HEA, or to any agency that is or was charged with licensing or legally authorizing the operation of any educational institution or school that was eligible, is currently eligible, or may become eligible to participate in any program of Federal student assistance authorized by the HEA. (5) Disclosure to the Department of Justice. The Department may disclose information from this system of records as a routine use to the Department of Justice to the extent necessary for obtaining its advice on any matter relevant to an OIG investigation, audit, inspection, or other inquiry related to the responsibilities of the OIG. (6) Congressional 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in complaint files, computer mainframe files, and computerprinted listings. RETRIEVABILITY: Hard copy records are organized by and retrievable by the assigned Hotline number. The computer files are indexed and retrievable by Hotline number, name of complainant, and the name of the subject or subjects. SAFEGUARDS: Records are maintained in locked file cabinets or in metal file cabinets in secured rooms or premises to which access is limited to those persons whose official duties require access. Computer terminals are secured in controlled areas that are locked when unoccupied. Access to automated records is limited to authorized personnel who must use a password system to gain access. RETENTION AND DISPOSAL: Hotline records not resulting in investigations are destroyed when five years old, in accordance with the Department's Records Disposition Schedules (ED/RDS, part 16). Investigative case files are destroyed 10 years after close-out in accordance with the Department's Records Disposition Schedules (ED/RDS, Part 16). SYSTEM MANAGER(S) AND ADDRESS: Assistant Inspector General for Investigation Services, Office of Inspector General, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4106, Switzer Building, Washington, DC 20202-1510. NOTIFICATION PROCEDURE: See Systems Exempted. As provided in 34 CFR 5b.11(f), the notification procedures are not applicable to Hotline files except at the discretion of the Inspector General. The notification procedures are applicable to non-criminal files only under the conditions in 34 CFR 5b.11(f)(2). To the extent these procedures apply to the Department of Education Hotline Complaint Files, they are governed by 34 CFR 5b.5. RECORD ACCESS PROCEDURES: See Notification Procedure. CONTESTING RECORD PROCEDURES: Not applicable. See Systems Exempted. RECORD SOURCE CATEGORIES: Complainants who include, but are not limited to, current and former employees of the Department, employees of other Federal agencies, employees of State and local agencies, private individuals, and officers and employees of non-governmental organizations that are involved with Department programs, contracts, or funds or have knowledge about Department programs, contracts, or funds. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: The Secretary has by regulations exempted the Hotline Complaint Files of the Inspector General from the following provisions of the Privacy Act: (1) Pursuant to 5 U.S.C. 552a(j)(2): (a) 5 U.S.C. 552a(c)(3), regarding access to an accounting of disclosures of a record. (b) 5 U.S.C. 552a(c)(4), regarding notification to outside parties and agencies of correction or notation of dispute made in accordance with 5 U.S.C. 552a(d).

(c) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification or access to records and correction or amendment of records. (d) 5 U.S.C. 552a(e)(1), regarding maintaining only relevant and necessary information. (e) 5 U.S.C. 552a(e)(2), regarding collection of information from the subject individual. (f) 5 U.S.C. 552a(e)(3), regarding notice to individuals asked to provide a record to the Department. (g) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of information in the system notice about procedures for notification, access, correction, and source of records. (h) 5 U.S.C. 552a(e)(5), regarding maintaining records with requisite accuracy, relevance, timeliness, and completeness. (i) 5 U.S.C. 552a(e)(8), regarding service of notice on subject individual if a record is made available under compulsory legal process if that process becomes a matter of public record. (j) 5 U.S.C. 552a(g), regarding civil remedies for violation of the Privacy Act. (2) Pursuant to 5 U.S.C. 552a(k)(2): (a) 5 U.S.C. 552a(c)(3), regarding access to an accounting of disclosures of records. (b) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification of and access to records and correction or amendment of records. (c) 5 U.S.C. 552a(e)(1), regarding the requirement to maintain only relevant and necessary information. (d) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of information in the system notice about procedures for notification, access, correction, and source of records. These exemptions are stated in 34 CFR 5b.11.

18-11-01 Federal Student Aid Application File
(64 FR 30159-30161, corrected by 65 FR 11294-11295 )

18-11-01 June 4, 1999 / March 2, 2000 SYSTEM NAME: Federal Student Aid Application File. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Application & Pell Processing Systems Division, Office of Student Financial Assistance Programs, U.S. Department of Education, Seventh and D Streets, SW., Room 4621, ROB-3, Washington, DC 20202-5459. Federal Student Aid Application Processing Center, Iowa City, IA 52240. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on students applying for Federal student financial assistance under Title IV of the Higher Education Act of 1965 (HEA). CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of the name, address, birth date, Social Security number, parents' and students' personal identification numbers assigned by the Department, and financial data necessary to identify applicants, verify applicant data, and calculate their expected family contributions for Federal student financial assistance. In addition, information on the student's prior Pell Grant awards and student loan status from the National Student Loan Data System (NSLDS) database is maintained in the system. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Title IV of the Higher Education Act of 1965, as amended. PURPOSE(S): Information contained in this system is maintained for the purposes of: (1) Determining an applicant's eligibility for the Federal student financial assistance programs authorized by title IV of the HEA; (2) Maintaining a record of the data supplied by those requesting assistance; (3) Documenting the results of an applicant's need analysis and Pell Grant eligibility; (4) Reporting the results of the need analysis and Pell Grant eligibility determination to applicants, postsecondary institutions, and State agencies designated by the applicant, and to other Departmental and investigative components for use in operating and evaluating the title IV, HEA programs and in the imposition of criminal, civil or administrative sanctions; and (5) Acting as a repository and source for information necessary to fulfill the requirements of title IV of the HEA. 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 to institutions of postsecondary education. The Department may disclose identifying information, financial data, and expected family contributions of applicants to those institutions of postsecondary education (or their designated agents) in which the applicants plan to enroll or are enrolled. Disclosure of such information is made only to postsecondary institutions that are listed by the applicant on the Federal Student Aid Application file. (2) Disclosure to State agencies. The Department may disclose the data described in paragraph (1) to State agencies having agreements with the Secretary for purposes of coordinating student aid.

(3) Disclosure to parents and spouses. The Department, upon request, may disclose information that is provided by parents or spouses on the application form to those individuals. (4) 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. (5) 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. (6) 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. (7) 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. (8) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (9) 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.

(10) 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. (11) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: Complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (12) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (13) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (14) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (15) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. (16) Disclosures to third parties through computer matching programs. Any information from this system of records, including personal information obtained from other agencies through computer matching programs, may be disclosed to any third party through a computer matching program in connection with an individual's application or participation in any grant or loan program administered by the U.S. Department of Education. Purposes of these disclosures may be to determine program eligibility and benefits, enforce the conditions and terms of the loan or grant, permit the servicing and collecting of the loan or grant, counsel the individual in repayment efforts, investigate possible fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, and initiate legal action against an individual involved in program fraud or abuse. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for

the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Original applications are maintained in standard Federal Records Center boxes in locked storage rooms within the facility of the Application for Federal Student Aid Processor. Computerized applicant records are maintained on magnetic tape reels, cartridges and hard disks in the computer facility and locked storage rooms within the Federal Student Aid Application Central Processing Center. Microfiche records maintained in the Washington, DC office are locked in standard file cabinets. RETRIEVABILITY: Records are indexed by Social Security number and the first two letters of the applicant's last name. SAFEGUARDS: Records are available to staff of the Student Financial Assistance Programs (including appropriate contract support staff). The Department will mail an Electronic Access Code (EAC) directly to certain students who have used the World Wide Web to electronically file a Free Application for Federal Student Aid (FAFSA). The student uses the EAC to complete their renewal Free Application for Federal Student Aid (FAFSA) via the Internet. Physical access to the data systems housed within the facility is controlled by a computerized badge reading system, and the entire complex is patrolled by security personnel during nonbusiness hours. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. Multiple levels of security are maintained within the computer system control program. This security system limits data access to Department and contract staff on a "need-to-know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Original records are maintained and stored in a Federal Records Center. Grant aid records are kept for a period not to exceed fifteen years after payment or audit of the grantee, whichever comes sooner; and loan records are kept three years after cancellation or repayment of a loan, in accordance with the Department of Education Records Disposition Schedules (ED/RDS). SYSTEM MANAGER(S) AND ADDRESS: Director, Application & Pell Processing Systems Division, Office of Student Financial Assistance Programs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4621, ROB-3, Washington, DC 20202-5459. NOTIFICATION PROCEDURE: A copy of the applicant's record, known as the Student Aid Report, is mailed to the applicant's home address after the application information has been processed. If you wish to determine whether a record exists regarding you in the system of records, contact the system manager and provide you name, date of birth, and Social Security number or call 1-800-4-FEDAID (1-800-433-3243) and give the same information. Requests for notification about whether the system of records contains information about an individual 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 in this system, contact the system manager and provide information as described in the Notification Procedure. Requests by an individual for access to a record must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to change the content of a record in the system of records (for the current Free Application for Federal Student Aid (FAFSA)), contact the system manager with the information described in the Notification Procedure, identify the specific items to be changed, and provide a justification for the change. Requests to amend a record must meet the requirements of regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Applicants for Federal student financial aid provide the information used in this system by filing a Free Application for Federal Student Aid (FAFSA) with the Department of Education. (For students who have access to the Internet, the Free Application for Federal Student Aid (FAFSA) is available on the world wide web (located at www.fafsa.ed.gov). Although students using the web site are required to send in a paper signature page and students must update their information each year, applying electronically using the Internet is less burdensome than applying on paper.) SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-02 Recipient Financial Management System
18-11-02
(64 FR 30161-30162) June 4, 1999

SYSTEM NAME: Recipient Financial Management System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Central Computer Facility, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on all Pell Grant Recipients. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of the financial data, personal identification numbers assigned by the Department, and status of award for Pell Grant recipients. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Title IV-A of the Higher Education Act of 1965. PURPOSE(S): The information in this system is used to prepare processed student payment data for submission to schools or their agents in order to verify payments made to students. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS 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) Program Disclosures. Any information from this system of records, including personal information obtained from other agencies through computer matching programs, may be disclosed to any third party through a computer matching program in connection with an individual's application or participation in any grant or loan program administered by the Department. Purposes of these disclosures may be to determine program eligibility and benefits, enforce the conditions and terms of the loan or grant, permit the servicing and collecting of the loan or grant, counsel the individual in repayment efforts, investigate possible fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, and initiate legal action against an individual involved in program fraud or abuse. (2) 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. (3) 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(f). A consumer-reporting agency to which these disclosures may be made is defined at 31 U.S.C.3701 (a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Origination and disbursement reports are now stored electronically. Decrease award and audit reports are maintained in hard copy. RETRIEVABILITY: Records are indexed by institution and by recipient name and Social Security number within school. SAFEGUARDS: Direct access is restricted to authorized staff. A computerized badge reading system controls physical access to the records housed within the facility. The computer system employed by the Department of Education offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department of Education and contract staff on a “need to know” basis, and controls individuals users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Original copies are maintained until fiscal year funds are closed out and then are stored at the Federal Records Center. SYSTEM MANAGER(S) AND ADDRESS: Director, Student Aid Origination Team, Programs Systems Service, 400 Maryland Avenue, SW., Washington, DC 20202.

NOTIFICATION PROCEDURE: A student who has received a Federal Pell Grant, should presume that a record exists. If you wish to determine whether a record exists regarding you in the system of records, contact the system manager and provide your name, social security number and date of birth. 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 in this system, you should contact the system manager and provide information as described in the Notification Procedure. 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 change the content of a record in the system of records, you should contact the system manager with the information described in the Notification Procedure, identify the specific items to be changed and provide a written justification for the change. Your request must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system is obtained from origination and disbursement records provided by the school and its agent to the Department of Education. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-03 Student Financial Assistance Validation File
18-11-03
(64 FR 30162-30163) June 4, 1999

SYSTEM NAME: Student Financial Assistance Validation File. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Debt Collection, Division of Certification and Program Review, Office of Student Financial Assistance Programs, U.S. Department of Education, Seventh and D Streets, SW., Room 4520, ROB-3, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on applicants and recipients of student financial assistance. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of student financial assistance application, award and servicing forms and documentation, and parents' and students' personal identification numbers assigned by the Department. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Title IV of the Higher Education Act of 1965. PURPOSE(S): The information in this system is used to determine program eligibility and benefits, enforce the conditions and terms of the loan or grant, permit the servicing and collecting of the loan or grant, counsel the individual in repayment efforts, investigate possible fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, and initiate legal action against an individual involved in program fraud or abuse. 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) 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. (2) 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. (3) Program Disclosures. Any information from this system of records, including personal information obtained from other agencies through computer matching programs, may be disclosed to any third party through a computer matching program in connection with an individual's application or participation in any grant or loan program administered by the Department of Education. Purposes of these disclosures may be to determine program eligibility and benefits, enforce the conditions and terms of the loan or grant, permit the servicing and collecting of the loan or grant, counsel the individual in repayment efforts, investigate possible fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, and initiate legal action against an individual involved in program fraud or abuse. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(f). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C.3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained in standard file cabinets. RETRIEVABILITY: Records are indexed by name. SAFEGUARDS: Access is restricted to authorized staff only and files are maintained in locked cabinets. RETENTION AND DISPOSAL: Records are maintained until resolved and then transferred to the Federal Records Center. SYSTEM MANAGER(S) AND ADDRESS: Director, Division of Certification and Program Review, Office of Student Financial Assistance Programs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4520, ROB-3, 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 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. RECORD SOURCE CATEGORIES: Information in this system is obtained from application data, incoming correspondence and related material, obtained during course of investigation; Program System Service (PSS), National Student Loan Data Systems Division (NSLDS). SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-05 Title IV Program Files
(64 FR 30163-30166)

18-11-05 June 4, 1999 SYSTEM NAME: Title IV Program Files. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Program System Service, Office of Student Financial Assistance Programs, U.S. Department of Education, Seventh and D Streets, SW., Room 4640, ROB-3, Washington, DC 20202-5258. Computer Sciences Corporation, Meridan, Connecticut. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on the following individuals: (1) Individuals who apply for Federal financial student aid; (2) Recipients of Pell Grants; (3) Recipients of Federal Direct Student Loans; and (4) Borrowers whose loan defaulted or borrower died, became disabled or had a loan discharged in bankruptcy under the Federal Direct Student Loan Program. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains records regarding the amount of Pell Grant applicant receives; applicant's demographic background, loan, and educational status; family income; Social Security number; address and telephone number; and employment information on borrowers and co-signers; default claim number; amount of claim; information pertaining to locating a borrower; collection and repayment history; information pertaining to the amount of the loan and repayment obligation; forbearance; cancellation; disability; and deferment information; and a personal identification numbers assigned by the Department. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Higher Education Act of 1965, Titles IV-A, IV-B, IV-D, and IV-E, as amended (20 U.S.C. 1070-1070a-6, 1070b-1070b-3, 1071-1087-2, 1087a, 1087aa-hh). PURPOSE(S): The information maintained in this system is used for the purposes of determining program eligibility and benefits, verifying the identity of the individual, enforcing the conditions and terms of the loan or grant, permitting the servicing and collecting of the loan or grant, counseling the individual in repayment efforts, investigating possible fraud and verifying compliance with program regulations, locating a delinquent or defaulted debtor or locating a recipient owing an overpayment on a grant, initiating legal action against an individual involved in program fraud, abuse, or noncompliance, and enforcing Title IV requirements against schools, lenders, and guaranty agencies. 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 purpose 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 Privacy Act, under computer matching agreements. (1) Program Disclosures. ED may disclose records for the following program purposes: (a) To verify the identity of the applicant, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private

parties such as relatives, present and former employers and creditors, contractors, business and personal associates and consumer reporting agencies. (b) To determine program eligibility and benefits, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, contractors, business and personal associates and consumer reporting agencies. (c) To facilitate default reduction efforts by program participants, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, consumer reporting agencies, contractors and hearing officials. (d) To enforce the conditions or terms of the loan, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (e) To enforce the conditions or terms of the grant, disclosures may be made to educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (f) To permit servicing, collecting or accepting the loan, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (g) To permit collecting overpayment on grants, disclosures may be made to, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (h) To counsel the borrower in repayment efforts, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, contractors and Federal, State or local agencies. (i) To investigate possible fraud and verify compliance with loan program regulations, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (j) To investigate possible fraud and verify compliance with grant program regulations, disclosures may be made to educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (k) To locate a delinquent or defaulted borrower, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (l) To locate an individual who owes a refund on a grant, disclosures may be made to educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (m) To issue collection letters to defaulted borrowers, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials.

(n) To issue collection letters to an individual who owes a refund on a grant, disclosures may be made to educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (o) To locate a missing borrower, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (p) To locate a missing individual who owes a refund on a grant, disclosures may be made to educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (q) To collect in-file history information and to determine assets and ability to pay a loan debt, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (r) To collect in-file history information and to determine assets and ability to refund an overpayment, disclosures may be made to educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials(s) To determine last known address, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (t) To conduct a salary offset hearing under 34 CFR Part 31, disclosures may be made to Federal agencies, contractors and hearing officials. (u) To prepare for litigation or to litigate collection service and audit, disclosures may be made to guaranty agencies, Federal, State or local agencies, contractors and hearing officials. (v) To initiate a limitation, suspension and termination (LS&T) or debarment or suspension action, disclosures may be made to guaranty agencies, educational and financial agencies or institutions and hearing officials. (w) To ensure Title IV requirements are met by schools, lenders and guaranty agencies, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, and hearing officials. (x) To verify death, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and Federal, State or local agencies. (y) To conduct credit checks, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and Federal, State or local agencies. (z) To investigate complaints, update files, and correct errors, disclosures may be made to guaranty agencies, educational and financial agencies or institutions, Federal, State or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, consumer reporting agencies, contractors and hearing officials. (2) Feasibility Study Disclosure. Any information from this system of records may be disclosed to other Federal agencies and to guaranty agencies to determine whether computer matching programs should be conducted by the Department regarding an individual's

application for or participation in any grant or loan program administered by the Department. Purposes of these disclosures may be to determine program eligibility and benefits, facilitate default reduction efforts, enforce the conditions and terms of a loan or grant, permit the servicing and collecting of the loan or grant, enforce debarment, suspension, and exclusionary actions, counsel the individual in repayment efforts, investigate possible fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, and initiate legal action against an individual involved in program fraud or abuse. (3) 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 relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether foreign, Federal, State, or local, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or executive order or rule, regulation, or order issued pursuant thereto if the information is relevant to any enforcement, regulatory, investigative, or prosecutive responsibility of the receiving entity. (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) Employment, Benefit, and Contracting Disclosure. (a) For Decisions by the Department. The Department may disclose a record from this system of records as a routine use to a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement or other pertinent records, such as current licenses, if the disclosure is necessary to obtain a record the Department believes may be relevant to a Department decision concerning the hiring, retention of, or any personnel action concerning an employee, 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 Licensing Organizations. The Department may disclose information from this system of records as a routine use to a Federal, State, local, or foreign agency or other public authority or professional licensing organization, in connection with the hiring or retention of an employee, 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. (6) Employee Grievance, Complaint or Conduct Disclosure. If a record maintained in this system of records is relevant to an employee grievance or complaint or employee discipline or competence determination proceedings of another party of the Federal Government, the Department may disclose the record as a routine use in the course of the proceedings. (7) Labor Organization Disclosure. Where a contract between a component of the Department and a labor organization recognized under Chapter 71, U.S.C. Title V provides that the Department will disclose personal records relevant to the organization's mission, records in this system of records may be disclosed as a routine use to such an organization. (8) Contract Disclosure. When the Department contemplates that it will contract with a private firm for the purpose of collating, analyzing, aggregating, or otherwise refining records or performing any other function with respect to the records in this system, relevant records will be disclosed to such a contractor. The contractor shall be required to maintain Privacy Act safeguards with respect to such records. (9) Disclosure to the Department of Justice. The Department may disclose information from this system of records as a routine use to the Department of Justice to the extent necessary for obtaining its advice on any matter relevant to an audit, inspection, or other inquiry related to the Department's responsibilities under Title IV of the Higher Education Act of 1965. (10) Research Disclosure. When the appropriate official of the Department determines that an individual or organization is qualified to carry out specific research, that official may disclose information from this system of records to that researcher solely for the purpose of carrying out that research. The researcher shall be required to maintain Privacy Act SAFEGUARDS with respect to such records. (11) Computer Matching Disclosure. Any information from this system of records, including personal information obtained from other agencies through computer matching programs, may be disclosed to any third party through a computer matching program in connection with an individual's application for, or participation in, any grant or loan program administered by the Department. The purposes of these disclosures may be to determine program eligibility and benefits, enforce the condition and terms of a loan or grant, permit the servicing and collecting of the loan or grant, prosecute or enforce debarment, suspension, and exclusionary actions, counsel the individual in repayment efforts, investigate possible fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, and initiate legal action against an individual involved in program fraud or abuse. Among other disclosures, this routine use authorizes disclosure to any other Federal agency, including the Defense Manpower Data Center, Department of Defense, for the purposes of identifying and locating individuals who are delinquent in their repayment of debts owed to the U.S. Government under Title IV, HEA programs of the Department, in order to collect the debts under the provisions of the Debt Collection Act of 1982 (including 31 U.S.C. Chapter 37 and 5 U.S.C. 5514) and 31 CFR Part 31 by voluntary repayment or by administrative or salary offset. (13) Freedom of Information Act (FOIA) Advice Disclosure. In the event that the Department deems it desirable or necessary, in determining whether particular records are required to be disclosed under the Freedom of Information Act, disclosure may be made to the Department of Justice or the Office of Management and Budget for the purpose of obtaining their advice. (14) Congressional Member Disclosure. The 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 the which the record was collected. The member's right to the information is no greater than the right of the individual who requested it.

DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim which is determined to be valid and overdue as follows: (1) The name, address, social security number, and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in 31 U.S.C. 3711(f). A consumer Reporting agency to which these disclosures may be made is defined at 15 U.S.C. 1681a(f) and 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in either hard copy, microfilm, magnetic tape, or other electronic media. RETRIEVABILITY: The file is indexed by Social Security number or name. Data for loans made under the Federal Direct Student Loan Program, FISL Program, Federal Perkins Loan (formerly National Direct Student Loan) Program, Federal Pell Grant Program, and some FFELs are retrievable by Social Security number. SAFEGUARDS: All physical access to the Department of Education site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department of Education offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department of Education and contract staff on a "need-to-know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Records of individual loans may be destroyed five years after cancellation, forgiveness or final repayment of the loan. Records of Federal Supplemental Educational Opportunity Grant recipients may be destroyed five years after the fiscal operations report is filed. Records of Federal Pell Grant recipients may be destroyed five years after the initial award year has ended, as set forth in appropriate record retention schedules. SYSTEM MANAGER(S) AND ADDRESS: Director, Program Systems Service, Office of Student Financial Assistance Programs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4640, ROB-3, Washington, DC 20202-5258. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, you should provide to the system manager your name, date of birth, Social Security number, and the name of the school or lender from which the loan or grant was obtained. 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 in this system, you should contact the system manager and provide information as described in the Notification Procedure. Requests by an

individual for access to a record must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to change the content of a record in the system of records, contact the system manager with the information described in the Notification Procedure, identify the specific items to be changed, and provide a written justification for the change. Requests to amend a record must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information is obtained from reports from borrowers and their families, lenders, schools, examining or treating physicians, employers, credit agencies, Federal and State governmental agencies, and State or private nonprofit guaranty agencies. However, lenders and guaranty agencies are not a source of information for participants in the Federal Direct Student Loan Program, since the Department maintains individual records of borrowers for this program. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-06 National Student Loan Data System (NSLDS)
18-11-06
(64 FR 72395-72397) December 27, 1999

SYSTEM NAME: National Student Loan Data System (NSLDS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Computer Sciences Corporation, 71 Deerfield Lane, Meriden, CT 06450-7151. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The NSLDS contains records on borrowers who have applied for and received loans under the William D. Ford Federal Direct Loan Program, the Federal Family Education Loan (FFEL) Program, the Federal Insured Student Loan (FISL) Program, and the Federal Perkins Loan Program (including National Defense Student Loans, National Direct Student Loans, Perkins Expanded Lending and Income Contingent Loans). The NSLDS also contains records on recipients of Federal Pell Grants and persons who owe an overpayment on a Federal Pell Grant, Federal Supplemental Educational Opportunity Grant or Federal Perkins Loans. CATEGORIES OF RECORDS IN THE SYSTEM: The NSLDS contains records regarding: (1) Student/borrower identifier information including Social Security number, date of birth and name; (2) the information on borrowers' loans covering the entire life cycle of a loan from origination through final payment, cancellation, discharge or other final disposition including details regarding each loan received by a student such as information on loan amounts, educational status, disbursements, balances, loan status, collections, claims, deferments, refunds and cancellations; (3) enrollment information including school(s) attended, anticipated completion date, enrollment status and effective dates; (4) student demographic information such as course of study, dependency, citizenship, gender, data on family income, expected family contribution, and address; (5) Federal Pell Grant amounts and dates; and (6) Federal Pell Grant, Federal Supplemental Educational Opportunity Grant, and Federal Perkins Loan Program overpayments. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 1092b (1993). PURPOSE(S): This system of records is used for the following purposes: (1) To provide pre-screening and post-screening for Title IV aid eligibility; (2) to provide default rate calculations for educational institutions, guaranty agencies, and lenders; (3) to report changes in student/borrower enrollment status via a Student Status Confirmation Report (SSCR) or other means; (4) to prepare electronic financial aid history information; (5) to assist guaranty agencies, educational institutions, financial institutions and servicers collect loans; (6) to provide audit and program review planning; (7) to support research studies and policy development; (8) to conduct budget analysis and development; (9) to track loan transfers from one entity to another; (10) to assess Title IV Program administration of guaranty agencies, educational institutions, financial institutions and servicers; (11) to track loan borrowers and overpayment debtors; (12) to provide information that supports Credit Reform Act of 1992 requirements; (13) to provide information to track refunds/cancellations; and (14) to assist in the collection of debts owed to the Department under Title IV of the Higher Education Act, as amended. 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 Privacy Act, under a computer matching agreement. (1) Program Purposes. The Department may disclose records for the following program purposes: (a) To verify the identity of the applicant involved, the accuracy of the record, or to assist with the determination of program eligibility and benefits, the Department may disclose records to the applicant, guaranty agencies, educational institutions, financial institutions and servicers, and to Federal and State agencies; (b) To provide default rate calculations, the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers, and to State agencies; (c) To provide a standardized method for educational institutions to efficiently submit student enrollment status information, the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers; (d) To provide financial aid history information, the Department may disclose records to educational institutions and servicers; (e) To assist loan holders in the collection of loans and to support preclaims/supplemental pre-claims assistance, the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers, and to Federal, State or Local agencies; (f) To support auditors and program reviewers in planning and carrying out their assessments of Title IV Program compliance, the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers, and to Federal, State and Local agencies; (g) To support researchers and policy analysts, the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers, and to Federal, State and Local agencies; using safeguards to ensure compliance with the Privacy Act, disclosures may also be made to other researchers and policy analysts not associated with guaranty agencies, educational institutions, financial institutions or servicers; (h) To support budget analysts in the development of budget needs and forecasts, the Department may disclose records to Federal and State agencies; (i) To assist in locating holders of loan(s), the Department may disclose records to students/borrowers, guaranty agencies, educational institutions, financial institutions and servicers, and to Federal, State or Local agencies; (j) To assist analysts in assessing Title IV Program administration of guaranty agencies, educational institutions, financial institutions and servicers, the Department may disclose records to Federal and State agencies; (k) To assist loan holders in locating borrowers and overpayment holders in locating debtors, the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers, and to Federal agencies; (l) To assist with meeting Credit Reform Act of 1992 requirements, the Department may disclose records to Federal agencies; (m) To assist program administrators with tracking refunds and cancellations, the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers, and to Federal and State agencies; (n) To enforce the terms of a loan, assist in the collection of a loan and assist in the collection of an aid overpayment, the Department may disclose records to guaranty agencies, educational institutions, financial institutions and servicers, and to Federal, State, or Local agencies. (2) Litigation and Alternative Dispute Resolution (ADR) Disclosures.

(a) Introduction. In the event that one of the parties listed below is involved in litigation, or has an interest in litigation, 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, or any component of the Department; or (ii) Any Department employee in his or her official capacity; or (iii) Any employee of the Department in his or her individual capacity where the Department of Justice has agreed to provide or arrange for representation for the employee; or (iv) Any employee of the Department 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 Department of Justice. If the Department determines that disclosure of certain records to the Department of Justice or attorneys engaged by the Department of Justice is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the Department of Justice. (c) Administrative Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, individual or entity designated by the Department or otherwise empowered to resolve disputes is relevant and necessary to the administrative litigation and is compatible with the purpose for which the records were collected, 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 an opposing 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. (3) 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 relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether foreign, Federal, State, Tribal, or local, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or executive order or rule, regulation, or order issued pursuant thereto. (4) Contract Disclosure. If the Department contracts with an entity for the purpose of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records as a routine use to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (5) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose individually identifiable information to OMB as necessary to fulfill CRA requirements. (These requirements currently include transfer of data on lender interest benefits and special allowance payments, defaulted loan balances, and supplemental pre-claims assistance payments information.). (6) Employee Grievance, Complaint or Conduct Disclosure. If a record is relevant and necessary to an employee grievance, complaint, or disciplinary action, the Department may disclose the record in the course of investigation, fact-finding, or adjudication to any witness, designated fact-finder, mediator, or other person designated to resolve issues or decide the matter. (7) Labor Organization Disclosure. Where a contract between a component of the Department and a labor organization recognized under 5 U.S.C., Chapter 71, provides that the

Department will disclose personal records relevant and necessary to the organization's mission, records in this system of records may be disclosed as a routine use to such an organization. (8) Freedom of Information Act (FOIA) Advice Disclosure. In the event that the Department deems it desirable or necessary in determining whether particular records are required to be disclosed under the Freedom of Information Act, disclosure may be made to the Department of Justice for the purpose of obtaining its advice. (9) Disclosure to the Department of Justice. The Department may disclose information from this system of records as a routine use to the Department of Justice to the extent necessary for obtaining its advice on any matter relevant to an audit, inspection, or other inquiry related to the Department's responsibilities under Title IV of the Higher Education Act of 1965. (10) Congressional Member Disclosure. The Department may disclose information from this system of records to a congressional office from the record of an individual in response to an inquiry from the congressional office 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosure pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer-reporting agency information regarding a claim which is determined to be valid and overdue as follows: (1) The name, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in 31 U.S.C. 3711(f). A consumer reporting agency to which these the Department may disclose records is defined at 15 U.S.C. 1681a(f), and 31 U.S.C. 3701 (a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained on magnetic tape and computer disk media. RETRIEVABILITY: Student/Borrower data are retrieved by matching Social Security number and, as needed to reliably identify an individual, name and date of birth. SAFEGUARDS: All physical access to the sites of the contractor where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention by use of software that requires user access to be defined to specific online functions. This security system limits data access to users on a "need to know" basis and controls individual users' ability to access and alter records within the system. All users of this system are given a unique user ID with a personal identifier. Most data is loaded into NSLDS via a batch process. The security utilized ensures that only data from authorized data providers can add or update records in NSLDS. RETENTION AND DISPOSAL: Records of individual closed loans and aid overpayments will be transferred to tape/disk for retention and storage at the system location. All records are retained permanently due to research needs, budget projections, and legislative analysis. SYSTEM MANAGER(S) AND ADDRESS: Director, Program Systems Service, U.S. Department of Education, Office of Student Financial Assistance, 400 Maryland Ave., SW, ROB-3, room 4640, Washington, DC 20202.

NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, you must provide the system manager your name, date of birth, Social Security number, and the name of the school or lender from which the loan or grant was obtained. Requests for notification must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5. RECORD ACCESS PROCEDURES: If you wish to gain access to a record in this system, you must contact the system manager and provide information as described in the notification procedures. Such requests must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5. CONTESTING RECORD PROCEDURES: If you wish to change the content of a record in the system of records, you must contact the system manager with the information described in the notification procedures, identify the specific item(s) to be changed, and provide a written justification for the change, including any supporting documentation. Requests to amend a record must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information is obtained from guaranty agencies, educational institutions, financial institutions and servicers. Information is also obtained from other Department systems such as the Direct Loan Servicing System, Debt Management Collection System, Pell Grant System, Postsecondary Education Participant System and Central Processing System. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-07 Student Financial Assistance Collection Files
18-11-07
(64 FR 30166-30169) June 4, 1999

SYSTEM NAME: Student Financial Assistance Collection Files. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Program Systems Support, Office of Student Financial Assistance Programs, U.S. Department of Education, Seventh and D Streets, SW., Room 4640, ROB-3, Washington, DC 20202-5258. See the Appendix to this system notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on those individuals who have student loans made under the Federal Family Education Loan (FFEL) Program: Stafford Loans (formerly the Guaranteed Student Loan Program (GSL), including Federally Insured Student Loans (FISL)), Supplemental Loans for Students (SLS), PLUS Loans (formerly Parental Loans for Undergraduate Students), and Consolidation Loans; the William D. Ford Federal Direct Student Loan (Direct Loan) Program (formerly known as the Stafford/Ford Loan Program (SFLP), Federal Direct Unsubsidized Stafford/Ford Loan Program, Federal Direct Consolidation Loan, and Federal Direct Plus Loans; and Federal Perkins Loans (formerly National Direct/Defense Student Loans (NDSL)) and those who are awarded grants under the Pell Grant Program and the Supplemental Education Opportunity Grant Program (SEOG). CATEGORIES OF RECORDS IN THE SYSTEM: This system contains records regarding an applicant's demographic background; loan, repayment history; and educational status; family income; social security number; address and telephone numbers; employment information on borrowers and co-signers; collection activity on accounts; default claim number; amount of claim; information pertaining to locating a borrower; collection and repayment obligation; forbearance; cancellation; disability; deferment; administrative wage garnishment; bankruptcy, death; close school discharge; hearings; photocopy of all promissory notes; account collection records; administrative resolutions and litigations; and parents' and students' personal identification numbers assigned by the Department. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Higher Education Act of 1965, Titles IV-A, IV-B, IV-D, and IV-E, as amended, (20 U.S.C. 1070-1070a-6, 1070b-1070b-3, 1071-1087-2, 1087a, and 1087aa-hh). PURPOSE(S): The information contained in the records maintained in this system is used for the purposes of determining program eligibility and benefits, verifying the identity of the individual, enforcing the conditions and terms of the loan or grant, permitting the servicing and collecting of the loan or grant, counseling the individual in repayment efforts, investigating possible fraud and verifying compliance with program regulations, locating a delinquent or defaulted debtor or locating a recipient owing an overpayment on a grant, initiating legal action against an individual involved in program fraud, abuse, or noncompliance, and enforcing Title IV requirements against schools, lenders, and guaranty agencies. 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) Program Disclosures. The Department may disclose information from this system to Federal, State, or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, guaranty agencies, educational and financial agencies or institutions, consumer reporting agencies, contractors and hearing officials for the following purposes: (1) To verify the identity of the applicant; (2) to determine program eligibility and benefits; (3) to facilitate default reduction efforts by program participants; (4) to enforce the conditions or terms of the loan; (5) to permit servicing, collecting, or accepting the loan; (6) to counsel the borrower in repayment efforts; (7) to investigate possible fraud and verify compliance with program regulations; (8) to locate a delinquent or defaulted borrower; (9) to issue collection letters; (10) to locate a missing borrower; (11) to collect in-file history information to determine assets and ability to pay; (12) to determine last known address; (13) to conduct a salary offset hearing under 34 CFR part 31; (14) to prepare for litigation or to litigate collection service and audit; (15) to initiate a limitation, suspension, and termination (LS&T) or debarment or suspension action; (16) to ensure Title IV requirements are met by schools, lenders, and guaranty agencies; (17) to verify death; (18) to conduct credit checks; and (19) to investigate complaints, update files, and correct errors. (2) Feasibility Study Disclosure. The Department may disclose information from this system of records to other Federal agencies and to guaranty agencies to determine whether computer matching programs should be conducted by the Department regarding an individual's application for or participation in any grant or loan program administered by the Department. Purposes of these disclosures may be to determine program eligibility and benefits, facilitate default reduction efforts, enforce the conditions and terms of a loan or grant, permit the servicing and collecting of the loan or grant, enforce debarment, suspension, and exclusionary actions, counsel the individual in repayment efforts, investigate possible fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, and initiate legal action against an individual involved in program fraud or abuse. (3) 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. (4) 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. (5) 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. (6) 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. (7) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (8) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (9) 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. (10) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (11) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (12) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the

disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (13) 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in either hardcopy, microfilm, magnetic tape, or other electronic media. RETRIEVABILITY: Records are retrievable by Social Security number. SAFEGUARDS: All physical access to the Department's site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system utilized by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to the Department and contract staff on a "need-to-know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Records of individual loans may be destroyed five (5) years after cancellation, forgiveness or final repayment of the loan. Records of Federal Supplemental Educational Opportunity Grant (SEOG) recipients may be destroyed five (5) years after the fiscal operations report is filed. Records of Federal Pell Grant recipients may be destroyed five (5) years after the initial award year has ended, as set forth in appropriate record retention schedules. SYSTEM MANAGER(S) AND ADDRESS: Director, Program Systems Support, Office of Student Financial Assistance Programs, U.S. Department of Education, 400 Maryland Avenue, SW., Room 4640, ROB-3, Washington, DC 20202-5258. See the Appendix at the end of this system notice for additional system managers. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, date of birth and Social Security number. Requests must meet the requirements of the regulations at 34 CFR 5b.5.

RECORD ACCESS PROCEDURES: If you wish to gain access to a record in this system, contact the system manager and provide information as described in the notification procedure. Requests by an individual for access to a record must meet the requirements of the regulations at 34 CFR 5b.5. CONTESTING RECORD PROCEDURES: If you wish to change the content of a record in the system of records, contact the system manager with the information described in the notification procedure, identify the specific items to be changed, and provide a written justification for the change. Requests to amend a record must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information is obtained from reports from borrowers and their families, lenders, schools, examining or treating physicians, employers, credit agencies, Federal and State governmental agencies, and State or private nonprofit guaranty agencies. However, lenders and guaranty agencies are not a source of information for participants in the Federal Direct Student Loan Program, since the Department maintains individual records of borrowers for this program. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-11-07 Additional System Managers and System Locations Raytheon/E-Systems, 6201 I-30, Greenville, TX 75402. Assistant Regional Administrator, U.S. Department of Education, Region IV, Division of Claims and Collections, Office of Student Financial Assistance, 61 Forsyth Street, SW., Rm. 19T89, Atlanta, GA 30303. Assistant Regional Administrator, U.S. Department of Education, Region V, Division of Claims and Collections, Office of Student Financial Assistance, 111 North Canal Street, Suite 1009, Chicago, Illinois 60605. Assistant Regional Administrator, U.S. Department of Education, Region IX, Division of Claims and Collections, Office of Student Financial Assistance, 50 United Nations Plaza, Room 250, San Francisco, California 94102.

18-11-08 Student Account Manager System
(64 FR 30169-30171)

18-11-08 June 4, 1999 SYSTEM NAME: Student Account Manager System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Program Systems Service, Office of Student Financial Assistance Programs, U.S. Department of Education, Seventh and D Streets, SW., Room 4640, ROB-3, Washington, DC 20202. National Computer Systems, 2510 North Dodge Street, Iowa City, Iowa 52240. Total Systems Services, Inc, 6101 Stone Mill Drive, Columbus, GA; Golden Retriever System, 8 N. Roosevelt Avenue, Chandler, AZ 85221. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The Student Account Manager System contains student financial assistance records about students and/or borrowers both who have applied for loans under any Title IV Federal loan program and students who have applied for grants under any Title IV Federal grant program. CATEGORIES OF RECORDS IN THE SYSTEM: The Student Account Manager System contains records relating to a student and/or borrower's originated awards and disbursements of Title IV financial assistance and a personal identification number assigned by the Department. The system contains three data element types as outlined below: demographic information, such as student and/or borrower name, mailing and permanent address, e-mail address, current and original Social Security number, phone number, date of birth, student account number; loan and grant funding and award information, including the Title IV code for the school(s) for which students and/or borrowers have requested determinations of Federal financial assistance eligibility, the origination date and I.D., the funding source I.D., loan holder, credit limit or award amount; loan and grant transaction information, including the transaction date, posting date, disbursement amount, acceptance/rejection field, batch number. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Higher Education Act of 1965, Title IV-A through IV-H, as amended, (20 U.S.C. 1092b). PURPOSE(S): This system of records is provided for the purposes of: (1) Giving students a single point of contact for information, statements, and customer service concerning their Federal student financial assistance (loans and grants) from various programs and sources; (2) Providing eligible institutions of higher education with a standardized method for the receipt of Title IV student financial assistance; and (3) Creating summary reports for Federal loan and grant funding sources and program offices for loans and grants delivered through the Student Account Manager. 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) Program purposes. Records may be disclosed for the following program purposes:

(a) To report disbursement activity, disclosures may be made to appropriate guaranty agencies, educational and financial institutions, and Federal agencies. (b) To deliver Federal student assistance funds to the educational institution at which the student is enrolled, disclosures may be made to that educational institution. (2) 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. (3) Enforcement disclosures. 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, or executive order, rule, regulation, or order issued pursuant thereto. (4) Litigation disclosure 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 or 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; or (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) 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. (6) Employee Grievance, Complaint, or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: Complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (7) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (8) 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. (9) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (10) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (11) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (12) Congressional member disclosure. The Department may disclose information 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. (13) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records at the National Computer Systems (NCS) are maintained on the mainframe at the NCS data center in Iowa City, IA and archived onto magnetic tape. Total System records are maintained on a mainframe database in Columbus, GA and backed up onto magnetic tapes. Golden Retriever System records are maintained on a sequel server database in Chandler, AZ and backed up onto CD-ROM. RETRIEVABILITY: Each student and/or borrower's file is indexed by social security number and the first two characters of their last name. SAFEGUARDS: All users of this system are given a unique user ID with a personal identifier. Student and parent users are assigned an Electronic Access Code (EAC) through the Federal Student Aid Application Files Privacy Act system of records number 18-11-01 by which they can access their accounts. All physical access to the Department's site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to the Department, agents of the Department (including schools and funding sources), and contract staff on a "need-toknow" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with passwords. RETENTION AND DISPOSAL: Federal Loan Records: The Department will retain and dispose of loan records in accordance with the Department's Records Disposition Schedules (ED/RDS), Part 10, Item 16. Individual records (applications, certifications, disbursements, correspondence, and related records) for Federal loans may be destroyed three years after cancellation, forgiveness or final repayment of the Loan (ED/RDS, Part 10, Item 16). Electronic Federal loan records will be kept online and easily available for 24 months after reconciliation with the funding source, then retained in accordance with ED/RDS, Part 10, Item 16. Federal Pell Grant Records: The Department will retain and dispose of Pell Grant records in accordance with ED/RDS, Part 10, Item 17. Records of Federal Pell Grant recipients (applications, payment, correspondence, and related records) will be transferred to a Federal Records Center after final payment to grantee. Individual Pell Grant records may be destroyed 15 years after final payment to grantee (ED/RDS, Part 10, Item 17). Individual records for unapproved Federal Pell Grant applications will be transferred to a Federal Records Center 120 days after a rejection or withdrawal, and may be destroyed three years after date of rejection or withdrawal (ED/RDS, Part 10, Item 17(d)). Electronic Federal Pell Grant records will be kept online and easily available for 24 months after reconciliation with the funding source, then retained in accordance with ED/RDS, Part 10, Item 17. SYSTEM MANAGER(S) AND ADDRESS: Service Director, Program Systems Service, Office of Student Financial Assistance Programs, U.S. Department of Education, 400 Maryland Avenue, SW., ROB-3, Room 4640, Washington, DC 20202. NOTIFICATION PROCEDURE: If an individual wishes to determine whether a record exists regarding him or her in this system of records, the individual may gain access to the system via the Internet or by contacting the system administrator through the Student Account Manager's customer service e-mail

address or toll-free telephone number. (To obtain access to records by telephone, the student must first authorize telephone access through the Student Account Manager's website using his or her Electronic Access Code.) The student must provide the system manager with his or her name, date of birth, Social Security number, and Electronic Access Code (EAC). Requests for notification about an individual must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. Individuals may also present their requests in person at any of the locations identified for this system of records or address their requests to the system manager at the following address: Program Systems Service, Office of Student Financial Assistance Programs, U.S. Department of Education, 400 Maryland Avenue, SW., ROB-3, Room 4640, Washington, DC 20202. RECORD ACCESS PROCEDURES: If an individual wishes to gain access to a record in this system, he or she may do so via the Internet, by calling the toll free customer service phone number using a touch-tone telephone, or by contacting the system manager through the Student Account Manager's customer service e-mail address or toll-free telephone number. (To obtain access to records by telephone, the student must first authorize telephone access through the Student Account Manager's website using his or her Electronic Access Code.) CONTESTING RECORD PROCEDURES: If an individual wishes to change the contents of a record in the system of records, he or she may challenge a transaction by contacting the system manager by telephone or sending written notice to the Student Account Manager's customer assistance area and providing the information described in the notification procedure, identifying the specific item(s) to be changed, and providing a written justification for the change, including any supporting documentation. RECORD SOURCE CATEGORIES: Information is obtained from schools, lenders, guaranty agencies, students, borrowers, the Title IV Program Files (Privacy Act system of records number 18-11-05), the Federal Student Aid Application Files Privacy Act system of records number 18-11-001), the Direct Loan Origination Center, and the Recipient Funds Management System (RFMS). SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-09 Postsecondary Education Participants System (PEPS)
(64 FR 30171-30173)

18-11-09 June 4, 1999 SYSTEM NAME: Postsecondary Education Participants System (PEPS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Computer Sciences Corporation, 71 Deerfield Lane, Meriden, CT 06450. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The PEPS contains records about owners (individuals, either solely or as partners, and corporate entities), officials, and authorized agents of postsecondary institutions; members of boards of directors or trustees of such institutions; employees of foreign entities that evaluate the quality of education; third-party servicers, including contact persons. CATEGORIES OF RECORDS IN THE SYSTEM: The PEPS contains information regarding the eligibility, administrative capability, and financial responsibility of postsecondary schools that participate in the student financial aid programs, including the names, taxpayer identification numbers (Social Security numbers), business addresses, phone numbers of the individuals with substantial ownership interests in, or control over, those institutions, and personal identification numbers assigned by the Department. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Higher Education Act of 1965, Title IV, as amended, (20 U.S.C. 1088, 1094, 1099c); the Debt Collection Improvement Act of 1996 (31 U.S.C. 7701). PURPOSE(S): The information contained in the PEPS is used for the purposes of determining initial and continuing eligibility, administrative capability and financial responsibility of postsecondary schools that participate in the student financial assistance programs, tracking school changes and maintaining history of this information regarding schools that have ever applied to participate or participated in these programs and documenting any need for any protective or corrective action against a school or individual associated with the school. 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) Program Purposes. The Department may disclose information contained in the PEPS to appropriate guaranty agencies, educational and financial institutions, accrediting agencies, State agencies, and appropriate Federal, State, or local agencies, in order to verify and assist with the determination of eligibility, administrative capability, and financial responsibility of postsecondary institutions that have applied to participate in the student financial assistance programs. (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 in the PEPS, as a routine use, to the appropriate agency, whether foreign, Federal, State, Tribal, or local, charged with the responsibility of investigating

or prosecuting such violation or charged with enforcing or implementing the statute, or executive order or rule, regulation, or order issued pursuant thereto. (3) Litigation and Alternative Dispute Resolution (ADR) Disclosure. (a) Introduction. In the event that one of the parties listed below is involved in litigation or alternative dispute resolution (ADR), or has an interest in litigation or ADR, the Department may disclose PEPS 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 employee of the Department in his or her individual capacity where the Department of Justice has agreed to provide or arrange for representation for the employee; or (iv) Any employee of the Department 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 Department of Justice. If the Department determines that disclosure of certain records to the Department of Justice is relevant and necessary to litigation, the Department may disclose those records as a routine use to the Department of Justice. (c) Administrative Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, or to 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 that adjudicative body, entity or individual. (d) Opposing counsels, representatives and witnesses. If the Department determines that disclosure of certain records to an opposing 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 counsel, representative or witness. (4) Employment, Benefit and Contracting Disclosure. (a) For decisions by the Department. The Department may disclose records 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 records 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 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in PEPS to another agency of the Federal government if the record is relevant to a complaint, grievance, discipline or competence determination proceeding regarding a present or former employee of the Department. The disclosure may only be made during the course of the proceeding. (6) Labor Organization Disclosure. The Department may disclose records to a labor organization if a contract between the Department and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (7) 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. (8) Disclosure to the Department of Justice. The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (9) Contract Disclosure. If the Department contracts with an entity for the purpose of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act SAFEGUARDS with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (a) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (b) the amount, status, and history of the claim; and (c) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained on electronic data files on a server. RETRIEVABILITY: The records are indexed by the name of the institution or organization, and may be retrieved by the OPEID of school, EIN (Entity Identification Number) of the school or entity; or the name or TIN (Tax Identification Number or social security number) of the individual. SAFEGUARDS: All physical access to the Department of Education site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department of Education offers a high degree of resistance to tampering and circumvention. This security system limits data access to staff of the Department of Education, guarantors,. accrediting agencies, State agencies, and Department contractors on a "need-to-know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a

unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: History records are kept in PEPS indefinitely, or archived. Records are maintained and destroyed in accordance with the Department of Education Records Disposition Schedules (ED/RDS). SYSTEM MANAGER(S) AND ADDRESS: Director, Postsecondary Education Participants System, Office of Student Financial Assistance Programs, U.S. Department of Education, Seventh and D Streets, SW., Room 4629, ROB-3, Washington, DC 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the PEPS, provide the system manager with your name and social security number. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. You may address your request, or present that request in person, to the system manager at the address above. RECORD ACCESS PROCEDURES: You may gain access to any record in the PEPS that pertain to you by contacting the system manager and following the procedures for notification listed above and must meet the requirements of 34 CFR 5b.5. CONTESTING RECORD PROCEDURES: You may contest the content of a record in PEPS pertaining to you by presenting to the system manager, either in writing or in person, a request to amend or correct that information. The request to amend, or for an appointment to present an oral request, must be made in writing mailed to the system manager at the address provided above. The request must identify the particular record within the PEPS that you wish to have changed, state whether you wish to have the record amended, corrected or deleted, and explain the reasons why you wish to have the record changed. RECORD SOURCE CATEGORIES: Information is obtained from applications submitted by institutions and entities that seek to participate in the student financial assistance programs and from components of the Department, from other Federal, State and non-governmental agencies and organizations that acquire information relevant to the purposes of the PEPS. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-10 Title IV Wide Area Network (Title IV WAN)
18-11-10 SYSTEM NAME: Student Aid Internet Gateway (SAIG), Participant Management System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Pearson Government Solutions, 2450 Oakdale Boulavard, Coralville, Iowa 52241. Virtual Data Center (VDC), c/o Computer Science Corporation, 71 Deerfield Lane, Meriden, CT 06450-7151. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on those individuals who elect to participate in the electronic exchange of data with the Department of Education via the SAIG, or enroll in the Financial Aid Administration system for access to either the Central Processing System (CPS) Online or eCampus Online. Those eligible to participate include: financial aid administrators, authorized employees or representatives of postsecondary institutions, authorized employees or representatives of third-party servicers, authorized employees or representatives of lenders, authorized employees or representatives of guaranty agencies, and authorized employees or representatives of state scholarship programs. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of demographic contact information that individuals affiliated with an authorized entity provide to request electronic access to Title IV Student Aid Systems. Demographic information includes the individual's name, address, and authentication information (mother's maiden name, Social Security Number, and date of birth). AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 1082, 1085, 1094, 1099C, Executive Order 9937. PURPOSE(S): The SAIG, Participant Management System performs the following: processes stored data from the SAIG Enrollment Forms (Web and paper versions); maintains the SAIG Enrollment Web site (named FSAWebEnrollment.ed.gov); manages the assignment of individual ID numbers (TG Numbers); and authenticate user's of the CPS Online and e-Campus Online systems. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The 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 Privacy Act, under a computer matching agreement. (1) Program disclosures. The Department may disclose records for the following program purposes:
(70 FR 72397-72399) December 27, 1999

(a) Federal Direct Loan Program--For participation in the Direct Loan Program including the submission of origination records and the reporting of disbursement records that require the transmission of data over the SAIG. (b) Central Processing System (CPS)--Student application data including corrections can be entered and obtained over the SAIG. (c) Federal Pell Grant--Program origination and disbursement records must be reported electronically via the SAIG. (d) Fiscal Operations Report and Application to Participate in the Federal Campus-Based Programs (FISAP)--Participating institutions are required to submit their annual Fiscal Operations and Application to Participate to the Department via the SAIG. (e) National Student Loan Data Service (NSLDS)--Institutions must be provided access to NSLDS to perform online Enrollment Reporting (formerly Student Status Confirmation Reporting (SSCR)) for updating student enrollment data, and overpayment updates. Additionally, institutions will be able to receive their cohort default rate (CDR) notification (which includes eligibility letters and loan record detail reports) via the SAIG. (f) Lender Reporting System (LaRS)--Lender institutions or their servicers have the option to send financial reporting information to Federal Student Aid's Financial Management System via SAIG. (2) Freedom of Information Act (FOIA) advice disclosure. The Department may disclose records to the Department of Justice (DOJ) and the Office of Management and Budget if the Department seeks advice regarding whether records maintained in the system of records are required to be released under the FOIA and the Privacy Act of 1974. (3) Disclosure to the DOJ. The Department May disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (4) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (5) 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 or 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 Department of Justice (DOJ). If the Department determines that disclosure of certain records to the DOJ, or attorneys engaged by DOJ, is relevant and necessary to litigation or ADR, and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the DOJ. (c) Adjudicative 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 litigation or ADR, 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. (6) Research disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (7) 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. (8) Disclosure for use by law enforcement agencies. The Department may disclose information to any Federal, State, local or other agencies 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 prosecutorial responsibility within the entity's jurisdiction. (9) 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. (10) Employment, benefit, and contracting disclosure. (a) 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 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) 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. (11) Employee grievance, complaint or conduct disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: Complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (12) Labor organization disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation. DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosure pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim, which is determined to be valid and overdue as follows: (1) The name, address, and other information necessary to establish the identity of the individual responsible for the claim; and (2) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer-reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are maintained on a computer database as well as in hard copy. All hard copy forms are loaded into an imaging system accessible through internal systems only. Paper is stored in file cabinets at the Pearson Government Solutions facility in Coralville, Iowa. RETRIEVABILITY: The records are retrieved by the names of the individual user and/or unique system User ID. SAFEGUARDS: All users of this system will have a unique user ID with a personal identifier. This system does not use persistent cookies (data that a Web server causes to be placed on a user's hard drive) to implement personalization. It is the policy of the Department to prohibit the use of persistent cookies on Department Web sites except when: there is a compelling need; there are appropriate safeguards in place; the use is personally approved by the Secretary of Education; and there is clear and conspicuous notice to the public. All physical access to the Department site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a ``need-to-know'' basis, and controls individual users'' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: SAIG, Participation Management enrollment forms will be retained by the manager of the SAIG Participation Management System (Pearson Government Solutions) for 6 years after the expiration of the contract. SYSTEM MANAGER(S) AND ADDRESS: Sue O'Flaherty, Deputy Director, Application Processing, U.S. Department of Education, Students Channel, Federal Student Aid, Union Center Plaza, 830 First Street NE., Room 32E2, 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'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 Department's Privacy Act 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 Department's Privacy Act regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system is obtained from the following entities: financial aid administrators, postsecondary institutions, third-party servicers, lenders, guaranty agencies, and state scholarship programs. SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE PRIVACY ACT: None.

18-11-11 Office of the Student Loan Ombudsman Records
(64 FR 72399-72400)

18-11-11 December 27, 1999 SYSTEM NAME: Office of the Student Loan Ombudsman Records. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Office of the Student Loan Ombudsman, Student Financial Assistance, 400 Maryland Avenue, SW., ROB-3, Room 3717, Washington, DC 20202. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on individuals who are, were, or may be participants in any of the Title IV Student Financial Assistance Programs and who request assistance from the Ombudsman. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of a variety of records that identify the individuals' complaints, requests for assistance, or other inquiries. Records include, but are not limited to: Written documentation of the individual's complaint; request for assistance or other inquiry; and information pertaining to the student's or parent's Title IV student financial assistance program account(s), such as the person's name, Social Security number, date of birth, address, telephone number(s), and personal identification number. Additionally, records will include the name, address, and phone numbers of school(s), lender(s), secondary holder(s) or lender(s), guaranty agency(ies), and servicer(s). AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 1018(f) (1998). PURPOSE(S): The information contained in this system will be used for a number of purposes related to the duties and responsibilities of the SFA Ombudsman, including: Verifying the identities of individuals; recording complaints and problems; tracking individual cases through final resolution; reporting complaint trends; analyzing the data to recommend improvements in student financial assistance programs; and assisting in the informal resolution of disputes. 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 Privacy Act, under a computer matching agreement. (1) Program Disclosure. The Department may disclose records to schools, lenders, guaranty agencies, and servicers when it is necessary to obtain further information about the complaint, request for assistance, or other inquiry before it can be resolved. (2) Disclosure for Use by Other Law Enforcement Agencies Concerning Possible Violations of the Criminal Laws or Actions Initiated for Civil Fraud. 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 the criminal laws or actions initiated for civil fraud, if that information is relevant to any enforcement, regulatory, investigative, or prosecutive responsibility within the receiving entity's jurisdiction. (3) Enforcement Disclosure Concerning Violations of the Criminal Laws or Actions Initiated for Civil Fraud. 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 the criminal

laws or actions initiated for civil fraud, 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. (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 concerning the actions of the Ombudsman's office or its employees, or has an interest in such litigation or 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, 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 or 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) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (6) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (7) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (8) 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: These records will be maintained either in hard copy or in an electronic database. RETRIEVABILITY: Records are indexed by Social Security number, name, date of birth and case tracking number. SAFEGUARDS: Access to and use of these records shall be limited to those persons whose official duties require access. This includes staff members of the Office of the Student Loan Ombudsman, other Department offices and agents of the Department. All physical access to the sites where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system offers a high degree of resistance to tampering and circumvention. This security system limits data access to staff on a "need to know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given unique user IDs with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: The records on all student loans are retained for a period of five years after the loan has been repaid, cancelled or otherwise forgiven or the account closed. Records pertaining to grants awarded by the Department are destroyed five years after the initial disbursement. Records are maintained for the period of time needed to resolve cases, conduct analyses and prepare reports. SYSTEM MANAGER(S) AND ADDRESS: Ombudsman, Office of Student Financial Assistance, U.S. Department of Education, 400 Maryland Avenue, SW., ROB-3, Room 3717, 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'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 Department's Privacy Act 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 Department's Privacy Act regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information is obtained from the individuals (e.g. borrowers) schools, lenders, and guaranty agencies. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-12 The Department of Education (ED) PIN (Personal Identification Number)
(64 FR 72400-72402)

18-11-12 December 27, 1999 SYSTEM NAME: The Department of Education (ED) PIN (Personal Identification Number) Registration System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: National Computer Systems (NCS), 2510 North Dodge Street, Iowa City, IA 52240. Virtual Data Center, Meriden Data Center, 71 Deerfield Lane Meriden, CT 06450 (after Spring 2000). CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The ED PIN Registration System contains records about former, current and prospective students, and parents who apply for an ED PIN number. The ED PIN number is used for identification purposes when PIN holders access other Department of Education systems. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains identification information such as name, Social Security Number (SSN), date of birth and address. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Higher Education Act of 1965, as amended, 20 U.S.C. 1092b. PURPOSE(S): This information contained in this system will be used to generate and confirm PIN numbers for those individuals wishing to access various student financial assistance systems (including FAFSA, Access America and the Direct Loan Program) to obtain information about their personal records. The ED PIN number that is generated and stored by this system can be used by individuals to electronically sign various student aid applications including the FAFSA and the Renewal FAFSA, and to initiate loan deferments or forbearance. The Department has plans to expand the use of the PIN to allow access to student financial aid systems outside of the Department. 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. (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) 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 or 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, 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (7) 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.

(8) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. (13) Identification Verification Disclosure. In order to verify the identity of the applicant involved, the accuracy of the record, or to assist with the determination of program eligibility and benefits or potential eligibility or benefits, the Department may disclose records from this system to the applicant, guaranty agencies, educational institutions, financial institutions and servicers, and to Federal and State agencies. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Records are stored electronically on magnetic tape. RETRIEVABILITY: The file is indexed by social security number or name. SAFEGUARDS: All physical access to the Department site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a "need to know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded.

RETENTION AND DISPOSAL: Records will be retained 3 years after payment of loan, or after audit resolution. SYSTEM MANAGER(S) AND ADDRESS: PIN Web Site Development Manager, Program System Services, Office of Student Financial Assistance, 400 Maryland Avenue, SW, ROB-3, room 4640, Washington, DC 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, date of birth, social security number. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. You may present your request in person at any of the locations identified for this system of records or address your request to the system manager at the address above. RECORD ACCESS PROCEDURES: If you wish to gain access to a record regarding you in the system of records, you can visit the ED PIN Web site, call the FAFSA on the Web phone number listed on the Web site, or contact the system manager at the address given above. Your request must meet the requirements of the Department's Privacy Act 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, you can contact the Customer Service Department at the telephone number listed on the ED PIN web site. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7. If your SSN does not match as a result of an incorrect SSN, you will need to contact the local office of the Social Security Administration (SSA) for a SSN correction. RECORD SOURCE CATEGORIES: The identifying information (SSN, DOB and name) is currently collected from the ED PIN Registration Web site, from the FAFSA, and the Direct Loan borrower database. In the future, the Department may provide alternate means for collecting the identifying information. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-13 Student Authentication Network Audit File
(66 FR 29420-29422 [erroneously entered in Federal Register as 18-11-10], corrected by 66 FR 45669-45669)

18-11-13 May 24, 2001 / August 29, 2001 SYSTEM NAME: Student Authentication Network Audit File. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: The Student Authentication Network Audit File is located at NCS Pearson, 2510 North Dodge Street, Iowa City, Iowa 52245. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records (i.e., an audit file) on individuals who have had, or attempted to have, their identity verified for the purpose of electronically completing and signing promissory notes and other documents in connection with applying for or obtaining aid, or carrying out other activities under the Student Financial Assistance Programs authorized by Title IV of the Higher Education Act of 1965, as amended. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains records including an individual's Social Security Number; date of birth; first and last names; user code (i.e., the Department, lenders, schools, guarantee agencies and holders of Federal student loans) identifying the entity seeking to verify the individual's identity; data provided by the user that may subsequently be used for auditing or other internal purposes of the user); an action code documenting the "affirmed" or "denied" verification response the system receives from the Department's Personal Identification Number (PIN) database; a unique identifier comprising a system-generated sequence number; and, the date and time the individual's identity is authenticated against the Department's PIN database. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Higher Education Act of 1965, as amended, (20 U.S.C. 1092b). PURPOSE(S): The information contained in the records maintained in this system is used for the purposes of verifying the identity of the individual, enforcing the conditions and terms of the loan, permitting the servicing and collecting of the loan, investigating possible fraud and verifying compliance with program regulations, initiating legal action against an individual involved in program fraud, abuse, or noncompliance, and enforcing Title IV requirements against schools, lenders, and guaranty agencies. 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) Program Disclosures. The Department may disclose information from this system to Federal, State, or local agencies, private parties such as relatives, present and former employers and creditors, business and personal associates, guaranty agencies, educational and financial agencies or institutions, contractors and hearing officials for the following purposes: (a) To verify the identity of the individual; (b) To enforce the conditions or terms of the loan; (c) To permit servicing, collecting, or accepting the loan; (d) To investigate possible fraud and verify compliance with program regulations;

(e) To prepare for litigation or to litigate collection service and audit; (f) To initiate a limitation, suspension, and termination (LS&T) or debarment or suspension action; (g) To ensure Title IV requirements are met by schools, lenders, and guaranty agencies; and (h) To investigate complaints, update files, and correct errors. (2) 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. (3) 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. (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) 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. (6) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: Complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (7) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (8) 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. (9) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (10) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (11) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (12) 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: The records are maintained on magnetic tape or other electronic media. RETRIEVABILITY: Records are retrievable by Social Security Number and all or part of an individual's last name. SAFEGUARDS: Physical access to the data systems housed within the facility is controlled by a computerized badge reading system, and the entire complex is patrolled by security personnel during non-business hours. The computer systems offer a high degree of resistance to

tampering and circumvention. Multiple levels of security are maintained within the computer system control program. This security system limits data access to Department and contract staff on a "need-to-know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user identification (ID) with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: The Department will retain and dispose of these records in accordance with National Archives and Records Administration General Records Schedule 20, Item 1.c. This schedule provides disposal authorization for electronic files and hard-copy printouts created to monitor system usage, including, but not limited to log-in files, audit trail files, system usage files, and cost-back files used to assess charges for system use. Records will be deleted or destroyed when the Department determines they are no longer needed for administrative, legal, audit, or other program purposes. SYSTEM MANAGER(S) AND ADDRESS: General Manager, Students Channel, Student Financial Assistance, Department of Education, 7th and D Streets, SW., Washington, DC, 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, date of birth and Social Security Number. Requests must meet the requirements of the regulations at 34 CFR 5b.5. RECORD ACCESS PROCEDURES: If you wish to gain access to a record in this system, contact the system manager and provide information as described in the notification procedure. Requests by an individual for access to a record must meet the requirements of the regulations at 34 CFR 5b.5. CONTESTING RECORD PROCEDURES: If you wish to contest a record in the system of records, contact the system manager with the information described in the notification procedure, identify the specific items you are contesting, and provide a written justification for each item. Requests to amend a record must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information is obtained from individuals who have had or seek to have their identity authenticated, except that user codes and user-provided data are obtained specifically from the entity (the Department, lenders, schools, guarantee agencies and holders of Federal student loans) that seeks to verify the individual's identity. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-14 FSA Students Portal
18-11-14
(68 FR 23113-23117) April 30, 2003

SYSTEM NAME: FSA Students Portal. SECURITY CLASSIFICATION: None. SYSTEM LOCATION(S): (1) Virtual Data Center (VDC) (operated by CSC, Inc.), Meriden Data Center, 71 Deerfield Lane, Meriden, CT 06450. (2) Students Portal Database (operated by XAP Corp.) 3534 Hayden Ave., Culver City, CA 90232. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Any user with Internet accessibility that is interested in exploring financial aid information and chooses to personalize the “Students Portal'' an Internet Portal web site (hereafter ``the Web site''). The personalization functionality is referred to as ``My FSA'' (http://www.studentaid.ed.gov). CATEGORIES OF RECORDS IN THE SYSTEM: Records will include the information listed below. It is optional for the user to enter this information. This list is not all-inclusive, but it is a sample of the types of information that may be entered by the user. (See Appendix at the end of the Notice for a listing of the types of records collected). Some of the information requested in the Web site includes such information as: User's name; User's address(es); User's e-mail; User's personal information, such as social security number, date of birth, marital status, and telephone number; User's high school information such as current grade level, courses taken, grades, and activities; User's educational information, such as educational level, degree, etc.; User's interests such as job interests, values, and college preferences; Scores from User's standardized tests such as SAT or ACT; Parent's information such as address and veteran status; Spouse's information such as name and address; User's employment/work history; and User's bookmarks (URL's) Students will have the option of choosing the data to enter into the text fields. The Web site also includes a short survey where information about user experiences and opinions of the FSA Students Portal is stored for future Web site enhancement. While the surveys are not intended to be able to identify a particular user, some users may choose to include personally identifiable information in some text fields. (For instance if they have a question that requires a response.) AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Title IV of the Higher Education Act of 1965, as amended, 40 U.S.C. 1425 (b), and 44 U.S.C. Chapter 35. PURPOSE(S): The primary reason for storing the records of users of the Web site is to provide them with better service. The information stored by the Web site will be used for the following reasons: To allow the Web site to provide information relevant and targeted to the user (information about schools, loans, organizations, etc.) To assist with filling out applications to colleges and universities (i.e., enter the information only once) To “prepopulate'' the electronic Free Application for Federal Student Aid (FAFSA) To store personal information so that it can be retrieved later without having to start over (such as schools, programs, majors, loan information of interest to a specific user) Some fields are used to help indicate which of the records are active (such as last modified date)

Some fields are used for security reasons (e.g. User ID, password, and password expiration). 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) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the Department of Justice (DOJ) and the Office of Management and Budget if the Department seeks advice regarding whether records maintained in the system of records are required to be released under the FOIA and the Privacy Act of 1974. (2) Disclosure to the DOJ. The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (3) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (4) Litigation and Alternative Dispute Resolution (ADR) Disclosures. (a) Introduction. In the event that one of the following parties is involved in litigation or ADR, or has an interest in litigation or 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, or any of its components; or (ii) Any Department employee in his or her official capacity; or (iii) Any Department employee in his or her official capacity where the Department of Justice (DOJ) is requested to provide or arrange for representation of the employee; (iv) Any Department employee in his or her individual capacity where the Department 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 Department of Justice (DOJ). If the Department determines that disclosure of certain records to the DOJ, or attorneys engaged by DOJ, is relevant and necessary to litigation or ADR, and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the DOJ. (c) Adjudicative 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 litigation or ADR, 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 is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness. (5) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records

to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (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. (7) Disclosure for Use By Law Enforcement Agencies. The Department may disclose information to any Federal, State, local or other agencies 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 prosecutorial responsibility within the entity's jurisdiction. (8) 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. (9) 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 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. (10) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (11) Labor Organization Disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation. (12) Disclosure to Providers of Web-based Postsecondary Education Admissions Applications. The Department may disclose records in this system of records to providers of Web-based postsecondary educational institution admissions applications so that users of the Web site may ``pre-populate'' their college or university admissions applications with their own registration information that was previously saved on the Web site. (See Appendix at the end of the Notice where registration information is identified as ``Data Collected in Students Portal Modules''). DISCLOSURES TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISCLOSING OF RECORDS IN THE SYSTEM: STORAGE: A majority of the Student data will be stored in a database (SQL Server 2000) maintained at XAP Corp. The student data is also stored in an Oracle database at the Virtual Data Center (VDC). Each location includes safeguards, including physical security of the server room, firewalls, etc. RETRIEVABILITY: Each record in this system is indexed and retrieved by a user name and password that is created by the user of the http://www.studentaid.ed.gov Web site. SAFEGUARDS: All users of this system will have a unique user ID with a personal identifier. This system does not use persistent cookies (data that a web server causes to be placed on a user's hard drive) to implement personalization. It is the policy of the Department to prohibit the use of persistent cookies on U.S. Department of Education web sites except where: there is a compelling need; there are appropriate safeguards in place; the use is personally approved by the Secretary of Education; and there is clear and conspicuous notice to the public. All physical access to the U.S. Department of Education web site and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the U.S. Department of Education offers a high degree of resistance to tampering and circumvention. This security system limits data access to the Department, and contract staff on a ``need to know'' basis, and controls individual users' ability to access and alter records within the system. RETENTION AND DISPOSAL: FSA Students Portal customers can remove any information about their web preferences (i.e., the subjects, levels of education, types of resources, and audience-targeted materials in which they are interested), as well as any bookmarks or saved searches they have stored on the Department's web pages. U.S. Department of Education customers, however, cannot delete their names, zip codes, or e-mail addresses from the system (although they can replace it with other information). The system, however, automatically will purge any unused accounts after a certain period of disuse. National Archives and Records Administration General Records Schedule 20, Item 1.c provides disposal authorization for electronic files and hard-copy printouts created to monitor system usage, including, but not limited to, log-in files, password files, audit trail files, system usage files, and cost-back files used to assess charges for system use. Records will be deleted or destroyed when the agency determines they are no longer needed for administrative, legal, audit, or other operational purposes. SYSTEM MANAGERS AND ADDRESS: General Manager, Students Channel, Federal Student Aid, U.S. Department of Education, 830 First Street, NE., Washington, DC 20202. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, you may gain access to the system by entering your user name and password to the http://www.studentaid.ed.gov Web site. Individuals may also present their requests in writing or in person by contacting the system administrator through the fsa.portals@ed.gov e-mail address or at the above address. If you wish to determine whether a record exists about you in the

system of records, provide the system manager with your name, date of birth and social security number. Your request for notification must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: Users will be granted access to their own record via the http://www.studentaid.ed.gov Web site when they are able to provide their User ID and password. Otherwise, users wishing to gain access to records in this system of records must contact the system manager at fsa.portals@ed.gov e-mail address or at the above address and follow the steps outlined in the Notification procedure. Request to access a record must also reasonably specify the record contents sought and otherwise meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to change the content of a record in this system of records, you may gain access to the system and alter the record via the http://www.studentaid.ed.gov Web site and using the system edits and update function. Otherwise, you must contact the system manager at fsaportals@ed.gov e-mail address or at the above address and follow the steps outlined in the Notification procedure. Requests to amend a record must also reasonably identify the record, specify the information being contested, and otherwise meet the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system is obtained from customers who use the http://www.studentaid.ed.gov Web site and complete the optional web site personalization referred to as ``My FSA''. The ``My FSA'' personalization form provides the information contained within the system. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix--FSA Students Portal Fields Attribute (Description) Profile User Name First Name Last Name E-mail address Password Password Hint Fax Number Prefix Suffix Social Security Number Affiliation Telephone Number Date Created Date Modified Date Password Expires Date of Birth Education Level State Residence State School School Name Major

Country Modified By Password Hint Question Password Hint Answer Edpack (Edpack stores favorites for the user) Applications List (List of College Applications in process/submitted) College List (Store a list of Colleges the user is interested in from College Search/Wizard) Career List (Store List of interesting Careers from the Self Assessment Tool) Financial Aid List (Store Scholarships, Loans, and Cost of attendance Info for schools in the Edpack) Calendar Events (See Calendar Events Section Below) User Profile (Access User data from Applications) Bookmarks list (Stores a list of links/bookmarks for the user (some generated by the system, others entered by the user))Self Assessment JobInterest (Stores a list of jobs the user finds interesting, the list is dynamic (database driven) These describe how it applies to me MeTools (like to work with animals, tools, or machines) MeMath (study math or science) MeCreate (creative activities) MeHelpOthers (Helping others) MeLeadership (Lead and persuade) MeOrdered (work in an orderly way) These describe how I compare to others my age CompTools (like to work with animals, tools, or machines) CompMath (study math or science) CompCreate (creative activities) CompHelp (Helping others) CompLeadership (Lead and persuade) CompOrdered (work in an orderly way) To what extent do I value ValueTools (like to work with animals, tools, or machines) ValueScience (study math or science) ValueCreate (creative activities) ValueHelp (Helping others) ValueLeadership (Success in politics, leadership, or business) ValueSuccess (success in business) How do I see myself AmPractical (like to work with animals, tools, or machines) AmPrecise (study math or science) AmArtistic (creative activities) AmHelpful (Helping others) AmAmbitious (Lead and persuade) AmOrderly (work in an orderly way) These are true of me TruePractical (like to work with animals, tools, or machines) TruePrecise (study math or science) TrueArtistic (creative activities) TrueHelpful (Helping others) TrueAmbitious (Lead and persuade)

TrueOrderly (work in an orderly way) Career Finder Interest Areas Realistic Investigative Artistic Social Enterprising Conventional Industry (Pick an Industry of interest from a list) General Work Activities (Pick from a list) Abilities Knowledge-Based Physical Dexterity Physical Strength Sensory Abilities Work Environment (Indoor/Outdoor) College Finder/College Matching Wizard CollegeType (2 year/4year/trade) CollegePublic (Public or Private) CollegePublicWeight (How important is this factor) CollegeState1 (Location) CollegeState2 CollegeState3 CollegeZip CollegeCityType (Small Town/Big City) CollegeCityTypeWeight (How important is this factor) CollegeSize CollegeSizeWeight (How important is this factor) ClassSizeFr (Class size freshman year) ClassSizeUpper (Class size for upper division courses) StudentFacultyRatio Major1 (Pick from a list) Major2 Major3 GPArange ACTscoreRange SATscoreRange InStateCost (Pick from a range of costs) OutStateCost HelpOffCampHousing OnCampusHousing OCHweight (How important is this factor) Sport1 (Sports that interest the user) Sport2 Sport3 FratSorority (Does the campus have Fraternities/Sororities) Fsweight (How important is this factor) StActivity (Choose from a list) Coed Religious Affiliation HBC (Historically Black college)

Scholarship Search A majority of the fields used here are already captured in the college application (Personal Info, Address Info, HS Info, College Info, Testing Info, Parents Info) Marital Status Heritage1 (Choose up to 4 from a list) Heritage2 Heritage3 Heritage4 Current Grade Level Enrollment Status Activities List (Pick from a number of activities grouped by category (Business/Corp., Club Affiliation, Disability, Hobbies, Military Affiliation, National Merit, Athletics, Union Affiliation, Misc., Career Objective, or Programs of Study)) Parent Veteran? (Is either parent a Veteran) Parent Disabled In Military? Parent Killed In Military? Household Income (Annual) Financial Aid Wizard For each School tracked in the user's EDpack Tuition RoomBoard Fees Books Other Expense Used in the EFC calculation StOfResidence Veteran? Schools Of Attendance Child Support? Other Dependants? Orphan? People In Household College Student In House Completed Tax Return? 1040EZ (Able to file 1040A or 1040EZ) AGI (Adjusted Gross Income) IncomeTax Exemptions YouWages SpouseWages WorksheetA WorksheetB WorksheetC Current Savings Net Worth Investments Net Worth Farms EFC (Expected Family Contribution) For each School tracked in Edpack Scholarship (Amount available in outside scholarships) PellGrant (Amount available from Pell Grant) St Scholarship Grant Institutional Grant Perkins

Direct Loan WorkStudy Events/Calendar Title Detail Category StartDate StartTime EndDate EndTime

18-11-15 Return of Title IV Funds on the Web (R2T4OTW)
(69 FR 44521-44524) July 26, 2004

18-11-15 SYSTEM NAME: Return of Title IV Funds on the Web. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Application Processing Division, Students Channel, Federal Student Aid, U.S. Department of Education, 830 First St. NE, Washington, DC 20202-5454. Virtual Data Center (VDC), Meriden Data Center, 71 Deerfield Lane, Meriden, Connecticut 06450. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The system includes records on individuals who were enrolled at a postsecondary institution, have received or are eligible to receive assistance under a Title IV, HEA program for a payment period or period of enrollment, and have withdrawn prior to the planned completion date of school during that period. CATEGORIES OF RECORDS IN THE SYSTEM: This system of records contains personally identifiable information provided by the school from which a student has withdrawn that may include, but is not limited to, a student’s name, permanent and local addresses, social security number, date of birth, driver’s license number and state, permanent and local phone numbers, and student identification (ID). This system also contains information provided by the institution from which the student has withdrawn that is necessary to compute the earned and unearned amounts of Title IV funds. This information may include, but is not limited to, the student’s: Federal school code, award year, grade level, program type (i.e. credit hour or clock hour), school calendar (that maintains the term start and end dates and institutionally scheduled breaks of five or more consecutive days), a description and amount of each institutional charge (a charge for tuition and fees, a charge for room, a charge for board, and charges for other educationally-related costs), and the total institutional charges for a program, program title, or program type, whether the R2T4 calculation is based upon a payment period or period of enrollment, the total clock hours or number of days in the payment period or period of enrollment, the withdrawal date, the net number of days in the payment period or period of enrollment, the date the institution determined the student withdrew (as reported by the institution), a description of the type of withdrawal, the number of days of an approved leave of absence, whether an outside entity requires the school to take attendance, the clock hours scheduled, the clock hours completed, the date the student provided the institution with written authorization to credit Title IV aid to the student’s account, the date the institution notified the student of the amounts and types of Title IV funds that must be returned, the date and response of the student, the types and amounts of Title IV aid disbursed and that could have been disbursed, the types and amounts of Title IV aid that must be returned to each program by the student and the institution, the types and amounts of aid that the student and the institution may retain, post-withdrawal disbursement information (i.e., the amount of outstanding charges, the dates notices were sent informing the student that a credit was applied and/or that a disbursement was available and the dates and responses of the student, the amount and the date the student accepted a post-withdrawal disbursement, and the date the post-withdrawal disbursement was completed), the date the R2T4 procedure was completed, the user defined field data provided by the institution such as grade point average, major in college, overpayment status, withdrawal reason, leave of absence reason, and contemporaneous notes regarding the student’s return process.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The information maintained in the R2T4OTW system is authorized under §484B of the HEA. Under §484B of the HEA (20 U.S.C. §1091b), if a recipient of Title IV grant or loan assistance withdraws from an institution during a payment period or period of enrollment in which the student began attendance, a participating institution must determine the amount of grant and loan assistance to be returned to the Title IV programs. PURPOSE(S): Information contained in this system is maintained for the purposes of: (1) allowing postsecondary institutions to calculate the treatment of Title IV funds when a student withdraws from a postsecondary institution, (2) allowing institutions to track students’ statuses and responses to institutional notifications, and (3) generating listings and reports, allowing institutions to establish compliance with the applicable statutory and regulatory requirements in the HEA for the treatment of Title IV funds when a student ceases his or her enrollment before the planned end date. (Note: The use of this software is not required.) ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND PURPOSES OF SUCH USERS: The 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) Program Disclosures. The Department may disclose records to the postsecondary institution that input the information into the R2T4OTW system, in order to simplify the current process, provide institutions and their agents with consolidated information about the Federal loans and grants they administer for students, and enable them to provide students with accurate required information when a student withdraws. (2) Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information to any Federal, State, or local agency responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law if that information is relevant to any authorized enforcement, investigative, or prosecutorial effort. (3) Enforcement Disclosure. If information in the system of records either alone or in connection with other information indicates a violation or potential violation of any applicable statutory, regulatory, or legally binding requirement, the Department may disclose records to an entity charged with investigating or prosecuting those violations or potential violations. (4) Litigation and Alternative Dispute Resolution (ADR) Disclosures. (a) Introduction. In the event that one of the following parties is involved in litigation or ADR, or has an interest in litigation or 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, or any of its components; or (ii) Any Department employee in his or her official capacity; or (iii) Any Department employee in his or her individual capacity where the Department of Justice (DOJ) agrees to or has been requested to provide or arrange for representation of the employee; or (iv) Any Department employee in his or her individual capacity where the Department 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 DOJ. If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to litigation or ADR, and is compatible with the purpose for

which the records were collected, the Department may disclose those records as a routine use to the DOJ. (c) Adjudicative disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear or to an individual or entity designated by the Department or otherwise empowered to resolve or mediate disputes, is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity. (d) Parties, counsel, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, 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 DOJ or the OMB if the Department determines that disclosure would help in determining whether records are required to be disclosed under the FOIA or the Act. (6) Contract Disclosure. If the Department contracts with an entity to perform any function that requires disclosing records to the contractor's employees, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to establish and maintain the safeguards required under the Act (5 U.S.C. §552a(m)) with respect to the records. (7) Congressional Member Disclosure. The Department may disclose records to a Member of Congress in response to an inquiry from the Member made at the written request of the individual whose records are being disclosed. The Member’s right to the information is no greater than the right of the individual who requested it. (8) 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 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. (9) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: a complaint, grievance, discipline or competence determination proceeding. The disclosure may only be made during the course of the proceeding. (10) Labor Organization Disclosure. The Department may disclose records from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation. (11) Disclosure to DOJ. The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to any program covered by this system. (12) Research Disclosure. The Department may disclose records to a researcher if the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. Further, the Department may disclose records from this system of records to that

researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain safeguards with respect to the disclosed records as required by the Act. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose the following information to a consumer reporting agency regarding a valid overdue claim of the Department: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined in 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: R2T4OTW records are backed up and maintained on magnetic tape at the Department’s Virtual Data Center (VDC), located at 71 Deerfield Lane, Meriden, CT 06450, and locked storage rooms within the VDC. RETRIEVABILITY: Records for R2T4OTW are indexed and can be retrieved by only the institution that created the record at the VDC and the Department. The institution accesses its own student R2T4OTW records through a secure log-in process and subsequently entering the institution’s unique Federal school code and the student’s Social Security Number. SAFEGUARDS: Physical access to the data systems housed within the VDC facility is controlled by a computerized badge reading system, and the entire complex is patrolled by security personnel during non-business hours. This computer system offers a high degree of resistance to tampering and circumvention. Multiple levels of security are maintained within the computer system control program. This security system limits data access to Department staff, participating institutions, and contract staff on a “need-to-know” basis, and controls individual users’ ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. Users are only able to access and alter records created with their unique identifiers. All interactions by individual users with the system are recorded. The systems manager annually updates and sends the Department the Central Processing System Security Plan, documenting the VDC's detailed security systems, including the physical location of the data stored at the VDC. This system does not use persistent cookies (data that a web server causes to be placed on a user’s hard drive) to implement personalization. It is the policy of the Department to prohibit the use of persistent cookies on U.S. Department of Education web sites except where: there is a compelling need; there are appropriate safeguards in place; the use is personally approved by the Secretary of Education; and there is clear and conspicuous notice to the public. RETENTION AND DISPOSAL: The Department will retain all identifiable records received from schools with identifying information for a period not to exceed three years after the repayment or cancellation of the loan in accordance with the Education Comprehensive Schedule, ED-RDS-Part 10, Item 16(d) for applicants with federally insured loans. For applicants without federal insured loans, the Department will retain all identifiable records received with identifying information for a period

not to exceed fifteen years after the final Pell Grant payment or audit, whichever is first in accordance with the Education Comprehensive Schedule, ED-RDS-Part 10, Item 17(a) and (b). At the conclusion of the mandatory retention period, these records will be destroyed. This procedure is consistent with legal retention requirements established by the Department in conjunction with the National Archives and Records Administration. SYSTEM MANAGER(S) AND ADDRESS: Deputy Director, Application Processing Division, Students Channel, Federal Student Aid, U.S. Department of Education, 830 First St., NE, UCP room 32E2, Washington, DC 202025454. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, contact the system manager and provide the name of the system (R2T4OTW), your name, date of birth, and Social Security Number or call 1-800-4-FED-AID (1-800-433-3243) and provide the identifiers indicated above when requesting information contained in this system of records. Requests for notification about whether this system of records contains information about an individual must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If you wish to gain access to a record in this system, contact the system manager and provide the information described in the Notification Procedure. Requests by an individual for access to a record must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to change the content of a record in the system of records for the current processing year R2T4OTW, contact the system manager with the information described in the Notification Procedure, identify the specific items to be changed, the institution and period of time the student was enrolled, and provide a justification for the change. The Department will contact the institution, which will make the change to the student’s record, as applicable. Requests to amend a record must meet the requirements of the regulations in 34 CFR 5b.7. RECORD SOURCE CATEGORIES: The institution from which a student receiving Title IV aid for the payment period or period of enrollment has withdrawn provides the information used in this system by manually entering it in the web product on the Department’s web site. For institutions that have access to the Internet, R2T4OTW is available on the Department of Education web site located at: http://www.fafsa.ed.gov/FOTWWebApp/faa/faa.jsp SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-11-16 Common Services for Borrowers (CSB)
(71 FR 3503-3507) January 23, 2006

18-11-16 SYSTEM NAME: Common Services for Borrowers (CSB). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Computer Sciences Corporation, 17 Deerfield Lane, Meriden, CT 06450. See the Appendix to this notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on those individuals who received a loan, or who are otherwise obligated to repay a loan, grant, or scholarship held and collected by the Department of Education (Department), which was made under (1) the Federal Family Education Loan (FFEL) Program (formerly the Guaranteed Student Loan Program (GSL), including Stafford Loans, Federal Insured Student Loans (FISL), Supplemental Loans for Students (SLS), PLUS Loans (formerly Parental Loans for Undergraduate Students), and Consolidation Loans); (2) the William D. Ford Federal Direct Loan (Direct Loan) Program (formerly known as the Federal Direct Student Loan Program (FDSLP), Federal Direct Unsubsidized and Subsidized Stafford/Ford Loans, Federal Direct Consolidation Loans, and Federal Direct PLUS Loans); (3) the Federal Perkins Loan Program (formerly known as National Direct/Defense Student Loans (NDSL)); (4) the Federal Pell Grant Program; (5) the Federal Supplemental Educational Opportunity Grant Program (FSEOG); (6) the Leveraging Educational Assistance Partnership (LEAP) Program; (7) the Special Leveraging Educational Assistance Partnership (SLEAP) Program; (8) the Paul Douglas Teacher Scholarship Program; and (9) the Teacher Quality Recruitment Scholarship Program. This system also contains records on individuals who apply for, but do not receive a Direct Loan, as well as individuals identified by the borrower or recipient of the loan, grant, or scholarship as references or as household members whose income and expenses are considered in connection with the making or enforcement of the grant, scholarship or loan. CATEGORIES OF RECORDS IN THE SYSTEM: This system of records will consolidate the system of records for all activities the Department carries out with regard to making and servicing loans, including collecting or otherwise resolving obligations owed by an individual under the Higher Education Act of 1965, as amended (HEA). The system contains records including such information as the employment information, educational status, family income, social security number, address, e-mail address, and telephone numbers of those individuals obligated on the debt or whose income and expenses are included in a financial statement submitted by the individual. This system also contains records regarding the application for, agreement to repay, and disbursements on the loan, and loan guaranty, if any; the repayment history, including deferments and forbearances; claims by lenders on the loan guaranty; cancellation or discharges on grounds of qualifying service, bankruptcy discharge, disability (including medical records submitted to support application for discharge by reason of disability), death, or other statutory or regulatory grounds for relief. Additionally, this system contains records regarding the amount, terms, and period of scholarships, the entity that awarded the scholarship, the amount and percentage of time the recipient spends teaching, and information about the employing school and the school district. For grant overpayments, the system contains records about the amount disbursed, the school

that disbursed the grant, and the basis for overpayment; for all debts, the system contains demographic, employment, and other data on the individuals obligated on the debt or provided as references by the obligor, and the collection actions taken by any holder, including write-off and compromise. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Titles II, IV-A, IV-B, IV-D, IV-E and V-C of the HEA (20 U.S.C. 1024, 1070a, 1070b-1070b-4, 1070c-1070c-4, 1070c-3a, 1071-1087-4, 1087a-1087j, and 1087aa-1087ii, and 1104 (1998); 31 U.S.C. Chapter 37). PURPOSE(S): The information contained in the records maintained in this system is used for the following reasons: To verify the identity of an individual. To determine program eligibility and benefits. To facilitate default reduction efforts by program participants. To enforce the conditions or terms of a loan, grant, or scholarship. To make, service, collect, assign, adjust, or discharge a loan or collect a grant or scholarship obligation. To counsel a debtor in repayment efforts. To investigate possible fraud and verify compliance with program regulations. To locate a delinquent or defaulted borrower, or an individual obligated to repay a loan, grant, or scholarship. To prepare a debt for litigation, provide support services for litigation on a debt, litigate a debt, and audit the results of litigation on a debt. To prepare for, conduct, or enforce a limitation, suspension, termination, or debarment action. To ensure that program requirements are met by educational and financial institutions and guaranty agencies. To verify whether a debt qualifies for discharge or cancellation. To conduct credit checks and respond to inquiries or disputes arising from information on the debt already furnished to a credit-reporting agency. To investigate complaints, update information, and correct errors contained in Department records. To refund credit balances back to the individual or loan holder. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The 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 information in 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 Privacy Act, under computer matching agreements. (1) Program Disclosures. The Department may disclose records for the following program purposes: (a) To verify the identity of the individual whom the records indicate has applied for or received the loan, grant, or scholarship, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; to adjudicative bodies; and to the individual whom the records identify as the party obligated to repay the debt.

(b) To determine program eligibility and benefits, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies. (c) To facilitate default reduction efforts by program participants, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to consumer reporting agencies; and to adjudicative bodies. (d) To enforce the conditions or terms of the loan, grant or scholarship, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies. (e) To permit making, servicing, collecting, assigning, adjusting, or discharging a loan, or collecting a grant or scholarship obligation, disclosures may be made to guaranty agencies, educational institutions, or financial institutions that made, held, serviced, or have been assigned the debt, and to their authorized representatives; to a party identified by the debtor as willing to advance funds to repay the debt; to Federal, State, or local agencies; to private parties such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies. (f) To counsel a debtor in repayment efforts, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; and to Federal, State, or local agencies. (g) To investigate possible fraud and verify compliance with program regulations, disclosures may be made to guaranty agencies, educational and financial institutions, and their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, present and former employers and creditors, and business and personal associates; to consumer reporting agencies; and to adjudicative bodies. (h) To locate a delinquent or defaulted borrower, or an individual obligated to repay a loan, grant or scholarship, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, business and personal associates, and present and former employers; to creditors; to consumer reporting agencies; and to adjudicative bodies. (i) To prepare a debt for litigation, to provide support services for litigation on a debt, to litigate a debt, and to audit the results of litigation on a debt, disclosures may be made to guaranty agencies and their authorized representatives; to Federal, State, or local agencies; and to adjudicative bodies. (j) To prepare for, conduct, or enforce a limitation, suspension, and termination (LS&T) or a debarment action, disclosures may be made to guaranty agencies, educational or financial institutions, and to their authorized representatives; to Federal, State, or local agencies; and to adjudicative bodies. (k) To ensure that HEA program requirements are met by educational institutions, financial institutions, and guaranty agencies, disclosures may be made to guaranty agencies, educational or financial institutions, to their authorized representatives, and to auditors engaged to conduct an audit of a guaranty agency or an educational or financial institution; to Federal, State, or local agencies or accrediting agencies; and to adjudicative bodies. (l) To verify whether a debt qualifies for discharge or cancellation, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, present and former employers and creditors, and business and personal associates; to consumer reporting agencies; and to adjudicative bodies.

(m) To conduct credit checks and to respond to inquiries or disputes arising from information on the debt already furnished to a credit reporting agency, disclosures may be made to credit reporting agencies; to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, present and former employers and creditors, and business and personal associates; and to adjudicative bodies. (n) To investigate complaints, to update information and correct errors contained in Department records, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; to private parties such as relatives, present and former employers and creditors, and business and personal associates; to credit reporting agencies; and to adjudicative bodies. (o) To refund credit balances that are processed through the Department's systems, as well as the Department of Treasury's payment applications, back to the individual or loan holder, disclosures may be made to guaranty agencies, educational and financial institutions, and to their authorized representatives; to Federal, State, or local agencies; and to private parties such as relatives, present and former employers and creditors, and business and personal associates. (2) Feasibility Study Disclosure. The Department may disclose information from this system of records to other Federal agencies and to guaranty agencies, and to their authorized representatives, to determine whether computer matching programs should be conducted by the Department regarding an individual's application for student financial assistance or compliance with the terms of such assistance, under a program administered by the Department. These computer matching programs may be used to determine program eligibility and benefits, facilitate default reduction efforts, enforce the conditions and terms of a loan or grant, permit the servicing and collecting of the loan or grant, enforce debarment, suspension, and exclusionary actions, counsel the individual in repayment efforts, investigate possible fraud and verify compliance with program regulations, locate a delinquent or defaulted debtor, and initiate legal action against an individual involved in program fraud or abuse. (3) 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 prosecutorial responsibility within the receiving entity's jurisdiction. (4) 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. (5) Litigation and Alternative Dispute Resolution (ADR) Disclosure. (a) Introduction. In the event that one of the parties listed below is involved in litigation or ADR, or has an interest in litigation or 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 or any of its components; 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 been requested to or has agreed to provide or arrange for representation for the employee; (iv) Any Department employee in his or her individual capacity where the Department 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) Adjudicative Disclosure. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, an individual, or an entity designated by the Department or otherwise empowered to resolve or mediate disputes is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity. (d) Parties, Counsels, Representatives, or Witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative, or witness. (6) 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. (7) Employee Grievance, Complaint or Conduct Disclosure. If a record is relevant and necessary to an employee grievance, complaint, or disciplinary action, the Department may disclose the record in the course of investigation, fact-finding, or adjudication to any witness, designated fact-finder, mediator, or other person designated to resolve issues or decide the matter. (8) Labor Organization Disclosure. The Department may disclose a record from this system of records to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of a labor organization recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their duties of exclusive representation. (9) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the DOJ and the OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA. (10) Disclosure to the DOJ. The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (11) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (12) Research Disclosure. The Department may disclose records to a researcher if the Chief of Staff of Borrower Services of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this

system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (13) Congressional Member Disclosure. The Department may disclose the records of an individual to a member of Congress and his/her staff 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 the inquiry. (14) Disclosure to OMB for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Pursuant to 5 U.S.C. 552a(b)(12), the Department may disclose to a consumer reporting agency information regarding a claim by the Department that is determined to be valid and overdue; such information is limited to: (1) The name, address, taxpayer identification number, and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined in 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in hardcopy, microfilm, magnetic storage and optical storage media, such as tape, disk, etc. RETRIEVABILITY: Records in this system are retrievable by social security number or name of the borrower. SAFEGUARDS: All physical access to the Department's site, and the sites of the Department's contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. In accordance with the Department's Administrative Communications System Directive OM: 5-101 entitled ``Contractor Employee Personnel Security Screenings,'' all contract and Department personnel who have facility access and system access are required to undergo a security clearance investigation. Individuals requiring access to Privacy Act data are required to hold, at a minimum, a moderate-risk security clearance level. These individuals are required to undergo periodic screening at five-year intervals. In addition to conducting security clearances, contract and Department employees are required to complete security awareness training on an annual basis. Annual security awareness training is required to ensure that contract and Department users are appropriately trained in safeguarding Privacy Act data in accordance with OMB Circular No. A-130, Appendix III. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a ``need-to-know'' basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user identification. The Department's Federal Student Aid Information Security and Privacy Policy requires the enforcement of a complex password policy. In addition to the enforcement of the complex password policy, users are required to change their password at least every 60 to 90 days in accordance with the Department's information technology standards. At the principal site of the Department's contractor in Meriden, Connecticut, additional physical security measures are in place and access is monitored 24 hours per day, 7 days a week. RETENTION AND DISPOSAL:

Records are retained for five years after the debt is paid in full or otherwise closed out, and thereafter disposed of. SYSTEM MANAGER AND ADDRESS: General Manager, Borrower Services, Federal Student Aid, U.S. Department of Education, 830 First Street, NE., Union Center Plaza, 4th Floor, Washington, DC 20202-5345. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, date of birth and social security number. Requests must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to a record in this system, provide the system manager with your name, date of birth, and social security number. Requests by an individual for access to a record must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURE: If you wish to change the content of a record regarding you in the system of records, contact the system manager with your name, date of birth, and social security number, identify the specific items to be changed; and provide a written justification for the change. Requests to amend a record must meet the requirements of the regulations in 34 CFR 5b.7. RECORD SOURCE CATEGORIES: The system includes information that the Department obtains from applicants and those individuals and their families who received a loan, or who are otherwise obligated to repay, a loan, grant, or scholarship held and collected by the Department. The Department also obtains information from references, guaranty agencies, educational and financial institutions, and their authorized representatives, Federal, State, or local agencies, private parties such as relatives, business and personal associates, and present and former employers; creditors, consumer reporting agencies, and adjudicative bodies. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. Appendix to 18-11-16 Additional System Locations Additional System Locations U.S. Department of Education, 830 First Street, NE., UCP, Washington, DC 20202-5345. U.S. Department of Education, 50 United Nations Plaza, San Francisco, CA 94102. U.S. Department of Education, 111 North Canal Street, Chicago, IL 60606. U.S. Department of Education, 61 Forsyth Street, Atlanta, GA 30303. Pearson Government Solutions, 3833 Greenway Drive, Lawrence, KS 66046-5441. Pearson Government Solutions, 2400 Oakdale Boulevard, Coralville, IA 52241. ACS Education Services, Inc., 501 Bleecker Street, Utica, NY 13501. ACS Education Services, Inc., 401 34th Street, Bakersfield, CA 93301. ACS Education Services, Inc., 2277 East 220th Street, Long Beach, CA 90810. ACS Education Services, Inc., 2505 S. Finley Road, Suite 100, Lombard, IL 60148-4866. ACS Education Solutions, LLC, 12410 Milestone Center Drive, Germantown, MD 20876. ACS Education Solutions, LLC, 1 Curie Court, Rockville, MD 20850. Electronic Data Systems Corporation, 5th Floor, 10100 Linn Station Road, Louisville, KY 40223. Electronic Data Systems Corporation, 5th Floor, 474 South Court Street, Montgomery, AL 36104. Raytheon Company, 6201 I-30, Greenville, TX 75403. Affiliated Computer Services, Inc., 2828 N. Haskell Avenue, Building 5, 2nd Floor, Dallas, TX 75204. ABR Services, Inc., 14847 Persistence Drive, Woodbridge, VA 22191.

ACS Print and Mail Services (Data Direct), 11475 Reeck Road, Southgate, MI 48195. EU Services, 649 North Horners Lane, Rockville, MD 20850. ACS State Healthcare Solutions, 9040 Roswell Road, Suite 700, Atlanta, GA 30350.

18-12-01 Title VI Foreign Language and Area Studies Fellowships (FLAS)
18-12-01
(64 FR 30173-30175) June 4, 1999

SYSTEM NAME: Title VI Foreign Language and Area Studies Fellowships (FLAS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: International Education and Graduate Programs Service, Office of Postsecondary Education, U.S. Department of Education, 1250 Maryland Avenue, SW, Room 600, Portals Building, Washington, DC 20202-5331. AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Graduate Students, who have been nominated for FLAS fellowships by grantee institutions of higher education. CATEGORIES OF RECORDS IN THE SYSTEM: The Title VI FLAS Records System consists of a variety of records relating to an individual's applications for, and participation in, the FLAS program. In addition to the individual's name, the system contains the participant's grantee institution, degree status, award period, amount of the award, language of the award, title of language course taken, major discipline, career goal, foreign language proficiency self-evaluation, and a brief description and evaluation of the study program. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Higher Education Act of 1965, as amended, Part A, Title VI, Section 602(b). PURPOSE(S): The information contained in this system is used to determine the eligibility of nominees for FLAS fellowships; to monitor compliance and accomplishments; and to use the data to demonstrate program effectiveness. 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. Department of Education personnel, field readers, and grantee institutions use the information to determine the eligibility of nominees and to monitor the progress of foreign language and area studies training. Department of Education personnel and AppNet use some of the data to demonstrate program effectiveness. Disclosure may be made to the following entities as well: (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. (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) 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law.

(7) 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. (8) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in hardcopy, filed in standard filing cabinets and in an electronic data warehouse maintained by AppNet and accessible by AppNet, individual participants, participants' institutions and US Department of Education personnel. RETRIEVABILITY: Hardcopy files are retrieved by individual names and educational institution. Electronic files can be accessed through all data elements. SAFEGUARDS: All physical access to the Department of Education site, and the site of Department contractors where this system of records is maintained, is controlled and monitored by personnel who check each individual entering the building. The computer system employed by AppNet offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department of Education and contract staff grantees on a "need-to-know" basis, and controls individual users'

ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Hardcopy records are maintained for five years and then destroyed. Data stored in the electronic data warehouse are maintained until the need for longitudinal studies to demonstrate program effectiveness is no longer required. SYSTEM MANAGER(S) AND ADDRESS: Director, International Education and Graduate Programs Service, Office of Postsecondary Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room 600B, Portals Building, Washington, DC 20202-5247. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, the year of the award, the name of the grantee institution, and language of the award. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: Contact the system manager. CONTESTING RECORD PROCEDURES: Contact the system managers. RECORD SOURCE CATEGORIES: Information is obtained from the individual and grantee institutions on approved forms in hardcopy or electronic format. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-12-02 Fulbright-Hays--Doctoral Dissertation Research Abroad (DDRA), Faculty Research Abroad (FRA), Seminars Abroad (SA), Fellows
18-12-02
(64 FR 30175-30177) June 4, 1999

SYSTEM NAME: Fulbright-Hays--Doctoral Dissertation Research Abroad (DDRA), Faculty Research Abroad (FRA), Seminars Abroad (SA), Fellows. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: International Education and Graduate Programs Service, Office of Postsecondary Education, U.S. Department of Education, 1250 Maryland Avenue, SW., Room 600, Portals Building, Washington, DC 20202-5331. AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on teachers or prospective teachers who have been selected to be recipients for Fulbright-Hays awards to enable them to engage in foreign language and area studies projects overseas. CATEGORIES OF RECORDS IN THE SYSTEM: The Fulbright-Hays Records System consists of a variety of records relating to an individual's applications for, and participation in, the Fulbright-Hays DDRA, FRA or SA programs. In addition to the individual's name, the system contains the participant's address, telephone number, educational institution, date and place of birth, citizenship, social security number, veteran's status, names of accompanying dependents, previous overseas travel, educational and employment background, student loan default status, a health statement, transcripts, references, project description and project cost based on either the cost-of-living in the host country or the annualized salary of a faculty member, field reader and US Embassy comments, award documents, and final project reports. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Mutual Educational and Cultural Exchange Act of 1961, as amended (22 U.S.C. 2451-2458). PURPOSE(S): The information contained in this system is used for the following purposes: (1) To determine the applicants' qualifications, eligibility, suitability and feasibility; (2) to award benefits for overseas research; (3) to monitor the progress of the project including its accomplishments; and (4) to demonstrate the program's effectiveness. 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) Program Disclosure. The Department may disclose information to field readers, the U.S. Department of State, U.S. Embassies, binational commissions, the J. William Fulbright Foreign Scholarship Board, foreign educators and officials so that the information can be used to determine the qualifications, eligibility, suitability, feasibility, and award benefits for overseas research.

(2) 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. (3) 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. (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) 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.

(6) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (7) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (8) 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. (9) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (10) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (11) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (12) 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. (13) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in hardcopy, filed in standard filing cabinets and in an electronic data warehouse maintained by AppNet and accessible by AppNet, individual participants, participants' institutions and U.S. Department of Education personnel.

RETRIEVABILITY: Hardcopy files are retrieved by individual names and educational institution. Electronic files can be accessed through all data elements. SAFEGUARDS: All physical access to the Department of Education site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by personnel who check each individual entering the building. The computer system employed by AppNet offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department of Education and contract staff grantees on a "need-to-know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Hardcopy records are maintained for five years and then destroyed. Data stored in the electronic data warehouse are maintained until the need for longitudinal studies to demonstrate program effectiveness is no longer required. SYSTEM MANAGER(S) AND ADDRESS: Director, International Education and Graduate Programs Service, Office of Postsecondary Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room 600B, Portals Building, Washington, DC 20202-5247. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, date of birth, social security number, the year of the award, the name of the grantee institution, major country in which you conducted your educational activity. 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 records regarding you in this system of records, contact the system manager at the address listed above and follow the steps outlined in the Notification Procedures. 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 in this system of records, contact the system manager at the address listed above. Your request must meet the requirements of the regulations at 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information is obtained from the individual on approved application forms and from field readers, and may be secured from the U.S. Department of State, U.S. Embassies, binational commissions, the J. William Fulbright Foreign Scholarship Board, and foreign educators and officials. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-12-03 Jacob K. Javits Fellowship System
18-12-03
(64 FR 30177-30179) June 4, 1999

SYSTEM NAME: Jacob K. Javits Fellowship System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: International Education and Graduate Programs Service, Office of Postsecondary Education, U.S. Department of Education, 1250 Maryland Avenue, SW., Room 600, Portals Building, Washington, DC 20202-5247. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on individuals who apply for fellowships under the Jacob K. Javits Fellowship Program. CATEGORIES OF RECORDS IN THE SYSTEM: The Jacob K. Javits Fellowship System consists of a variety of records relating to a student's application for, and participation in, the Javits Fellowship Program. In addition to the student's name, the system contains the student's social security number, or nine digit identification number, address, scholastic accomplishments, rating scores, and reference letters. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Title VII, Part A, Subpart 1 of the Higher Education Act of 1965, as amended (20 U.S.C. 1134-1134d). The program regulations are found in 34 CFR part 650. PURPOSE(S): The information contained in this system is used to determine the qualifications, eligibility, and suitability in the selection of fellows; to maintain the progress of fellows; to ensure compliance with program requirements; and to use the data to demonstrate program effectiveness. 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. (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) 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determi-nation proceedings. The disclosure may only be made during the course of the proceeding. (6) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (7) 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.

(8) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in hard copy, filed in standard filing cabinets; on accesscontrolled personal computers; and on removable personal computer diskettes that are stored in filing cabinets. RETRIEVABILITY: Hardcopy files are retrieved by individual names and educational institutions. Electronic files are accessed using an individual's Social Security number, or other nine digit identification number. SAFEGUARDS: All physical access to the Department's site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a "need-to-know" basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded.

RETENTION AND DISPOSAL: Hardcopy records are maintained for five years and then destroyed. Data stored electronically is maintained until the need for longitudinal data to demonstrate program effectiveness is no longer needed. SYSTEM MANAGER(S) AND ADDRESS: Director, International Education and Graduate Programs Service, Office of Postsecondary Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room 600, Portals Building, Washington, DC 20202-5247. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, date of birth and Social Security number. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to a record regarding you in the system of records, provide the system manager with your name, date of birth, and Social Security number. Your request must meet the requirements of the regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURE: If you wish to contest the content of a record, contact the system manager. Your request must meet the requirements of the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information is obtained principally from individual applicants, references, and schools attended by the applicant. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-12-04 Title VI International Research and Studies Program (IRS)
(64 FR 30179-30181)

18-12-04 June 4, 1999 SYSTEM NAME: Title VI International Research and Studies Program (IRS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: International Education and Graduate Programs Service, Office of Postsecondary Education, U.S. Department of Education, 1250 Maryland Avenue, SW., Suite 600, Portals Building, Washington, DC 20202-5331. AppNet, 103 W. Broad Street, Fifth Floor, Falls Church, VA 22046. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on individual researchers who have been selected to be recipients of International Research and Studies (IRS) awards. CATEGORIES OF RECORDS IN THE SYSTEM: The Title VI IRS Records System consists of a variety of records relating to an individual's applications for, and participation in, the IRS program. In addition to the individual's name, the system contains the participant's address, telephone number, educational institution, citizenship, social security number, institutional or individual DUNS number, educational and employment background, salary, research or instructional materials project description, project costs, field reader comments, award documents, and final project reports. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Higher Education Act of 1965, as amended, Part A, Title VI, section 605(a). PURPOSE(S): The information contained in this system is used for the following purposes: (1) To determine the qualifications and eligibility of the project director, competitiveness of and need for the project, and award benefits; (2) to monitor the progress of the project including its accomplishments; and (3) to demonstrate the program's effectiveness. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE 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) Field Reader Disclosures. The Department may disclose information to field readers in order to determine the qualifications and eligibility of the project director, competitiveness of and need for the project, and award benefits. (2) 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. (3) 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. (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) 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. (6) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (7) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law.

(8) 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. (9) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (10) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (11) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (12) 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. (13) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in hardcopy, filed in standard filing cabinets and in an electronic data warehouse maintained by AppNet and accessible by AppNet, individual participants, participants' institutions and Department personnel. RETRIEVABILITY: Hard copy files are retrieved by individual names and educational institution. Electronic files can be accessed through all data elements. SAFEGUARDS: All physical access to the Department's site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by personnel who check each individual entering the building. The computer system employed by AppNet offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff grantees on a “need-to-know” basis, and controls individual users' ability to access

and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Hard copy records are maintained for five years and then destroyed. Data stored in the electronic data warehouse are maintained until the need for longitudinal to demonstrate program effectiveness is no longer required. SYSTEM MANAGER(S) AND ADDRESS: Director, International Education and Graduate Programs Service, Office of Postsecondary Education, US Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-5247. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, provide the system manager with your name, date of birth, social security number, the year of the award, the name of the grantee institution, major country in which you conducted your educational activity. 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 records regarding you in this system of records, contact the system manager at the address listed above and follow the steps outlined in the Notification Procedure. 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 in this system of records, contact the system manager at the address listed above. Your request must meet the requirements of the regulations at 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information is obtained from the individuals and institutions on approved application forms and from field readers. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-12-05 Graduate Assistance in Areas of National Need (GAANN) Program Assessment System
(64 FR 72402-72404)

18-12-05 December 27, 1999 SYSTEM NAME: Graduate Assistance in Areas of National Need (GAANN) Program Assessment System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: U.S. Department of Education, Office of Postsecondary Education, Program Monitoring and Information Technology Service, 1990 K St., NW, Washington, DC 20006. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on individuals who apply for fellowships and receive admission to a GAANN project. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains information including the individual's name, Social Security number, gender, ethnicity, field of study, source of student's GAANN Fellowship, amount of stipend per year of student's GAANN Fellowship, amount of institutional contribution to tuition per year of student's GAANN Fellowship, amount of support the student received after the GAANN Fellowship, year and term the student entered institution's graduate program, current education status, current employment status, how the fellow's financial need was determined, whether Title IV financial need analysis was used, whether amount of student's financial need is known, cost of education, and financial need. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 1135C (1993). PURPOSE(S): This system is used to provide performance data about the GAANN Fellowship Program for the Department's use in responding to the requirements of the GPRA. In addition, information obtained from the system of records may also be used for the general purpose of administering the GAANN Fellowship Program. 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 Privacy 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. (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) 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, 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. (4) 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosure pursuant to 5 U.S.C. 552 (a)(b)(12).The Department may disclose to a consumer reporting agency information regarding any Federal claim which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b) (12) after completing the procedures contained in subsection 31 U.S.C. 3711(f). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Information in this system is maintained in an electronic centralized database on a computer server. Information extracted from the system will be maintained on access-controlled personal computers and in physical file folders. RETRIEVABILITY: Records in this system can be retrieved by name and Social Security number. SAFEGUARDS: The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a “need to know” basis, and controls individual users' ability to access and alter

records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Records on successful applications are destroyed five years after final payment from the Department to the institution, or after completion of audit-related activities or litigation, whichever is later. SYSTEM MANAGER(S) AND ADDRESS: Director, Program Monitoring and Information Technology Service, Office of Postsecondary Education, U.S. Department of Education, 1990 K St., NW, Washington, DC 20006. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, you should provide the system manager with your name, Social Security number or nine-digit identification number. Your request must meet the requirement of the Department'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 in this system of records, you should contact the system manager and provide information as described in the Notification Procedures. Requests for access to a record should reasonably specify the particular record content being sought. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to contest information contained in a record in this system of records, you should contact the system manager. Your request may be made either in writing or in person, and should specify: (1) The system of records from which the record is to be retrieved; (2) the particular record you are seeking to amend; (3) whether you are seeking a deletion, an addition, or a substitution; and (4) the reason(s) for the requested change(s). You should include any appropriate documentation supporting the requested change(s). Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information contained in this system is obtained from the institutions the fellows attend. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-12-06 Teacher Quality Recruitment Scholarship System
(65 FR 60172-60174)

18-12-06 October 10, 2000 SYSTEM NAME: Teacher Quality Recruitment Scholarship System. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Teacher Quality Enhancement Grants Program, Office of Policy, Planning, and Innovation, Office of Postsecondary Education, U.S. Department of Education, 1990 K Street, NW., room 6151, Washington, DC 20006-8525. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on individuals who have been awarded scholarships with funds provided under Title II of the Higher Education Act by States or partnerships to prepare to become kindergarten through twelfth-grade teachers. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of information about scholarship recipients, including the amount and period of their scholarships and the institution that awarded them; information about former recipients, including data about the amount and percentage of time the teacher spends teaching; information about the awarding entity; information about the terms of the scholarship; the amount of the scholarship and information about the employing school and the school district, including a certification by the employing school or school district that it meets the regulatory definition of high-need. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Title II, Section 204(e) of the Higher Education Act of 1965, as amended by the 1998 Higher Education Amendments, and 31 U.S.C. Chapter 37. PURPOSE(S): The information in this system will be used to ensure that recipients of scholarships provided with funds under Title II of the Higher Education Act who complete teacher education programs subsequently (1) teach in a high-need school of a high-need local educational agency for a period of time equivalent to the period for which the recipient received scholarship assistance; or (2) repay the amount of the scholarship. The information, therefore, is a tracking mechanism that will be used to carry out the statutory requirement found in Title II, Section 204(e). In addition the system information will be used to determine the success of the Teacher Recruitment component of the Teacher Quality Enhancement Grant Programs in preparing new teachers for employment in high-need schools and school districts. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: The Department of Education (the 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. (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) 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 or 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. (4) 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 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose

personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (7) 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. (8) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a consumer reporting agency information regarding a claim by the Department which is determined to be valid and overdue as follows: (1) The name, address, taxpayer identification number and other information necessary to establish the identity of the individual responsible for the claim; (2) the amount, status, and history of the claim; and (3) the program under which the claim arose. The Department may disclose the information specified in this paragraph under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer reporting agency to which these disclosures may be made is defined at 31 U.S.C. 3701(a)(3). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained in hard copy, filed in standard filing cabinets; on accesscontrolled personal computers; and on personal computer diskettes that are stored in filing cabinets. RETRIEVABILITY: Hardcopy files are retrieved by individual names, institutions of higher education and employing school districts. Electronic files may be accessed by using an individual's social security number, individual's name, name of institution of higher education, or name of employing school district. SAFEGUARDS: All physical access to the program location where this system of records is maintained is controlled and monitored by security personnel. The computers used by program staff to store any system data offer a high degree of resistance to tampering and circumvention. This

security system limits data access to program staff and any contract staff that may be hired in the future. The system is available on a "need to know" basis. Controls are in place on individual's ability to access and alter records within the system. All users of this system are given unique user IDs with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Disposition: Destroy five years after audit or ED's determination either that the scholarship recipient fulfills the service obligation or the indebtedness has been repaid or forgiven, whichever is later. (ED/RDS, Part 10, Item 3a) SYSTEM MANAGER AND ADDRESS: Director, Teacher Quality Enhancement Grant Programs, Office of Postsecondary Education, 1990 K Street, NW., room 6150, Washington, DC 20006-8525. NOTIFICATION PROCEDURE: If you wish to determine if you have a record in this system, provide the system manager with your name, date of birth, and social security number. Your request must meet the regulatory requirements of 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to your record in this system, provide the system manager with your name, date of birth, and social security number. Your request must meet the regulatory requirements of 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURE: If you wish to contest the content of a record, contact the system manager. Your request must meet the regulatory requirements of 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information is obtained from individual scholarship recipients, institutions of higher education attended by the recipients, and school districts that have employed the recipients. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-13-01 National Center for Education Statistics Longitudinal Studies and the School and Staffing Surveys
(64 FR 30181-30182)

18-13-01 June 4, 1999 SYSTEM NAME: National Center for Education Statistics Longitudinal Studies and the School and Staffing Surveys. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: National Center for Education Statistics, Office of Educational Research and Improvement, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 400, Washington, DC 20202-5574. See the Appendix at the end of this system notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains information on the following groups: (1) High school seniors who participated in the National Longitudinal Study of the High School Class of 1972; (2) Approximately 26,820 high school seniors and sophomores from 1,015 U.S. high schools who participated in the High School and Beyond Survey in 1980; (3) Approximately 26,000 eighth grade students in 1,050 U.S. schools who participated in the National Education Longitudinal Study of 1988; (4) Approximately 60,000 students enrolled in U.S. postsecondary institutions who participate in each cycle of the National Postsecondary Student Aid Study, the Baccalaureate and Beyond Study, or the Beginning Postsecondary Students Longitudinal Study; (5) Approximately 21,000 kindergartners, their parents, and 6,000 teachers who are participating in the Early Childhood Longitudinal Study, Kindergarten Cohort in 1998; (6) 14,000 children and their families as well as 4,500 childcare providers that will participate in the Early Childhood Longitudinal Study, Birth Cohort 2000; (7) Approximately 78,000 teachers, administrators, and librarians who participate in each administration of the School and Staffing Surveys of NCES; (8) Approximately 11,000 faculty and administrators who participated in the 1987-88 National Study of Postsecondary Faculty; (9) Approximately 30,000 faculty, instructional staff, and administrators who participate in subsequent administrations of the National Study of Postsecondary Faculty; (10) Approximately 33,000 U.S. students who participated in the Third International Mathematics and Science Study and the 15,000 U.S. students who will participate in the subsequent administration of the Third International Mathematics and Science Study; (11) Approximately 5,000 U.S. students who will participate in an international Civics Education Study; (12) 9,000 U.S. students who will participate in the Program of International Student Assessment; (13) 8,000 U.S. adults who will participate in the International Life Skills Survey. CATEGORIES OF RECORDS IN THIS SYSTEM: This system consists of responses to survey instruments which contain background and demographic data, questions concerning educational experiences, employment experiences, finances, aspirations, plans and goals, family formation variables, and attitudes. Cognitive test scores, financial aid records, and high school and college transcripts are appended to the records as well. The records for schools and local education agencies contain information on numbers and characteristics of teaching staff, administrators, financial and demographic data, and data

related to student performance. The records related to teachers and administrators contain, in addition to the above, information on training and experience, salary history, and attitudes and opinions on educational and operational questions. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 1221e-1. PURPOSE(S): This system is used to describe the critical influences, contexts, and transitions of students in elementary, secondary, and postsecondary education and into employment and adult experience. 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 purpose 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) Contract Disclosure. When the National Center for Education Statistics intends to contract with a private firm for the purpose of collating, analyzing, aggregating, maintaining, appending, or otherwise refining records in this system, the Commissioner of Education Statistics may release relevant records to the contractor. The contractor will be required to maintain safeguards under the Privacy Act of 1974 and under section 406(d)(4) of GEPA (20 U.S.C. 1221e-1(d)(4)) with respect to such records. (2) Research Disclosure. Where the Commissioner of Education Statistics determines that an individual or organization is qualified to carry out specific research, the Commissioner may disclose information from these systems of records to that researcher solely for the purpose of carrying out that research. The researcher shall be required to maintain under the Privacy Act of 1974 and 20 U.S.C. 1221-e1(d)(4) safeguards with respect to such records. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The research files will be stored on computer tapes and diskettes. The location files will be kept on computer tapes. RETRIEVABILITY: The records are retrievable by title of survey and name of person. SAFEGUARDS: The research files and location files are not directly mergeable in the form maintained and stored. The identification codes on each file are different. They can be related by use of an encryption algorithm known to only a few authorized staff. Copies of the computer tapes and discs containing the location files are stored with three levels of password protection. Hence, immediate access to the location files is possible only by authorized staff. When in active use for editing, tabulation and analysis, files of information and identifiers will not be kept together unless necessary for processing the data. The files will be accessed only through approved identification of the user and the use of passwords. Passwords will be changed at the conclusion of each period of use and returned to storage. Tapes, discs and questionnaires will be kept in locked files in locked rooms.

RETENTION AND DISPOSAL: The records will be kept for five years after the final survey administration, including the base year survey and any following surveys and then transferred to the Federal Records Center, where, after 15 years, they will be destroyed. SYSTEM MANAGER(S) AND ADDRESS: Commissioner, National Center for Education Statistics, Office of Educational Research and Improvement, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 400, Washington, DC 20208-5574. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the system manager at the address listed above. Your request must meet the requirements in the regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to a record regarding you, contact system manager. Your requests must meet the requirements in the regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURE: If you wish to contest the content of a record regarding you, contact the system manager. Your request must meet the requirements in the regulations at 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in the records comes form responses to survey instruments. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-13-01 Additional System Locations U.S. Bureau of the Census, Federal Office Building 3, Washington, DC 20233. WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850. Research Triangle Institute, P.O. Box 12094, Research Triangle Park, North Carolina 27709. National Opinion Research Center, 1155 E. 60th Street, Chicago, Illinois 60637-2799. Educational Testing Service, 1825 Eye Street, NW, Suite 475, Washington, DC 20006. The Gallup Organization, One Church Street, Suite 900, Rockville, MD 20850. MPR Associates, 1995 University Avenue, Suite 225, Berkeley, California 94704. Abt Associates, 55 Wheeler Street, Cambridge, Massachusetts 02138. Pelavin Research Institute, 1,000 Thomas Jefferson Street, Suite 400, Washington, DC 20007. Institute for Social Research, Survey Research Associates, University of Michigan, 426 Thompson, Ann Arbor, MI 48106. School of Education, University of Michigan, 610 E. University, Ann Arbor, MI 48109.

18-13-02 National Center for Education Statistics Affidavits of Nondisclosure
(64 FR 30182-30184)

18-13-02 June 4, 1999 SYSTEM NAME: National Center for Education Statistics Affidavits of Nondisclosure. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: See the Appendix to this system notice. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains information on employees of the National Center for Education Statistics (NCES) or other persons who assist NCES in the performance of its work, who have access to any record, response form, completed survey or aggregation thereof from which information about individual students, teachers, administrators, or other individual persons may be revealed, and who have signed a pledge not to disclose such information. Other persons who may assist NCES include employees of companies, profit or nonprofit organizations, State agencies, local agencies or instrumentalities having a contract, task order, interagency agreement, or some other formal agreement with NCES and who have access to individually identifiable information. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains the following information: (1) The affidavit of nondisclosure that includes the individual's name, place of work (company, agency, etc.), signature, and date signed; and (2) the name of the project or survey in which the entity employing the individual was involved. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 406(d)(4) of the General Education Provisions Act, as amended by Title III, Part A, Section 3001, of Public Law 100-297, April 28, 1988 (20 U.S.C. 1221e-1(d)(4)). PURPOSE(S): This system of records is used for the following purposes: (1) To maintain information necessary for internal control and monitoring of those having access to individually identifiable information; (2) to provide evidence in disciplinary actions or prosecution of individuals who disclose individually identifiable information protected from disclosure under Section 406(d)(4) of the General Education Provisions Act, as amended; and (3) to ensure that individuals utilized by the Commissioner of NCES protect the individually identifiable data of NCES. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING THE 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 purpose 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) Contractor Disclosure. A record may be disclosed from this system of records to employees of entities having a contract or other agreement with the Commissioner to assist in the collection of data on behalf of NCES to ensure that these entities maintain an accurate file of individuals who have access to individually identifiable information in performance of their duties under the contract or other agreement. (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) 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 in his or her individual capacity if the Department of Justice (DOJ) has agreed to provide or arrange for representation for the employee; or (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. (4) Disclosure to the DOJ. If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to litigation and ADR, the Department may disclose those records as a routine use to the DOJ. (5) 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. (6) 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. (7) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: Complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (8) 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. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards under 5 U.S.C. 552a(m) with respect to such records. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Information will be kept in file folders and on computer diskettes or computer tapes. RETRIEVABILITY: The records will be retrievable by name, date, and place of work of the individual.

SAFEGUARDS: The records will be kept in locked files. The computer tapes and diskettes will be accessible by authorized personnel through identification number and password. RETENTION AND DISPOSAL: Each affidavit will be kept for 5 years after the individual access to NCES confidential data has ceased and then will be transferred to the Federal Records Center, where it can remain up to 15 years before it is destroyed. SYSTEM MANAGER(S) AND ADDRESS: Chief Statistician & Individual Survey Project Officers, National Center for Education Statistics, U.S. Department of Education, 555 New Jersey Avenue, NW., Washington, DC 20208-5574. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in this system of records, contact the system manager at the address listed above and provide your name, place of work (i.e. company, agency, etc.), and the dates of employment. Your request must meet the requirements in the regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If you wish to gain access to records regarding you in this system of records, contact the system manager and provide your name, place of work (i.e. company, agency, etc.), and the dates of employment. Your request must meet the requirements in 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, contact the system manager. Your request to amend a record must meet the requirements of 43 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in the records comes from individuals who have signed the affidavits of nondisclosure. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-13-02 Additional System Locations National Center for Education Statistics, U.S. Department of Education, 555 New Jersey Avenue, NW., Washington, DC 20202-5574. U.S. Bureau of the Census, Federal Office Building 3, Washington, DC 20233. WESTAT, 1650 Research Boulevard, Rockville, Maryland 20850. Research Triangle Institute, P.O. Box 12094, Research Triangle Park, North Carolina 27709. National Opinion Research Center, 1155 E. 60th Street, Chicago, Illinois 60637-2799. Educational Testing Service, 1825 Eye Street, NW, Suite 475, Washington, DC 20006. The Gallup Organization, One Church Street, Suite 900, Rockville, MD 20850. MPR Associates, 1995 University Avenue, Suite 225, Berkeley, CA 94704. Abt Associates, 55 Wheeler Street, Cambridge, MA 02138. Pelavin Research Institute, 1,000 Thomas Jefferson Street, Suite 400, Washington, DC 20007. Institute for Social Research, Survey Research Associates, University of Michigan, 426 Thompson, Ann Arbor, MI 48106. School of Education, University of Michigan, 610 E. University, Ann Arbor, MI 48109.

18-13-03 National Center for Education Statistics' National Assessment of Educational Progress
(64 FR 30184-30185)

18-13-03 June 4, 1999 SYSTEM NAME: National Center for Education Statistics' National Assessment of Educational Progress. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: ESTAT, 1650 Research Boulevard, Rockville, MD 20850. Educational Testing Service, Rosedale Road, Princeton, NJ 08541. National Computer Systems, 2510 N. Dodge Street, Iowa City, IA 52245. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains information on the following individuals: (1) Individuals who leave school early as early graduates or as drop-outs (defined as 17-year-olds who are no longer in school) and are covered during a six month data verification period; (2) young adults in the study who are covered during a six month data verification period; and (3) individual schools which are covered under the National Assessment of Educational Progress (NAEP) statute (20 U.S.C. 9010 (c)(2)(A)). CATEGORIES OF RECORDS IN THE SYSTEM: Records contain responses to assessment and survey instruments. The contents of these instruments are of two types: (1) Cognitive test items to assess the educational achievement of students and young adults in various subject areas taught in school; and (2) questions about student demographic and background variables as well as the characteristics of teachers and schools. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 9010. PURPOSE(S): The purpose of the National Assessment of Educational Progress (NAEP), funded by the Department of Education, is to provide information on the educational achievement of young Americans over time. 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. During a six-month verification period, individually identifiable information about individuals who leave school early or are young adults is subject to the Privacy Act, and may be disclosed under routine uses that are consistent with the Commissioner's authority under section 406(d)(4) of GEPA (20 U.S.C. 1221e-1(d)(4)). The routine uses that apply to this period permit disclosures to individuals who: (1) Take the oath and sign an affidavit of nondisclosure required under 20 U.S.C. 9007; (2) Work for a contractor, grantee, or party to a cooperative agreement or other entity that has an agreement with the Commissioner to conduct research for National Center for Education Statistics (NCES), or (3) Work under a research contract, grant, or cooperative agreement with a Federal, State, or local agency that requires the use of individually identifiable information, and the research is compatible with the purpose for which NCES collected the data, or (4) Work under an agreement in writing to:

(i) Use the information for statistical purposes only, (ii) Maintain the data in accordance with applicable Federal laws, (iii) Prohibit redisclosure in identifiable form, and (iv) Permit NCES' periodic inspection to determine adherence to the contract or agreement. Regarding the records of individual schools, which, under 20 U.S.C. 9010(c)(2)(A), must be treated as individuals subject to the Privacy Act, NCES may make routine use disclosures, consistent with the statistical purposes for which a record was supplied, as follows: (1) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (2) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (3) 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. (4) 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. (5) 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, ED 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 ED 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.

POLICIES AND PRACTICES FOR RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are maintained on magnetic tape and computer disk media. RETRIEVABILITY: Records are retrievable by assessment year, subject area, age or grade at the school or individual respondent level. SAFEGUARDS: Access to the restricted-use data files and completed test booklets and forms is severely limited to key contractor and NCES staff. User access to the restricted-use data files has three levels of data access protection. Access to the files is restricted to authorized NAEP staff who have a valid need for immediate access to NAEP data. This access is controlled and monitored by the use of secure "log-on" identification and password protection schemes. Access to individual restricted-use data files is controlled by an access control facility that restricts users to only those files that are necessary and approved for their perusal. In addition, the restricted-use data files are backed-up to an off-site secure location that will protect NAEP data in the event of a computer center disaster. This off-site storage is in a secure vault that is physically protected from unauthorized entry. The open-ended responses are stored in a secure warehouse with access limited to NAEP project staff. RETENTION AND DISPOSAL: The NAEP restricted-use data files are stored in a secure computer facility. The security mechanism includes physical security, data security, and disaster recovery capability. The computer facility is housed within a fire-resistant masonry and steel door structure. Physical access to the facility is electronically controlled through magnetically imprinted identification badges and is limited to authorized staff who have functional responsibilities within the secured areas. Open-ended responses are kept indefinitely. However, data that could be used to identify individuals are destroyed six months after collection. SYSTEM MANAGER(S) AND ADDRESS: Associate Commissioner, Educational Assessment Division, National Center for Education Statistics, Office of Educational Research and Improvement, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 308C, Washington, DC 20208-5653. NOTIFICATION PROCEDURE: If you wish to determine whether a record regarding you exists in this system of records, you should contact the system manager at the address listed above and provide your name, date of birth and social security number. Your requests 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 in this system of records, you should contact the system manager and provide the information described in the Notification Procedures. 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 information contained in this system of records, you should contact the system manager. You should specify the particular record you are seeking to amend, whether a deletion, an addition, or a substitution is being sought and the reason(s) for the requested change(s). Your request should meet the requirements of the regulations at 34 CFR 5b.7.

RECORD SOURCE CATEGORIES: The information in this system comes from the data collected from the subject individuals and individual schools. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-13-04 Outcomes of Diversity in Higher Education Study
18-13-04
(64 FR 30186-30186) June 4, 1999

SYSTEM NAME: Outcomes of Diversity in Higher Education Study. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: National Institute on Postsecondary Education, Libraries, and Lifelong Learning, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 627, Washington, DC 202085531. See the Appendix at the end of this system notice for additional system locations. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains data on the following individuals: (1) Approximately 5500 students who were first-time freshmen in Fall 1998 at 9 four-year institutions of higher education; (2) approximately 300 faculty who teach freshmen at those institutions; and (3) approximately 45 administrators of those institutions. There will be follow-up data for spring of 1999 and spring of 2000 on the initial set of freshmen respondents. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of responses to survey instruments and interview protocols. In addition to background and demographic data, the survey instruments include sets of items concerning perception of institutional commitment to diversity, attitudes, campus climate, knowledge of multiple cultures and pedagogy. The opinions of students, faculty and administrators concerning diversity and multiculturalism are also represented. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 6031 (h) (Supp. 1998). PURPOSE(S): The information contained in the system is used for the following purposes: (1) To increase understanding of the effects of diversity in higher education on all students by examining incoming attitudes of first-time freshmen and changes in attitudes and cognitive development concerning issues of diversity and multiculturalism; and (2) to assess pedagogy and student participation, attainment, development, attitudes and knowledge. 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) Contract Disclosure. When OERI intends to contract with a private firm for the purpose of collating, analyzing, aggregating, maintaining, appending, or otherwise refining records in this system, the Director may release relevant records to the contractor. The contractor will be required to maintain safeguards under the Privacy Act of 1974 and under section 406(d)(4) of GEPA (20U.S.C. 1221e-1(d)(4)) with respect to such records. (2) Research Disclosure. Where the Director determines that an individual or organization is qualified to carry out specific research, the Director may disclose information from these systems of records to that researcher solely for the purpose of carrying out that research. The researcher shall be required to maintain Privacy Act of 1974 and 20 U.S.C. 1221e-1(d)(4) safeguards with respect to such records.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The research and location files will be stored on separate computer diskettes. RETRIEVABILITY: Aggregate files may be retrieved by title of survey. The location files will be destroyed upon completion of this project as there will be no future need to retrieve an individual record. Only the completed interview protocols will be retained in hard copy by title of individual interviewed at each of the nine institutions. SAFEGUARDS: The research files and location files cannot be merged in the form maintained and stored since the identification codes on each file are different. They can be related by use of an encryption algorithm known only to a few staff authorized to work with the data files. When in active use for editing, tabulation and analysis, files of information and identifiers will not be kept together unless necessary for data processing. Tapes, discs and questionnaires will be kept in locked files. RETENTION AND DISPOSAL: The records will be kept for five years after the final survey administration, in spring of 2000. In the spring of 2005, the records will be transferred to the Federal Records Center, where, after 15 years, they will be destroyed. SYSTEM MANAGER(S) AND ADDRESS: Director, National Institute on Postsecondary Education, Libraries and Lifelong Learning, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 627, Washington, DC 20208-5531. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you, contact the system manager at the address listed above. Your requests must meet the requirements in the regulations at 34 CFR 5b.5. RECORD ACCESS PROCEDURES: Same as Notification Procedure. CONTESTING RECORD PROCEDURES: If you wish to contest the content of a record, contact the system manager. Any requests to amend a record must meet the requirements of 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in the records comes from the responses to survey instruments. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. Appendix to 18-13-04 Additional System Locations Mathtech, Inc., 6402 Arlington Blvd., Suite 1200, Falls Church, VA 22042-2356. Mathtech, Inc., 202 Carnegie Center, Suite 111, Princeton, NJ 08540-6239. Mathtech, Inc., 180 Pembrooke Circle, Phoenixville, PA 19460.

18-13-05 Education Publications Center (ED PUBS)
18-13-05
(64 FR 72404-72408) December 27, 1999

SYSTEM NAME: Education Publications Center (ED PUBS). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Education Publications Center, U.S. Department of Education, 8242 Sandy Court, Jessup, MD 20794. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on individuals who contact ED PUBS to request products from the U.S. Department of Education. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains the name, address, and telephone number of the individuals, as well as what product those individuals request. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Goals 2000: Educate America Act, Pub. L. 103-227, 951, 20 U.S.C. 6051 (Supp. I, 1995). PURPOSE(S): The information in this system is used to disseminate the Department's products to the public. 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 Privacy 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. (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) 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, 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. (4) 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. (5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding. (6) Labor Organization Disclosure. A component of the Department may disclose records to a labor organization if a contract between the component and a labor organization recognized under Title V of the United States Code, Chapter 71, provides that the Department will disclose personal records relevant to the organization's mission. The disclosures will be made only as authorized by law. (7) 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. (8) Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. (9) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into

such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (10) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (11) 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. (12) Disclosure to the Office of Management and Budget (OMB) for Credit Reform Act (CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA requirements. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The records are retained in hard copy and in a computer database. RETRIEVABILITY: The records are retrieved by name and by title of requested product. SAFEGUARDS: Access to the ED PUBS records is limited to internal Department designees, warehouse switchboard operators, and ED PUBS management personnel. All physical access to the Department site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for his or her employee or visitor badge. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a “need to know” basis, and controls individual users' ability to access and alter records within the system. All users of this system of records are given a unique user ID with personal identifiers. All interactions by individual users with the system are recorded. RETENTION AND DISPOSAL: Records are deleted upon revision or update. SYSTEM MANAGER(S) AND ADDRESS: Executive Director of the National Library of Education, U.S. Department of Education, 400 Maryland Ave, SW., Suite 4W317, Washington, DC 20202-5523. 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's Privacy Act regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If you wish to access a record regarding you in the system of records, contact the system manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity.

CONTESTING RECORD PROCEDURES: If you wish to contest a record regarding you in the system of records, contact the system manager. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: The information in this system is obtained from the individuals who contact ED PUBS. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-13-06 What Works Clearinghouse (WWC) Database 18-13-06
(69 FR 9603-9605) March 1, 2004

SYSTEM NAME: What Works Clearinghouse (WWC) Database. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Aspen Systems Corporation, 2277 Research Boulevard, Rockville, MD 20850. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This web-based system will maintain a national registry of educational interventions-educational programs, products, and practices that are claimed to enhance important student outcomes. In particular, the WWC will assess and report on the strength of research-based evidence of the effectiveness of these educational programs. There are two categories of individuals covered by the system. First, the WWC will be collecting identifying information from members of the public if the public voluntarily and anonymously suggests studies, interventions, and topics for WWC review, and provides optional contact information. The WWC will also collect information from the public if an individual voluntarily subscribes to receive e-mail updates about new information on the WWC Web site. Second, evaluators--individuals and organizations--may use the Web site to voluntarily submit contact information and information about their services and experience in evaluating educational programs. The purpose of this information is to create a public listing to assist people in identifying those evaluators who are potentially qualified to conduct rigorous studies of the effectiveness of education programs. CATEGORIES OF RECORDS IN THE SYSTEM: For members of the public who suggest a study, intervention, or topic for WWC review, and choose to provide contact information, the form will include name, title, organization, mailing address, e-mail address, phone number, URL and comments. The individual will be able to choose whether or not to submit any contact information at all, provide just a contact name and e-mail address, or give more detailed contact information, including title, organization, mailing address, phone number, URL, or comments. For members of the public who voluntarily subscribe to receive e-mail updates from the WWC Web site, an automated system will collect and retain the e-mail addresses of subscribers. Finally, evaluators may use the Web site to voluntarily submit contact information--name, work mailing and e-mail addresses, phone number--together with information about their services and experience, if they would like this information to be included in the public-access, web-based registry of evaluators. This notice does not cover records, including but not limited to letters, e-mails, and facsimiles, sent by individuals to the Secretary, Deputy Secretary, Senior Officers, such as the Director of IES, for whom the Department controls responses to these inquiries. Further, this notice does not cover the official correspondence files of IES, specifically the hard copies of official documents and electronic images of certain incoming and outgoing documents. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Education Sciences Reform Act of 2002, Pub. L. 107-279 (2002), sections 172(a)(2) and (3). PURPOSE(S): This system of records is maintained to provide the WWC with the means to:

1. Contact members of the public who suggest a study, intervention, or topic for review and who choose voluntarily to provide optional contact information, if their suggestions need clarification. 2. Send e-mail updates about new information on the WWC Web site to subscribers. 3. Provide contact information for evaluators who wish to have their services, experience, and contact information included in the public-access, web-based registry of evaluators. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The 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 Privacy Act, under a computer matching agreement. 1. Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the Department of Justice (DOJ) and OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA. 2. Disclosure to the DOJ. The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system. 3. Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. 4. Litigation and Alternative Dispute Resolution (ADR) Disclosures. (a) Introduction. In the event that one of the parties described in (a)(i) through (v) is involved in litigation or ADR, or has an interest in litigation or 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, or any of its components; or (ii) Any Department employee in his or her official capacity; or (iii) Any Department employee in his or her official capacity if the DOJ has agreed or been requested to provide or arrange for representation for the employee; or (iv) Any Department employee in his or her individual capacity if the Department has agreed to represent the employee; or (v) The United States if 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, and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the DOJ. (c) Adjudicative disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear or to an individual or entity designated by the Department or otherwise empowered to resolve or mediate disputes is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity. (d) Parties, counsel, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness is relevant and necessary to the litigation or ADR, the Department may disclose those records as a routine use to the party, counsel, representative or witness.

5. Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. 6. Congressional Member Disclosure. The Department may disclose information 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. 7. 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. DISCLOSURES TO CONSUMER REPORTING AGENCIES: Not applicable to this system of records. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The information in the tracking system will be stored on a server maintained by the WWC subcontractor staff. Records generated by the system will be maintained electronically on the server. RETRIEVABILITY: The public will have access to the searchable, web-based registry of evaluators, containing information voluntarily submitted by evaluators about their services and experience, as well as contact information, after the evaluators have signed a letter giving their written permission for this information to be used in the registry. The data are retrieved by searching by record number, type of suggestion, study author, title, reference type, publisher, topic, type of intervention, and organization. The data for the evaluator registry will be searchable on the WWC public-access Web site by topic, type of research, geographic area, study title, intervention title, years of experience, and contact information. SAFEGUARDS: Access to this system will be restricted to authorized WWC contractors, subcontractors, consultants, and ED employees on a need-to-know basis. Authorized users of this system will enter a unique user ID as well as a password to enter the system. They will be required to change their passwords periodically, and they will not be allowed to repeat old passwords. Any individual who attempts to log in to the system three times and fails will be locked out of the system. Access after that time requires intervention by the system manager. The computer system employed by the WWC offers a high degree of resistance to tampering and circumvention. This security system limits data access to authorized WWC staff and controls individual users' ability to access and alter records within the system. All file servers, routers/hubs, tape back-up stations, and communications servers are located in secure rooms at the subcontractor's Headquarters site, and only authorized personnel have access via key or magnetic card. All files will be password-protected and back-up files will be secured in a locked area. Access to the data files and software on the WWC site are controlled through the Microsoft NT Server operating system by providing all staff with user accounts (user IDs). All secure user

accounts will require passwords that must be changed every six months. Passwords for ongoing data processing will be changed frequently, and users will be blocked from gaining access to certain types of data and programs based on their IDs and passwords. RETENTION AND DISPOSAL: Records in this system will be retained in accordance with the National Archives and Records Administration (NARA) General Records Schedule 20, Item 1.c which provides disposal authorization for electronic files and hard-copy printouts created to monitor system usage. Records will be deleted or destroyed when the agency determines they are no longer needed for administrative, legal, audit, or other operational purposes. SYSTEM MANAGER AND ADDRESS: Contracting Officer's Representative (COR), What Works Clearinghouse, U.S. Department of Education, Institute of Education Sciences, 555 New Jersey Avenue, NW., suite 504, Washington, DC 20208. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists about you in the system of records, provide the system manager with your name or e-mail address. Your request for notification must also meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. You may also present your request in person or make your request in writing to the system manager at the above address. RECORD ACCESS PROCEDURES: Request to access a record also must reasonably specify the record contents sought and otherwise meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURES: If you wish to change the content of a record in this system of records, you must contact the system manager at the above address and follow the steps outlined in the NOTIFICATION PROCEDURE section. Requests to amend a record must also reasonably identify the record, specify the information being contested, provide in writing your reasons for requesting the change, and otherwise meet the regulations in 34 CFR 5b.7. RECORD SOURCE CATEGORIES: Information in this system is obtained from members of the public and evaluators who voluntarily provide information. The primary way for the public and evaluators to contact the WWC is electronically through the WWC Web site, although they also could contact the WWC by telephone, by mail, or in person. SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE PRIVACY ACT: None.

18-13-07 DC Choice Program Evaluation
(69 FR 22014-22016)

18-13-07 April 23, 2004 SYSTEM NAME: DC Choice Program Evaluation. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Westat, 1650 Research Boulevard, Rockville, MD, 20850. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: There are two categories of individuals who are covered by this system. The system will contain records on DC Choice Program applicants (students), their parents and other adults living with these students. The system will also contain information on all DCPS non-applicant students from K thru 12. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of the names, addresses, telephone numbers, social security numbers, demographic information--such as race/ethnicity, age, marital status, disability, language spoken in the home, educational background, and income--and the results of academic assessments. The system will collect information about parents' satisfaction with their children's current schools and the reasons for seeking a new school. The system will also collect scores on academic achievement examinations for applicants who may not have participated in Spring, 2004 DCPS testing. In addition, the system will also contain academic achievement data and other student performance measures, including attendance and disciplinary records, from existing DCPS school records for all students in grades K thru 12. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: DC School Choice Incentive Act of 2003, Pub. L. 108-199, Division C, Title III, Section 309(a)(3) and (4). PURPOSE(S): This statute is intended to provide low-income parents residing in the District of Columbia (the District) with expanded opportunities for enrolling their children in higherperforming private schools in the District. The information in this system will be used to fulfill the requirements of the DC School Choice Incentive Act of 2003 (D.C. Choice Act), especially section 309, which calls for a detailed evaluation of the program. In particular, section 309 directs the Department to evaluate the performance of students participating in the program by comparing them with the students in the same grade at DCPS as well as students in DCPS who applied for the program but were not selected. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: ED may disclose information contained in a record in this system of records under the routine use listed in this system without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of: (A) Section 183 of the Education Sciences Reform Act of 2002 (ESRA), Pub. L. 107-279, providing for confidentiality standards that apply to all collections, reporting and publication of data by the Institute of Education Sciences (IES); (B) if applicable, Title V of the E-Government Act of 2002 (E-Gov Act), Pub. L. 107-347, governing any pledges of confidentiality given to the public for statistical purposes; and (C) Section 309(a)(5) of the D.C. Choice Act, prohibiting the disclosure of personally identifiable information to the public regarding the results of the measurements used for the evaluations. Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the

contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system and to agree in writing to comply with all other provisions of law that affect the disclosure of the information, including section 183 of the ESRA, Title V of the E-Gov Act, and section 309(a)(5) of the D.C. Choice Act. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The contractor will maintain data for this system on its computers and in hard copy. RETRIEVABILITY: Records in this system are indexed by a number assigned to each individual, which is cross-referenced by the individual's name on a separate list. SAFEGUARDS: Individual access to the offices of Department contractor, Westat, that maintains the system of records is controlled and monitored by security personnel. The contractor has established a set of procedures to ensure confidentiality of data. The system ensures that information identifying individuals is in files physically separated from other research data. Westat will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the Westat system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services and additional security features that the network administrator establishes for projects as needed. RETENTION AND DISPOSAL: Records are maintained and disposed of in accordance with ED's record disposition schedules (ED/RDS). In particular, ED will follow the schedules outlined in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records). SYSTEM MANAGER AND ADDRESS: Director, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502, Washington, DC 20208. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including proof of identity. PROCEDURE FOR CONTESTING RECORD:

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 in 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: There are three principal record source categories in this system. Information will be obtained from applications submitted by potential scholarship winners. Information will also be obtained directly from applicants who have to take academic assessment examinations administered directly by the contractor. Finally, information will be gathered from the education records of DCPS students in grades K thru 12. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.

18-13-08

Early Reading First National Evaluation
(71 FR 66506-66508) November 15, 2006

18-13-08 SYSTEM NAME: Early Reading First National Evaluation. SECURITY CLASSIFICATION: None.

SYSTEM LOCATION: Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW, room 502D, Washington, DC 20208-0001. Decision Information Resources, Inc., 2600 Southwest Freeway, Suite 900, Houston, TX 77098. Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540. Center for Improving the Readiness of Children for Learning and Education, University of Texas-Houston Health Sciences Center Medical School, 7000 Fannin Street, Houston, TX 77030. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on Early Reading First children and their parents and project staff from Early Reading First programs participating in the national evaluation. In addition, the system contains records for children, parents, and staff in some preschools not receiving Early Reading First funds. The evaluation will obtain a sample of sites from the universe of applicants that applied for Early Reading First (ERF) grants that were awarded in 2003. The treatment group consists of 28 grantees that received ERF funds. The comparison group consists of 37 applicants that did not receive ERF funds and that received average scores from peer reviewers in the interval below the average score of the lowest-scoring funded application. A random sample of three to five preschool classrooms was selected from each ERF grantee in the treatment group and each unfunded applicant site in the comparison group. In each site, up to 33 children were randomly selected from those whose parents have given consent for them to participate in the study. Parents of children in those classrooms were asked to sign a consent form with contact information. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of the names and addresses of children in the evaluation and their parents as well as demographic information--such as race/ethnicity, age, educational background, and family income; names of preschool staff in the evaluation; parent and preschool staff responses to survey questions, children's results from early literacy and language assessments and teacher reports of children's social and emotional outcomes. Information collected will include the following: Names; addresses; demographic information such as race/ethnicity, age, educational background, and family income for children in the sample and their parents; and preschool staff answers to interview questions. Specific data collection activities will include direct in-person assessments of children, telephone surveys of parents, self-administered teacher surveys and teacher ratings of children, self-administered preschool director surveys, informal grantee director in-depth interviews, classroom observations, and extraction of records on children. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20 U.S.C. 6376, 9561(b) and 9563. PURPOSE(S): The information in this system is used for the following purposes: (1) To fulfill the requirements under section 1226 of the Elementary and Secondary Education Act (ESEA), for an evaluation of the Early Reading First program; and (2) (2) to provide information on effective practices in Early Reading First for the purpose of improving the program. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: The Department of Education (the 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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the Education Sciences Reform Act (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by the Institute of Education Sciences. Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The Department maintains records on CD-ROM and the contractors maintain data for this system on computers and in hard copy. RETRIEVABILITY: Records in this system are indexed by a number assigned to each individual that is crossreferenced by the individual's name on a separate list. SAFEGUARDS: All physical access to the Department site, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a ``need to know'' basis, and controls individual users' ability to access and alter records within the system. The contractor, Decision Information Resources, Inc. (DIR), and its subcontractors Mathematica Policy Research, Inc. (MPR) and the Center for Improving the Readiness of Children for Learning and Education (CIRCLE) at University of Texas-Houston Health Sciences Center have established a set of procedures to ensure confidentiality of data. All employees sign a pledge that emphasizes the importance of confidentiality and describes their obligations. Access to sample selection data is limited to those who have direct responsibility for providing the sample and maintaining the sample-locating information. At the conclusion of the research, these data are destroyed. Identifying information is maintained on separate forms and files, which are linked only by sample identification numbers. Access to the file that links sample identification numbers with the respondents' identification and contact information is limited to a small number of individuals who have a need to know this information. Access to the hardcopy documents is strictly limited. Documents are stored in locked files and cabinets. Discarded material is shredded. Computer data files are protected with passwords, and access is limited to specific users. Especially sensitive data are maintained on removable storage devices that are kept physically secure when not in use. An Institutional Review Board (IRB) has reviewed and approved the data collection protocol and the procedures used to ensure confidentiality. The parent consent form required for children's participation in the study states that information collected about the child will be kept confidential. The interviewers' introductory comments given at the beginning of each parent and grantee director interview includes all the information that respondents need for deciding to give informed consent (verbal) for that interview. RETENTION AND DISPOSAL: Records are maintained and disposed of in accordance with the Department's Records Disposition Schedules (ED/RDS). In particular, the Department will follow the schedules outlined in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records).

SYSTEM MANAGER AND ADDRESS: Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW, room 502D, Washington, DC 20208-0001. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURE: 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 regulations in 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information is obtained from interviews with parents of Early Reading First participants and with Early Reading First staff, and from direct assessments of children attending Early Reading First preschools. In addition, information will be obtained from interviews with parents of children attending non-Early Reading First preschools and with non-Early Reading First preschool staff, and from direct assessments of children enrolled in non-Early Reading First preschools. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-13-09

Even Start Classroom Literacy Interventions and Outcomes Study
(FR 71 70745-70747) December 6, 2006

18-13-09 System Name: Even Start Classroom Literacy Interventions and Outcomes (CLIO) Study. Security Classification: None. System Location: Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208. Westat, 1650 Research Boulevard, Rockville, MD 20850. Categories Of Individuals Covered By The System: This system contains records on adults and children in the William F. Goodling Even Start Family Literacy Programs (Even Start) program who participate in the CLIO study, on project staff from Even Start grantees participating in the CLIO study, and on the kindergarten and first grade teachers of CLIO children. Categories Of Records In The System: This system consists of: (1) The names and addresses of adults and children in the Even Start program who participate in the CLIO study; (2) demographic information such as race/ethnicity, age, and educational background for adults and children participating in the Even Start CLIO Study, for Even Start staff in programs participating in the CLIO study, and for the kindergarten and first grade teachers of CLIO children; (3) responses of adults participating in the Even Start CLIO study and project staff and teachers to interview questions; and (4) and the results of literacy assessments on adults and children participating in the Even Start CLIO study. Authority For Maintenance Of The System: The evaluation being conducted is authorized under: (1) Sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563)); and (2) sections 1232(b)(1)(A) and 1239 of the ESEA, as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C. 6381a(b)(1)(A) and 638lh). Purpose(s): The information in this system is used for the following purposes: (1) To fulfill the requirements of the Even Start legislation for an evaluation of Even Start programs; and (2) To provide information on the effectiveness of specific family literacy interventions in those programs for use in improving the Even Start program. Routine Uses Of Records Maintained In The System, Including Categories Of Users And The Purpose 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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by the Institute of Education Sciences. Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a

contract, the Department must require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. Disclosure To Consumer Reporting Agencies: Not applicable to this system notice. Policies And Practices For Storing, Retrieving, Accessing, Retaining, And Disposing Of Records In The System: Storage: The Department maintains records on CD-ROM, and the contractor maintains data for this system on computers and in hard copy. Retrievability: Records in this system are indexed by a number assigned to each individual, which is crossreferenced by the individual's name on a separate list. Safeguards: All physical access to the Department's site, and the site of the Department's contractor where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer system limits data access to Department and contract staff on a ``need to know'' basis, and controls individual users'' ability to access and alter records within the system. The contractor, Westat, has established a set of procedures to ensure confidentiality of data. The system ensures that information identifying individuals is in files physically separated from other research data. Westat will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: password-protected accounts that authorize users to use the Westat system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed. The contractor employees who maintain (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573). Retention And Disposal: Records are maintained and disposed of in accordance with the Department of Education's Records Disposition Schedules (ED/RDS). In particular, the Department will follow the schedules outlined in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records) of ED/RDS. System Manager And Address: Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208. Notification Procedure: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity. Record Access Procedure: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity. Contesting Record Procedure:

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 regulations at 34 CFR 5b.7, including proof of identity. Record Source Categories: Information is obtained from interviews with Even Start CLIO study participants, staff, and kindergarten and first grade teachers of CLIO children and direct assessments of Even Start CLIO study participants. Even Start programs participating in CLIO also provide information to the CLIO study on who is participating in the program at each data collection point and their attendance in the program's services. Exemptions Claimed For The System: None.

18-13-10 Impact Evaluation of Teacher Preparation Models
(70 FR 45378-45380) August 5, 2005

18-13-10 SYSTEM NAME: Impact Evaluation of Teacher Preparation Models. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: (1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001. (2) Mathematica Policy Research, Inc. (MPR), 600 Alexander Park, Princeton, NJ 08540. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on teachers who have taken traditional and alternative routes to certification programs and who are participating in the Impact Evaluation of Teacher Preparation Methods. The system contains information about teachers from selected teacher preparation programs and their students. The selected teacher preparation programs are a sample of 10 programs with low entrance requirements--5 of which also have minimal course requirements and 5 of which also have substantial course requirements. To identify the 10 programs, the contractor selected from 165 programs in 12 states with low entrance selectivity requirements. The study sample consists of teachers in districts and schools where there is both an alternatively certified teacher and a traditionally certified teacher with similar amounts of prior teaching experience who teach in the same grade. A pair of new teachers in the same grade was formed at each of 80 schools included in the study, with 1 teacher having taken the traditional route and 1 the alternative route to certification. Participation of both teachers and their students in the evaluation is voluntary. CATEGORIES OF RECORDS IN THE SYSTEM: The system includes the teachers' social security numbers; the teachers' demographic information--such as race/ethnicity, age, and educational background; information from two classroom observations (e.g., lesson content; student and teacher activities during the lesson; student engagement, nature of teacher/student interactions, learning environment); and the results of the teachers' standardized test scores (e.g., existing SAT or ACT scores) as well as the teachers' students' standardized test scores. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The evaluation being conducted is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563) and section 9601 of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C. 7941). The authority for using ESEA funds to support the underlying teacher preparation programs that are being evaluated is Title II, Part A, subparts 1 and 2 of ESEA (20 U.S.C. 6611-6623). PURPOSE(S): The information in this system is used for the following purposes: (1) To support evaluation and research of teacher quality; and (2) to provide information on effective practices in teacher pre-service for the purpose of improving teacher preparation programs. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSE OF SUCH USES: The 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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by the Institute of Education Sciences (IES). (1) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (2) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (3) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. 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.. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The Department maintains records on CD-ROM, and the contractor maintains data for this system on computers and in hard copy. RETRIEVABILITY: Records in this system are indexed by a number assigned to each Individual that is cross referenced by the individual's name on a separate list. SAFEGUARDS: All physical access to the Department's site, and the site of the Department's contractor where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer system limits data access to Department and contract staff on a ``need to know'' basis, and controls individual users'' ability to access and alter records within the system. The contractor, Mathematica Policy Research, Inc. (MPR), has established a set of procedures to ensure confidentiality of data. The system ensures that information identifying individuals is in files physically separated from other research data. MPR will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project

data include: Password-protected accounts that authorize users to use the MPR system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed. The contractor employees who maintain (collect, maintain, use or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573). RETENTION AND DISPOSAL: Records are maintained and disposed of in accordance with the Department's Records Disposition Schedules (ED/RDS) in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records). SYSTEM MANAGER AND ADDRESS: Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURE: 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 regulations in 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: The system includes information that is taken from teachers directly, such as the teachers' social security numbers; the teachers' demographic information--such as race/ethnicity, age, and educational background. It also includes information obtained from two classroom observations of the teachers from trained researchers; the results of the teachers' standardized test scores (e.g., existing SAT or ACT scores), which are obtained from the College Board or ACT with the teachers' consent; and the standardized test scores of the teachers' students, which are obtained directly from the students in the teachers' classes. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-13-11 Evaluation of the Impact of Teacher Induction Programs
(70 FR 35231-35233) June 17, 2005

18-13-11 SYSTEM NAME: Evaluation of the Impact of Teacher Induction Programs. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: (1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 500, Washington, DC 20208-0001. (2) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on teachers participating in the Evaluation of the Impact of Teacher Induction Programs. The goal of this evaluation is to evaluate the impact of a high intensity model of teacher induction on novice elementary school teachers' retention rates and classroom performance. Twenty high-poverty school districts will participate in the evaluation. Selected districts will be those that do not already offer a high intensity induction program and that agree to assign 20 elementary schools within the district by lottery to either the high intensity model of teacher induction or the teacher induction program that the district normally provides. Teachers' participation in the evaluation will be voluntary. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of a baseline teacher survey (which will cover the teacher's professional credentials, the teacher's perceptions of the teaching profession, and the teacher's personal background characteristics, many of which may affect retention), the teacher's college SAT or ACT examination results, a classroom observation protocol, a teacher induction activities survey (which will ask questions about the kinds of induction activities in which the novice teacher participated, as well as the intensity and duration of those activities), a teacher retention survey (items will include the teacher's place of employment, pursuit of continuing education, the timing of any change in the teacher's employment, the teacher's job satisfaction, and, if applicable, the reasons that the teacher left an original school or the teaching profession), and aggregated student test score data which will be linked to the teacher. Information on study participants in this system will include, but not be limited to the following data: Names; home addresses; home phone numbers; cell phone numbers; e-mail addresses; social security numbers; race/ethnicity; age; income; marital status; household composition; home ownership; educational background and credentials; and ACT or SAT college examination results. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The evaluation being conducted is authorized under: (1) sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563); and (2) section 9601 of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C. 7941). The authority for the underlying teacher induction programs, the impact of which the Department of Education (Department) is valuating, is sections 2121 through 2123 of the ESEA, as amended by NCLB (20 U.S.C. 6621-6623). PURPOSE(S): The information in this system is used for the following purposes: (1) To fulfill the requirements of the ESEA, as amended by the NCLB, for evaluation and research of teacher quality; and (2) To provide information on the effectiveness of teacher induction programs in

increasing teacher retention and improving teacher performance. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: The 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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by IES. (1) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (2) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. (3) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. 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. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The Department maintains records on CD-ROM and the contractor maintains data for this system on computers and in hard copy. RETRIEVABILITY: Records in this system are indexed by a number assigned to each individual that is cross referenced by the individual's name on a separate list. SAFEGUARDS: All physical access to the Department's site and to the site of the Department's contractor, where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a ``need to know'' basis, and controls individual users' ability to access and alter records within the system. The contractor, Mathematica Policy Research, Inc. (MPR), has established a set of procedures to ensure confidentiality of data. The system ensures that information identifying individuals is in files physically separated from other research data. MPR will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project

data include password-protected accounts that authorize users to use the MPR system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed. MPR shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573). RETENTION AND DISPOSAL: Records are maintained and disposed of in accordance with the Department's Records Disposition Schedules (ED/RDS). In particular, the Department will follow the schedules outlined in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records) of ED/RDS. SYSTEM MANAGER AND ADDRESS: Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 500, Washington, DC 20208-0001. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURE: 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 regulations in 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: Information is obtained from surveys of teachers from schools participating in the Evaluation of the Impact of Teacher Induction Programs study. Information is also obtained from the teacher's college entrance exams, pursuant to the teacher's written consent, the workshop observation protocol, and the classroom observation protocol. Additionally, the study involves the collection of data from student records aggregated by classrooms and the collection of program documents, such as training agenda and materials, curriculum guides, and assessment tools, that will be supplied by two high-intensity induction program providers. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-13-12 Evaluation of the Impact of Supplemental Literacy Interventions in Freshman Academies (The Adolescent Literacy Project)
(70 FR 36575-36577) June 24, 2005

18-13-12 SYSTEM NAME: Evaluation of the Impact of Supplemental Literacy Interventions in Freshman Academies (The Adolescent Literacy Project). SECURITY CLASSIFICATION: None. SYSTEM LOCATION: (1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208. (3) MDRC, 16 East 34th Street, New York, NY 10016. (4) American Institutes for Research, 1000 Thomas Jefferson Street, NW., Washington, DC 20007. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on adolescents, teachers, and project staff participating in the literacy interventions in the Adolescent Literacy Project. The goal of this study is to establish and evaluate the effects of two supplemental literacy programs for students who enter ninth grade with reading skills well below grade level. A distinctive aspect of this project is that the schools mounting the literacy programs will be ones that already operate Smaller Learning Communities (SLCs) that address the transition freshman students are making into high school, sometimes referred to as ``Freshman Academies.'' Freshman Academies should provide a more supportive environment within which the supplemental literacy interventions can be implemented and sustained for this study. CATEGORIES OF RECORDS IN THE SYSTEM: This system consists of information about two cohorts of approximately 3,200 high school freshmen each, one in the 2005-2006 school year and the other in the 2006-2007 school year, in SLC in eight to twelve school districts yet to be determined. Half of these students will be participants in supplemental literacy program, and half will be in a control group. The system will include these students' names, addresses, demographic information such as race/ethnicity, age, gender, and educational background, their results on literacy assessments, some of their school records data such as attendance, state test results, course performance, and classes taken, and their attitude toward reading and their reading and writing activities during the school year. The system will also include responses to survey and interview questions from teachers of these students, and possibly other school staff working with the literacy classes. These surveys and interviews will request information about the teachers' backgrounds, professional experience, and training, as well as their observations and impressions of the supplemental literacy interventions. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The evaluation being conducted is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563). The SLC program is authorized under Title V, Part D, Subpart 4 of the Elementary and Secondary Education Act of 1965 (ESEA) (20 U.S.C. 7249), as amended by the No Child Left Behind Act of 2001 (Pub. L. 107-110). PURPOSE(S): The information in this system is used for the following purpose: To study promising organizational and instructional strategies that will be used in the SLC program, as authorized by the ESEA, as amended. In particular, this system is necessary to provide information for

analyses of the effectiveness of specific literacy interventions for ninth graders that will be used in SLCs. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The 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. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by IES. (1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. 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. (2) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (3) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher shall be required to maintain Privacy Act safeguards with respect to the disclosed records. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The Department maintains records on CD-ROM, and the contractor and subcontractor maintain data for this system on computers and in hard copy. RETRIEVABILITY: Records in this system are indexed by a number assigned to each individual that is cross referenced by the individual's name on a separate list. SAFEGUARDS: All physical access to the Department's site and to the sites of the Department's contractor and subcontractor, where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to department and contract staff on a ``need to know'' basis, and controls individual users'' ability to access and alter records within the system. The contractor, MDRC, and its subcontractor, AIR, have established similar sets of procedures at their sites to ensure confidentiality of data. Their systems ensure that information identifying individuals is in files physically separated from other research data. They will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. At each site all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected

accounts that authorize users to use the MDRC or AIR system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services and additional security features that the network administrators establish for projects as needed. The contractor and subcontractor employees who ``maintain'' (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573). RETENTION AND DISPOSAL: Records are maintained and disposed of in accordance with the Department's Records Disposition Schedules, Part 3, Items 2b and 5a. SYSTEM MANAGER AND ADDRESS: Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of 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, including proof of identity. RECORD SOURCE CATEGORIES: This system consists of information about two cohorts of approximately 3,200 high school freshmen each in SLCs in eight to twelve school districts yet to be determined. The system will include information taken directly from the students. It will also include information from the students' education records, such as attendance, State test results, course performance, and classes taken. The system will also include responses to survey and interview questions from teachers of these students, and possibly other school staff working with the literacy classes. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-13-13 Impact Evaluation of Academic Instruction For After-School Programs
(70 FR 35656-35659) June 21, 2005

18-13-13 SYSTEM NAME: Impact Evaluation of Academic Instruction For After-School Programs. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: (1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208. (2) MDRC, 16 East 34th Street, New York, NY 10016. (3) Private/Public Ventures (P/PV), 2000 Market Street, Suite 600, Philadelphia, PA 19103. (4) Survey Research Management, 1495 Yarmouth Avenue, Suite A, Boulder, Colorado 80304. The impact evaluation is being conducted by MDRC in collaboration with the Bloom Associates, P/PV, and Survey Research Management. Bloom Associates will not maintain records from this system of records. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The system will contain information about approximately 4,000 elementary school students and their teachers (approximately 600 teachers--12 teachers in each of the studied centers) in 40 to 50 after-school centers in 20 to 25 school districts yet to be determined. One quarter of these students will be participants using a mathematics curriculum, one quarter will be participants using a reading curriculum, and half will be in a control group. Participation in the study is voluntary. The goal of this study is to establish and evaluate the effects of two supplemental academic programs (a reading program developed by Success For All and a mathematics program developed by Harcourt Publishers) for students with reading and math skills below grade level who participate in after-school programs. Study sites will include, but not be limited to, after-school programs funded by the 21st Century Community Learning Centers program. CATEGORIES OF RECORDS IN THE SYSTEM: The system will include the students' names, demographic information such as race/ethnicity, age, gender, and educational background, their results on standardized achievement tests, and some of their school records data, such as attendance and academic history. The system will also include responses to survey questions from the students and from the teachers of these students. These surveys will request information about the teachers' backgrounds, professional experience, and training, as well as information about the academic interventions. The student surveys will request information about the students' participation in after-school activities and other supplemental reading and mathematics activities. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The evaluation being conducted is authorized under: (1) Sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563); and (2) section 4202(a)(2) of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001 (NCLB) (20 U.S.C. 7172(a)(2)). PURPOSE(S): The information in this system will be used for the following purpose: to test innovative instructional strategies to be implemented in the after-school programs selected for the study. In particular, this system is necessary to provide information for analyses of the effectiveness of

specific reading and mathematics interventions on elementary school students who participate in after-school programs. 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 Privacy Act, under a computer matching agreement. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by IES. (1) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. 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. (2) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department requires the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (3) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher must maintain Privacy Act safeguards with respect to the disclosed records. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The Department maintains records on CD-ROM, and the contractor and subcontractors maintain data for this system on computers and in hard copy. RETRIEVABILITY: Records in this system are indexed by a number assigned to each individual that is crossreferenced by the individual's name on a separate list. SAFEGUARDS: All physical access to the Department's site and to the sites of the Department's contractor and subcontractors, where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer system permits data access to Department and contract staff only on a ``need-to-know'' basis and controls individual users'' ability to access and alter records within the system. The contractor, MDRC, and its subcontractors, P/PV, and Survey Research Management, have established similar sets of procedures at their sites to ensure confidentiality of data. Their systems ensure that information identifying individuals is in files physically separated from other research data. They will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. At each site all data will be kept in locked

file cabinets during nonworking hours, and work on hard-copy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the MDRC, P/PV, or Survey Research Management system only to access specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; email passwords that authorize the user to access mail services; and additional security features that the network administrators establish for projects as needed. The contractor and subcontractor employees who maintain (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573). RETENTION AND DISPOSAL: Records are maintained and disposed of in accordance with the Department of Education's Records Disposition Schedules, Part 3, Items 2b and 5a. SYSTEM MANAGER AND ADDRESS: Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of 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 regulations at 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: The system will include information obtained from the students, including names, demographic information such as race/ethnicity, age, gender, and educational background, and their results on standardized achievement tests. The system will also include responses to survey questions from the students and from the teachers of these students. These surveys will request information about the teachers' backgrounds, professional experience, and training, as well as information about the academic interventions. The student surveys will request information about the students' participation in after-school activities and other supplemental reading and math activities. This system also consists of information obtained from the student's school, such as data about the student's attendance and academic history. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-13-14 Impact Evaluation of the U.S. Department of Education's Student Mentoring Program
(71 FR 28021-28023) May 15, 2006

18-13-14 SYSTEM NAME: Impact Evaluation of the U.S. Department of Education's Student Mentoring Program. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: (1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001. (2) Abt Associates, Inc., 55 Wheeler Street, Cambridge, MA 02138. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on students who obtain mentoring services through mentoring programs funded by the Department of Education and who are participating in the Impact Evaluation of the U.S. Department of Education's Student Mentoring Program. The purpose of the impact evaluation is to determine the effectiveness of the Department's student mentoring program using a rigorous research design. The study sample consists of approximately 1,400 students at 30 of the mentoring programs funded by the Department. Approximately half of these students will be paired with a mentor and the other half of the students will not be paired with a mentor. Data will also be collected from these students' mentors. Participation of students and their mentors in the evaluation is voluntary. CATEGORIES OF RECORDS IN THE SYSTEM: The system will include the students' names, demographic information, such as date of birth and race/ethnicity, as well as self-reported attitudes about school, delinquent behaviors, personal responsibility, and the quality of their relationships with peers and adults. The system will also include information gathered from school records (e.g., grades, standardized test scores, and disciplinary actions taken by the school). The system will include mentors' demographic information, their self-reported experiences with the training and support provided by the mentoring program, and activities in which mentors and students are engaged. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The evaluation being conducted is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563) and Title IV, Part A, sections 4121(a)(2) and 4130 of the Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act of 2001 (ESEA) (20 U.S.C. 7131(a)(2) and 7140). PURPOSE(S): The information in this system will be used for the following purposes: (1) to support an impact evaluation of the Department's student mentoring program as requested by the Office of Management and Budget (OMB); and (2) to provide information for improvement of the Department's student mentoring program. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES: The 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 Privacy Act, under a computer matching agreement. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for

confidentiality standards that apply to all collections, reporting and publication of data by the Institute of Education Sciences. (1) Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. (2) Research Disclosure. The Department may disclose records to a researcher if an appropriate official of the Department determines that the individual or organization to which the disclosure would be made is qualified to carry out specific research related to functions or purposes of this system of records. The official may disclose records from this system of records to that researcher solely for the purpose of carrying out that research related to the functions or purposes of this system of records. The researcher must maintain Privacy Act safeguards with respect to the disclosed records. (4) Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the U.S. Department of Justice and OMB if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The Department maintains records on CD-ROM, and the contractor maintains data for this system on computers and in hard copy. RETRIEVABILITY: Records in this system are indexed by a number assigned to each student that is cross referenced by the student's name on a separate list. After students are randomly assigned to the treatment (mentoring) group, a list of those students will be sent to each mentoring program participating in the study, asking for the name of the mentor for each student, along with the contact information for each mentor. This information is entered into a Microsoft Access data base for purposes of tracking. In addition, on the survey form sent out to mentors in the spring, mentors will be asked to update their contact information if necessary. SAFEGUARDS: All physical access to the Department's site, and the site of the Department's contractor where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer system permits data access to Department and contract staff only on a ``need to know'' basis, and controls individual users ability to access and alter records within the system. The contractor, Abt Associates, Inc. (Abt), has established a set of procedures to ensure confidentiality of data. Abt's system ensures that information identifying individuals is in files physically separated from other research data. Abt will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours and work on hardcopy data will take place in a single room except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: password-protected accounts that authorize users to use the Abt system but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed. The contractor

employees who maintain (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573). RETENTION AND DISPOSAL: Records are maintained and disposed of in accordance with the Department's Records Disposition Schedules in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records). SYSTEM MANAGER AND ADDRESS: Ricky Takai, Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0001. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 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 regulations in 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: The system will include the students' names, demographic information, such as date of birth and race/ethnicity, as well as self-reported attitudes about school, delinquent behaviors, personal responsibility, and the quality of their relationships with peers and adults. The system will also include information gathered from school records (e.g., grades, standardized test scores, and disciplinary actions taken by the school). The system will also include mentors' demographic information, their self-reported experiences with the training and support provided by the mentoring program, and activities in which mentors and students are engaged. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-13-15

Impact Evaluation of a School-based Violence Prevention Program
(71 FR 57930-57932) October 2, 2006

18-13-15 SYSTEM NAME: Impact Evaluation of a School-based Violence Prevention Program.

SECURITY CLASSIFICATION: None. SYSTEM LOCATION: (1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208-0001. (2) RTI International, 3040 Cornwallis Road, Research Triangle Park, NC 12194. (3) Tanglewood Research, Inc., 7017 Albert Pick Road, Suite D, Greensboro, NC 27409. (4) Pacific Institute for Research and Evaluation (PIRE), 1516 Franklin Street, Chapel Hill, NC 27514. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on students, school teachers, and other school staff members who are participating in the Impact Evaluation of a School-based Violence Prevention Program. The purpose of the impact evaluation is to determine the effectiveness of a violence prevention program for middle schools using a rigorous research design. Currently, there is lack of rigorous research concerning school-based violence prevention in middle schools. Through an open competition with advisement from a panel of experts in the field of violence prevention, the Department's contractor, RTI, selected two violence prevention interventions and combined them into a single program for the purpose of this evaluation. The program has the following two components: (1) A curriculum-based model to facilitate students' social competency, problem solving, and self-control skills, and (2) a whole-school model that targets school practices and policies usually through classroom management or teaching strategies, or through systemic reorganization and modification of school management, disciplinary policies, and enforcement procedures. The RiPP intervention will provide the curriculum-based component of the program and the Best Behavior intervention will provide the whole-school component of the program. The study sample consists of approximately 20,000 students and approximately 3,000 teachers and other school staff members drawn from approximately 40 middle schools over 3 years. Participation of students, teachers, and other school staff members in the evaluation is voluntary. CATEGORIES OF RECORDS IN THE SYSTEM: The system includes students' names, demographic information (such as date of birth and race/ethnicity), self-reported attitudes about violence and feelings of safety, self-reported victimization, and self-reported violent and delinquent behaviors. The system also will include information from school records such as records of students' attendance, suspensions, expulsions, and school policy violations. The system also will include teachers' and other staff members' self-reported victimization at school as well as their experiences with training and technical assistance related to their schools' violence prevention efforts. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The evaluation being conducted is authorized under sections 4111(a)(2)(A) and 4122(a) of the Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act of 2001 (ESEA) (20 U.S.C. 7111(a)(2)(A) and 7132(a)), which limits the amount of funds available for program evaluation to $2,000,000 during each fiscal year. Implementation of the violence prevention program being evaluated is authorized under section 4121(a)(2) of the ESEA (20 U.S.C. 7131(a)(2)). The evaluation is also authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563). PURPOSE(S): The information in this system will be used for the following purposes: (1) To support an impact evaluation of a violence prevention program for middle schools; and (2) (2) to provide information for improvement of programs within the Department's Office of Safe and Drug-free Schools. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSE OF SUCH USES: The 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 Privacy Act, under a computer matching agreement. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by the Institute of Education Sciences (IES). Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The Department maintains records on CD-ROM, and the contractor and subcontractors maintain data for this system on computers and in hard copy. RETRIEVABILITY: Records in this system are indexed by a number assigned to each student, each teacher or other school staff member that is cross-referenced by the individual's name on a separate list. A list of names of the students whose parents have consented to their participation in the impact evaluation, as well as a list of names of participating teachers and other school staff members will be entered into a Microsoft Access database for purposes of tracking over the three years of the study. SAFEGUARDS: All physical access to the Department's site, and the site of the Department's contractor and subcontractors where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This computer system permits data access to Department and contract staff only on a ``need to know'' basis, and controls individual users' ability to access and alter records within the system. The Department's contractor, RTI, and its subcontractors, Tanglewood and PIRE, have established a set of procedures to ensure confidentiality of data. The systems of RTI, Tanglewood, and PIRE ensure that information identifying individuals is in files physically separated from other research data. RTI and its subcontractors will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. All data will be kept in locked file cabinets during nonworking hours and work on hardcopy data will take place in a single room except for data entry. Physical security of electronic data also will be maintained. Security features that protect project data include: Password-protected accounts that authorize users to use the system of records but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrator establishes for projects as needed. The contractor and subcontractor employees who maintain (collect, maintain, use, or disseminate) data in this system must comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573).

RETENTION AND DISPOSAL: Records are maintained and disposed of in accordance with the Department’s Records disposition Schedules in Part 3 (Research Projects and Management Study Records) and Part 14 (Electronic Records). SYSTEM MANAGER AND ADDRESS: Ricky Takai, Associate Commissioner, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 502D, Washington, DC 20208-0001. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations in 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 regulations in 34 CFR 5b.7, including proof of identity. RECORD SOURCE CATEGORIES: The system includes students’ names, demographic information (such as date of birth and race/ethnicity), self-reported attitudes about violence and feelings of safety, self-reported victimization, and self-reported violent and delinquent behaviors. The system also will include information from school records such as records of students’ attendance, suspensions, expulsions, and school policy violations. The system also will include teachers’ and other school staff members’ self-reported victimization at school as well as their experiences with training and technical assistance related to the violence prevention program. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-13-16 Impact Evaluation of Mandatory-Random Student Drug Testing
(72 FR 15129-15131) March 30, 2007

18-13-16 SYSTEM NAME: Impact Evaluation of Mandatory-Random Student Drug Testing. SECURITY CLASSIFICATION: None.

SYSTEM LOCATION: (1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208. (2) RMC Research Corporation, 111 SW Columbia Street, Suite 1200, Portland, OR 97201. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on high school students attending a high school in school districts that receive grants for School-Based Student Drug-Testing Programs. The goal of this study is to determine if students in high schools with mandatory-random drug testing policies report less use of tobacco, alcohol, and illicit substances compared to comparable students in high schools without mandatory-random student drug testing policies. CATEGORIES OF RECORDS IN THE SYSTEM: The system will contain information about two cohorts of approximately 200 high school students each of (i) 26 high schools operating the mandatory-random drug testing program, and (ii) 26 high schools that will not operate the program but that will serve as control high schools for this evaluation. The total number of high school students included in this system of records will be approximately 10,400 for each of school years 2006-07 and 2007-08. The 52 participating high schools will be from school districts that are recipients of the grants for School-Based Student Drug-Testing Programs that were announced in September, 2006 by OSDFS. The system of records will include information about the high school students participating in the evaluation, including the students' names; addresses; demographic information such as race/ethnicity, gender, age, educational background; and attitudes and beliefs concerning substance use, and substance use itself. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The evaluation being conducted is authorized under sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA) (20 U.S.C. 9561(b) and 9563). The grants for School-Based Student Drug-Testing Programs are authorized under section 4121 of the Elementary and Secondary Education Act of 1965, as amended (20 U.S.C. 7131). PURPOSE(S): The information in this system is used for the following purposes: To study the impact of mandatory-random drug testing policies in high schools and to determine if mandatory-random drug testing policies result in less reported use of tobacco, alcohol, and illicit substances among a group of students in participating high schools compared to a comparable group of students in high schools that do not operate a mandatory-random drug testing program. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The 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 Privacy Act, under a computer matching agreement. Any disclosure of individually identifiable information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting, and publication of data by IES. Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The Department maintains records on CD-ROM, and the contractor and subcontractor maintain data for this system on computers and in hard copy. RETRIEVABILITY: Records in this system are indexed by a number assigned to each individual that is cross referenced by the individual's name on a separate list. SAFEGUARDS: All physical access to the Department's site and to the sites of the Department's contractor and subcontractor, where this system of records is maintained, is controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to department and contract staff on a ``need to know'' basis, and controls individual users' ability to access and alter records within the system. The contractor and subcontractor will establish similar sets of procedures at their sites to ensure confidentiality of data. Their systems are required to ensure that information identifying individuals is in files physically separated from other research data. The contractor and subcontractor will maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. At each site all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include: password-protected accounts that authorize users to use the contractor's and subcontractor's systems but to access only specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; e-mail passwords that authorize the user to access mail services; and additional security features that the network administrators will establish for projects as needed. The contractor and subcontractor employees who ``maintain'' (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573). RETENTION AND DISPOSAL: Records are maintained and disposed of in accordance with the Department's Records disposition Schedules (Section Ed/RDS, Part 3, Item 2b and Part 3, Item 5a). SYSTEM MANAGER AND ADDRESS: Director, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURE: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity. CONTESTING RECORD PROCEDURE: 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, including proof of identity. RECORD SOURCE CATEGORIES: The system will contain information about two cohorts of approximately 200 high school students each of (i) 26 high schools operating the mandatory-random drug testing program and (ii) 26 high schools that will not operate the program but that will serve as control high schools

for this evaluation. The total number of high school students included in this system of records will be approximately 10,400 in each of school years 2006-07 and 2007-08. The 52 participating high schools will be from school districts that are recipients of the grants for School-Based Student Drug-Testing Programs that were announced in 2006 by OSDFS. The system of records will include information about the high school students participating in the evaluation including the students' names; addresses; demographic information such as race/ethnicity, gender, age, and educational background; and attitudes and beliefs concerning substance use, and substance use itself. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-13-17 Impact Evaluation of Upward Bound's Increased Focus on Higher-Risk Students
(FR 72 33213-33215) June 15, 2007

18-13-17 SYSTEM NAME: Impact Evaluation of Upward Bound's Increased Focus on Higher-Risk Students. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: (1) Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences (IES), U.S. Department of Education, 555 New Jersey Avenue, NW., room 500J, Washington, DC 20208-0002. (2) Abt Associates, Inc., 55 Wheeler Street, Cambridge, MA 02138-1168, and 4550 Montgomery Avenue, Suite 800 North, Bethesda, MD 20814-3343. (3) The Urban Institute, 2100 M Street, NW., Washington, DC 20037-1264. (4) Berkeley Policy Associates, 440 Grand Avenue, Suite 500, Oakland, CA 94610-5012. Categories Of Individuals Covered By The System: The system will contain information about approximately 3,600 students applying for admission at approximately 90 Upward Bound grantees for the 2007-2008 academic year, of which approximately 1,800 will have been offered admission to Upward Bound and 1,800 will serve as a control group for the purposes of this evaluation. These students will be in either 9th or 10th grade during the 2007-2008 academic year. The Upward Bound grantees included in the evaluation will be a sample of all Upward Bound grantees. CATEGORIES OF RECORDS IN THE SYSTEM: The system of records will include information about sampled students, including their names, addresses, demographic information such as race/ethnicity, gender, age, and educational background, attitudes toward school, and educational aspirations. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: This evaluation is authorized under: (1) Section 402H of the Higher Education Act of 1965, as amended (HEA), 20 U.S.C. 1070a-18; and (2) sections 171(b) and 173 of the Education Sciences Reform Act of 2002 (ESRA), 20 U.S.C. 9561(b) and 9563. Section 402H of the HEA explicitly authorizes the Secretary of Education to enter into contracts with organizations to evaluate the effectiveness of Upward Bound and other Federal TRIO programs. PURPOSE(S): The information in this system is used for the following purpose: To study, as authorized by section 402H of the Higher Education Act of 1965, as amended (HEA), 20 U.S.C. 1070a-18, the impacts of Upward Bound on eligible students' preparation for, and success in, postsecondary education. In particular, this system is necessary to provide information for analyses of the impacts of the Upward Bound programs on higher-risk students as well as on other eligible students. The system is also needed for analyses of variations in impacts on students according to the characteristics of Upward Bound projects and control group students' access to, and receipt of, services similar to those offered through Upward Bound. 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 use 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 Privacy Act of 1974, as amended (Privacy Act), under a computer matching agreement. Any disclosure of individually identifiable

information from a record in this system must also comply with the requirements of section 183 of the ESRA (20 U.S.C. 9573) providing for confidentiality standards that apply to all collections, reporting and publication of data by IES. Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system. DISCLOSURE TO CONSUMER REPORTING AGENCIES: Not applicable to this system notice. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: The Department maintains records on CD-ROM, and the contractor and subcontractors maintain data for this system on computers and in hard copy. RETRIEVABILITY: Records in this system are indexed by a number assigned to each individual that is cross referenced by the individual's name on a separate list. SAFEGUARDS: All physical access to the Department's site, to the sites of the Department's contractor, and to the sites of the subcontractors where this system of records is maintained, will be controlled and monitored by security personnel. The computer system employed by the Department offers a high degree of resistance to tampering and circumvention. This security system limits data access to Department and contract staff on a ``need to know'' basis, and controls individual users' ability to access and alter records within the system. The contractor selected for this evaluation has been required to establish similar sets of procedures at its sites and at subcontractor sites to ensure confidentiality of data. Their systems will be required to provide reasonable assurance that information identifying individuals is in files physically separated from other research data. The contractor and subcontractors are required to maintain security of the complete set of all master data files and documentation. Access to individually identifiable data will be strictly controlled. At each site all data will be kept in locked file cabinets during nonworking hours, and work on hardcopy data will take place in a single room, except for data entry. Physical security of electronic data will also be maintained. Security features that protect project data include password-protected accounts that authorize users to use the contractor's and subcontractors' information systems but only to access specific network directories and network software; user rights and directory and file attributes that limit those who can use particular directories and files and determine how they can use them; and, additional security features that the network administrators establish for projects as needed. The contractor and subcontractor employees who ``maintain'' (collect, maintain, use, or disseminate) data in this system shall comply with the requirements of the confidentiality standards in section 183 of the ESRA (20 U.S.C. 9573). In safeguarding personally identifiable information (PII), the contractor and its subcontractors also are subject to the Department's requirements contained in the Department of Education's Handbook for the Protection of Sensitive But Unclassified Information, OCIO-15, and the Department's policy that the transmission of sensitive but unclassified information, including PII, through an e-mail requires that the contents be password protected in a ZIP file. RETENTION AND DISPOSAL: Records are maintained and disposed of in accordance with the Department's Records Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Item 5a). SYSTEM MANAGER AND ADDRESS:

Director, Evaluation Division, National Center for Education Evaluation and Regional Assistance, Institute of Education Sciences, U.S. Department of Education, 555 New Jersey Avenue, NW., room 502D, Washington, DC 20208-0002. NOTIFICATION PROCEDURE: If you wish to determine whether a record exists regarding you in the system of records, contact the systems manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including proof of identity. RECORD ACCESS PROCEDURES: If you wish to gain access to your record in the system of records, contact the system manager. Your request must meet the requirements of 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, including proof of identity. RECORD SOURCE CATEGORIES: This system will consist of records obtained on eligible students applying to Upward Bound projects at approximately 90 host institutions. The records will consist of parental consent and student consent forms, responses from a baseline survey of students, and information provided by Upward Bound projects on each student. At a later point in time, school records (from school, district, or state databases) and College Board and ACT records will be merged onto the system of records, as will responses from a survey of Upward Bound project coordinators and a follow-up survey of the students. Records in this system of records will be matched with other data solely for research purposes, to study the impacts of Upward Bound on students' preparation for college. The specific matched data will NOT be used to make decisions concerning the rights, benefits, or privileges of the students who participate in this study. After students turn 18 and give their own consent to participate in the study, additional data merges from Federal Student Aid files, National Student Clearing House data, school records, College Board and ACT records, and additional follow-up surveys of students may occur, again solely for research purposes, to study the impacts of Upward Bound on students' postsecondary outcomes. The individual identifiers that would be used to merge the different sources of data would be removed from the data files before the files are used for data analysis. EXEMPTIONS CLAIMED FOR THE SYSTEM: None.

18-14-01 Educationally Disadvantaged Students Attending Private Schools Served Through Bypass Contracts
(64 FR 30186-30188)

18-14-01 June 4, 1999 SYSTEM NAME: Educationally Disadvantaged Students Attending Private Schools Served Through Bypass Contracts. SECURITY CLASSIFICATION: None. SYSTEM LOCATION: Contractor serving the State of Virginia: Nonpublic Educational Services, Inc., 14416 Jefferson Davis Highway, Suite 11, Woodbridge, VA 22191. Contractor serving the State of Missouri: Blue Hills Homes Corporation, 1020 East 63rd Street, Kansas City, MO 64110. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: This system contains records on selected elementary and secondary school students whom: (1) Attend private schools; (2) Reside in target areas of bypassed local educational agencies; and (3) Participate in the program for students who are failing or most at risk of failing under Title I of the Elementary and Secondary Education Act of 1965 as amended. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains student documents such as test scores, report cards, individual instructional records and reports from teachers to other teachers and parents. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Elementary and Secondary Education Act of 1965 1120(d), 20 U.S.C. 6321. PURPOSE(S): The information contained in this system is used for a variety of purposes. The standardized test scores obtained at the beginning of a year are used to determine the eligibility of students for participation in the Title I program. The report cards and reports of Title I teachers to regular classroom teachers and to parents are used to report the progress students are making during the school year. The scores on the achievement tests given at the end of a school year are used to measure the progress students have made during the y