Description: Tags: Issuances

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
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
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
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
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
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.
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.
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.
This system contains information on Department of Education (Department) senior
management officials, including the Secretary, Deputy Secretary, Under Secretary, General
Counsel, and Assistant Secretaries.
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.
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.
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.
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.
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.
Deputy Director, Office of Public Affairs (OPA), U.S. Department of Education, 400
Maryland Avenue, SW., 7E200, Washington, DC 20202.
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.
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.
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.
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.
None.
18-03-01 Debarment and Suspension Proceedings under Executive Order (E.O.) 12549, the
Drug-Free Workplace Act, and the Federal Acquisition Regulation.
(64 FR 30112-30114)
18-03-01 June 4, 1999
SYSTEM NAME:
Debarment and Suspension Proceedings under Executive Order (E.O.) 12549, the Drug-
Free Workplace Act, and the Federal Acquisition Regulation.
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.
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.
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.
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.
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
(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
(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
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.
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.
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).
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.
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.
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.
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.
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).
None.
SYSTEM LOCATION:
Recipient System (RS), Payment Management Service & Reporting Unit, Financial
Payments & Cash Management Operations, Office of the Chief Financial Officer, U.S.
Financial Management Software System (FMSS), General Ledger Systems Group,
Financial Reporting and Systems Operations, Office of the Chief Financial Officer, U.S.
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 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).
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.
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.
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
(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
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
Department has agreed to represent the employee; or
(iv) The United States where the Department determines that litigation is likely to affect
(b) FOIA advice of disclosure. In the event the Department deems it desirable or
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
violation or any applicable statute, regulation, or order of a competent authority, the relevant
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
(e) Congressional member disclosure. The Department may disclose records to a
Disclosures pursuant to 5 U.S.C. 552(a)(b)(12): The Department may disclose to a
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).
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.
Files are regularly updated. Records are maintained for ten years. Inactive records are
purged from the automated file every five years.
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.
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.
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.
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.
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.
None.
18-03-03 Receivables Management System
(64 FR 30116-30118)
18-03-03 June 4, 1999
SYSTEM NAME:
Receivables Management System.
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 53005-
6011.
CSC Credit Services, Inc., 7909 Parkwood Circle, Suite 200, Houston, TX 77036-6565.
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.
Documents maintained in the system include: activity logs, copies of checks, contracts,
court orders, letters of notice, promissory notes, telephone logs, and related correspondence.
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.
record was collected. Disclosures under the following routine uses may be made on a case-by-
case 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
(i) The Department, or any component of the Department;
(ii) Any Department employee in his or her official capacity;
Department of Justice (DOJ) has agreed to provide or arrange for representation for the
employee;
has agreed to represent the employee; or
(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.
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
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
routine use to the counsel, representative or witness.
(5) Enforcement disclosure. In the event that information in this system of records
or prosecuting this violation or charged with enforcing or implementing the statute, or executive
(6) Contract disclosure. If the Department contracts with an entity for the purpose of
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.
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.
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.
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.
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.
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.
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.
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
(64 FR 30118-30119)
18-03-04 June 4, 1999
SYSTEM NAME:
Files and Lists of Potential and Current Consultants, Grant Application Reviewers Peer
Reviewers, and Site Visitors.
None.
SYSTEM LOCATION:
See the Appendix attached to this system notice.
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.
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).
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.
OF USERS AND THE PURPOSES OF SUCH USES:
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
(2) Enforcement disclosure. In the event that information in this system of records
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.
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
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
(b) Disclosure to the DOJ. If The Department determines that disclosure of certain
(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
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.
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.
Records regarding an individual are destroyed 5 years after the last time the Department
makes use of the individual's services.
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.
Contact system manager of pertinent organizational component(s) and provide
identification information required under 34 CFR 5b.5.
Same as notification procedure above.
Information provided voluntarily by individuals interested in serving as consultants, field
readers, grant application reviewers, or site visitors.
None.
Additional System Managers and System Locations
Policy Coordinator Analyst, Office of Elementary and Secondary Education, U.S.
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
(67 FR 5908-5910)
18-03-05 February 7, 2002
SYSTEM NAME:
Travel Manager System.
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.
This system contains records on employees, former employees and other individuals
authorized to travel at government expense for the Department of Education (the Department).
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.
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.
(1) Contractor Disclosure. If the Department contracts with an entity for the purposes of
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
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.
(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
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
(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.
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.
made at the written request of that individual. The Member's right to the information is no
(CRA) Support. The Department may disclose records to OMB as necessary to fulfill CRA
requirements.
Disclosures pursuant to 5 U.S.C. 552a(b)(12): The Department may disclose to a
the claim; (2) the amount, status, and history of the claim; and (3) the program under which the
U.S.C. 552a(b)(12) and the procedures contained in subsection 31 U.S.C. 3711(e). A consumer
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.
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.
Deputy Chief Financial Officer, Office of the Chief Financial Officer, U.S. Department of
Education, 400 Maryland Avenue, SW., Washington, DC 20202
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.
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.
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.
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.
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.
This system contains correspondence and other documents related to requests made by
individuals pursuant to the Freedom of Information Act and the Privacy Act.
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.
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.
investigative, or prosecutive responsibility within the receiving entity's jurisdiction.
charged with enforcing or implementing the statute, executive order, rule, regulation, or order
(i) The Department, or any component of the Department; or
(c) Administrative Disclosures. If the Department determines that disclosure of certain
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.
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.
matter.
the Department: complaint, grievance, discipline or competence determination proceedings. The
disclosure may only be made during the course of the proceeding.
(9) Contract Disclosure. If the Department contracts with an entity for the purposes of
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.
Not applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND
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.
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.
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.
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.
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.
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.
Information in this system of records is obtained from the individual to whom the
information applies, officials of the Department, and official Department documents.
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.
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,
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
(64 FR 72387-72389)
18-04-02 December 27, 1999
SYSTEM NAME:
Freedom of Information Act and Privacy Act Tracking System.
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.
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.
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.
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.
ADR, or has an interest in litigation ADR, the Department may disclose certain records to the
matter.
Not applicable.
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.
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.
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)
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.
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.
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.
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.
Information in this system of records is obtained from the individual who submitted the
request, officials of the Department, and official Department documents.
None.
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,
Office of the Under Secretary, U.S. Department of Education, 400 Maryland Avenue,
Office of Postsecondary Education, U.S. Department of Education, Seventh and D
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.
SW, room 6C142, Washington, DC 20202.
Office of Management, U.S. Department of Education, 400 Maryland Avenue, SW, room 2W211,
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
Office of Public Affairs, U.S. Department of Education, 400 Maryland Avenue, SW, room
Office of Student Financial Assistance, U.S. Department of Education, Seventh and D
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
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,
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.
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.
All users of the U.S. Department of Education web site (www.ed.gov) who choose to
personalize the web site.
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).
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.
Department has complied with the computer matching requirements of the Act, under a
records to the Department of Justice (DOJ) and the Office of Management and Budget if the
(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.
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.
(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.
(c) Administrative disclosures. If the Department determines that disclosure of certain
(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.
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.
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.
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.
If you wish to gain access to a record in this system, follow the directions described in
the Notification Procedure.
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.
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.
None.
18-05-01 Departmental Parking Control Policy
(64 FR 30122-30123)
18-05-01 June 4, 1999
SYSTEM NAME:
Departmental Parking Control Policy.
None.
SYSTEM LOCATION:
Director, Quality Workplace Group, Office of Management, U.S. Department of
All Department employees and non-Department carpool members utilizing parking
facilities.
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.
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 Department-
controlled 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.
(1) Congressional Member Disclosure. The Department may disclosure records to a
(2) Litigation and Alternative Dispute Resolution (ADR)
Disclosure.
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
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
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.
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.
Director, Quality Work Group (QWG), Office of Management, U.S. Department of
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.
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,
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
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.
None.
18-05-02 Family Educational Rights and Privacy Act (FERPA) and the Protection of Pupil
Rights Amendment (PPRA) Record Systems
(64 FR 30123-30124)
18-05-02 June 4, 1999
SYSTEM NAME:
Family Educational Rights and Privacy Act (FERPA) and the Protection of Pupil Rights
Amendment (PPRA) Record Systems.
None.
SYSTEM LOCATION:
Family Policy Compliance Office, Office of Management, U.S. Department of Education,
Room 2W100, Washington, DC 20202-4506.
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.
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.
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.
(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 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.
disclose information to any Federal, State, local or foreign agency or other public authority
FERPA or PPRA investigations or other enforcement responsibilities under FERPA or PPRA;
Disclosures.
or ADR, or has an interest in litigation ADR, the Department may disclose certain records to the
Not applicable to this system of records.
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.
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.
Director, Family Policy Compliance Office, U.S. Department of Education, 400 Maryland
Avenue, SW., Room 2W100, Washington, DC 20202-4056.
contact the system manager. Your request must meet the requirements of the regulations at 34
system manager. Your request must meet the requirements of the regulations at 34 CFR 5b.5,
CFR 5b.7.
The information in this system is obtained from incoming correspondence, responses
and material obtained during the course of any investigation.
None.
18-05-03 Federal Personnel Payroll System
(64 FR 72389-72391)
18-05-03 December 27, 1999
SYSTEM NAME:
Federal Personnel Payroll System
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
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.
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.
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.
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
The Department, or any component of the Department; or
obtain information relevant to an a Department decision concerning the hiring or retention of an
matter.
the Department: Complaint, grievance, discipline or competence determination proceedings.
authorized by law.
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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING,RETAINING, AND
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.
contract staff on a "need to know" basis, and controls individual users' ability to access and alter
user defined password. All interactions by individual users with the system are recorded.
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.
Director, Human Resources Systems, Human Resources Group, Office of Management,
Department of Education, 400 Maryland Ave., SW, Room 2E108, Washington, DC 20202.
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.
executive officer in your office. Your request must meet the requirements of the Department's
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.
Information in this system of records is obtained from individual employees, timekeepers
and supervisors.
None.
18-05-04 Discrimination Complaints Records System
(64 FR 30124-30125)
18-05-04 June 4, 1999
SYSTEM NAME:
Discrimination Complaints Records System.
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.
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.
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.
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.
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
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.
(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:
directly affect the Department or any of its components.
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.
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.
Director, Equal Employment Opportunity Group, Office of Management, U.S.
Department of Education, 400 Maryland Avenue, SW., Washington, DC 20202-4550.
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.
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.
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
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.
None.
18-05-05 Grievances Filed Formally Under the Administrative Grievance Procedure
(64 FR 30125-30127)
18-05-05 June 4, 1999
SYSTEM NAME:
Grievances Filed Formally Under the Administrative Grievance Procedure.
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.
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.
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.
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.
Any Department employee in his or her official capacity; or
matter.
authorized by law.
requirements.
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.
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).
Director, Human Resources Group, Office of Management, U.S. Department of
See the Appendix at the end of this system notice for additional system managers.
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,
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
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.
None.
Appendix to 18-05-05 Additional System Locations and System Managers

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.
None.
SYSTEM LOCATION:
Labor Relations Group, Office of Management, U.S. Department of Education, 400
Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754.
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.
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.
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.
(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.
matter.
requirements.
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.
disputes is relevant and necessary to the administrative litigation, The Department may disclose
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.
Records are destroyed 5 years after final resolution of case.
Director, Labor Relations Group, Office of Management, U.S. Department of Education,
400 Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754.
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.
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.
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.
Information in this system of records is obtained directly from information supplied by the
individual; testimony of witnesses, union officials, or by Department officials.
None.
18-05-07 Unfair Labor Practice Records
(64 FR 30129-30130)
18-05-07 June 4, 1999
SYSTEM NAME:
Unfair Labor Practice Records.
None.
SYSTEM LOCATION:
Maryland Ave., SW., Room 2C136, Washington, DC 20202-4754.
This system contains records on present and past Department employees and union
officials.
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.
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.
None.
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.
According to the Records Retention Schedule of the NARA, records are maintained for 5
years.
Director, Labor Relations Group, U.S. Department of Education, 400 Maryland Ave.,
SW., Room 2C136, Washington, DC 20202-4754.
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
above address. Your request must meet the requirements of the regulations at 34 CFR 5b.5,
5b.7.
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.
None.
18-05-08 Official Time Records of Union Officials and Bargaining Unit Employees at the
Department of Education
(64 FR 30130-30131)
18-05-08 June 4, 1999
SYSTEM NAME:
Official Time Records of Union Officials and Bargaining Unit Employees at the
Department of Education.
None.
SYSTEM LOCATION:
Maryland Avenue, SW., Washington, DC 20202-4754. See the Appendix at the end of this
system notice for additional system locations.
This system contains records on current and former Department professional and
nonprofessional employees who are non-temporary, non-schedule C, non-supervisory and non-
managerial 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.
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.
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.
According to the National Archives and Records Administration's General Records
Schedules, records are maintained for 5 years.
Director, Labor Relations Group, Office of Management, U.S. Department of Education,
400 Maryland Avenue, SW., Room 2C136, Washington, DC 20202-4754.
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.
5b.7.
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.
None.
Employee Relations Team, Office of Management, U.S. Department of Education, 400

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
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.
None.
SYSTEM LOCATION:
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.
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.
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.
(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,
obtain information relevant to the Department decision concerning the hiring or retention of an
matter.
authorized by law.
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.
Records are retained for one year after the end of the year in which the file is closed and
are then destroyed.
component and/or individual against whom the grievance was filed. Your request must meet the
5b.7.
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).
None.
SYSTEM LOCATION:
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.
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.
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).
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, performance-
based 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.
investigative, or prosecute responsibility within the receiving entity's jurisdiction.
(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
(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.
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.
authorized by law.
requirements.
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.
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.
Education, 400 Maryland Avenue, SW., FB-6, Room 2E300, Washington, DC 20202-4737.
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.
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
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.
The information in this system comes from the Department's integrated
personnel/payroll system, the employees, supervisors, and evaluation team members.
None.
Appendix to 18-05-10 Additional System Locations and System Managers
Regional Personnel Officer, Human Resources Group, U.S. Department of Education,

111 N. Canal Street, Room 1084, Chicago, IL 60606.
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).
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.
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.
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.
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.
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
agreement.
matter.
the Department: complaint, grievance, discipline or competence determi-nation proceedings.
authorized by law.
requirements.
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.
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.
Training and Development Group Director, Training and Development Center, Office of
Management, U.S. Department of Education, 400 Maryland Avenue, SW., Room 2W210,
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.
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,
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.
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.
None.
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).
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.
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.
This system consists of IDR Center files.
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.
matter.
authorized by law.
requirements.
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.
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).
Director, Informal Dispute Resolution Center, U.S. Department of Education, 400
Maryland Avenue, SW., Suite 2100 A, L'Enfant Plaza, Washington, DC 20202.
contact the system manager. Your request must meet the requirements of the Act regulations at
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.
None.
18-05-13 Child Care Subsidy Program System
(65 FR 38266-38268)
18-05-13 June 20, 2000
SYSTEM NAME:
Child Care Subsidy Program System.
None.
SYSTEM LOCATION:
U.S. Department of Education, Office of Management, 400 Maryland Avenue, SW., room
2W200, Washington, DC 20202.
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.
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.
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.
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
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.
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
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
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.
requirements.
Not applicable.
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:
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.
Records of individual are destroyed after five years.
Lead Program Specialist, Family-Friendly Programs, Work/Life Programs Group, Office
of Management, 400 Maryland Avenue SW., room 2W200 Washington, DC 20202.
NOTIFICATION PROCEDURES:
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.
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
regulations at 34 CFR 5b.7, including proof of identity. You may present your request in person
manager at the address listed above.
Information is provided by Department employees who apply for a child care subsidy
and from the child care providers.
None.
18-05-14 Human Capital Learning and Performance Improvement System
(69 FR 19171-19176)
18-05-14 April 12, 2004
SYSTEM NAME:
Human Capital Learning and Performance Improvement System (HCL&PIS).
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 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:
• Learning Management System, and
• Knowledge Management System.

This system contains a variety of records related to Department employees' applications
for and/or participation in the following programs:
• Learning Management 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.
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.
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.
(a) Introduction. In the event that one of the following parties is involved in litigation or
parties described in paragraphs (b), (c), and (d) of this routine use under the conditions
(i) The Department, or any of its components; 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;
(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
(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
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
(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.
as required under 5 U.S.C 552a(m) with respect to the records in the system.
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.
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.
matter.
(9) Employee Grievance, Complaint, or Conduct Disclosure. The Department may
the Department: complaint, grievance, discipline or competency determination proceedings. The
(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.
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.
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.
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.
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.
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.
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.
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
(67 FR 37412-37414)
18-05-15 May 29, 2002
SYSTEM NAME:
Student Loan Repayment Benefits Case Files.
None.
SYSTEM LOCATION:
Maryland Avenue, SW., room 2E300, FOB-6, Washington, DC 20202-4573.
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.
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.
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.
OF USERS AND THE PURPOSES OF SUCH USES
(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.
the parties described in paragraphs (b), (c) and (d) of this routine use under the conditions
requests representation for or has agreed to represent the employee; or
disputes is relevant and necessary to litigation or ADR, the Department may disclose those
necessary to litigation or ADR, the Department may disclose those records as a routine use to
the party, counsel, representative or witness.
matter.
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.
an audit, inspection, or other inquiry related to the program covered by this system.
determined to be valid and overdue as follows: (1) the name, address, taxpayer identification
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:
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.
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.
Director, Human Resources Group, U.S. Department of Education, 400 Maryland
Avenue, SW., room 2E300, FOB-6, Washington, DC 20202-4573.
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
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
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
information applies, lending institutions holding student loans for the individual to whom the
information applies, officials of the Department, and official Department documents.
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)
(72 FR 66158-66162)
18-05-17 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).
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 20745-
1117.
(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.

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.

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.

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.

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
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.
(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
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
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
to a party, counsel, representative, or witness.
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

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 access-
controlled 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
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 (V-
LAN) 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.

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.

Security Services, Office of Management, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 2W314, Washington, DC 20202-5345.
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.
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.

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.

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.

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).
None.
SYSTEM LOCATION:
Aspen Systems Corporation, 2277 Research Boulevard, Rockville, MD 20850.
This system contains records on individuals who contact ED PUBS to request products
from the U.S. Department of Education.
This system contains the name, address, and telephone number of the individuals, as
well as what product those individuals request.
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.
matter.
requirements.
Not applicable.
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.
Records are deleted upon revision or update.
ED PUBS Contract Officer's Representative & Program Manager/Analyst, Office of
Management, U.S. Department of Education, 400 Maryland Avenue, SW., room 2E103,
If you wish to access a record regarding you in the system of records, contact the
If you wish to contest a record regarding you in the system of records, contact the
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
(64 FR 30139-30140)
18-06-01 June 4, 1999
SYSTEM NAME:
Federal Advisory Committee Membership Files.
None.
SYSTEM LOCATION:
Committee Management, Office of Intergovernmental and Interagency Affairs, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 5E330, Washington, DC 20202-
3571.
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.
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.
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.
(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.
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 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.
Committee Management Officer, Office of Intergovernmental and Interagency Affairs,
U.S. Department of Education, 400 Maryland Avenue, SW., Room 5E330, Washington, DC
20202-3571.
Same as above.
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)).
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).)
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.
None.
SYSTEM LOCATION:
Information Resource Center, Intergovernmental and Interagency Affairs, U.S.
Department of Education, Room 5E233, 400 Maryland Avenue, SW., Washington, DC 20202-
0498.
This system contains records on current employees of the Department, vendors or other
Federal employees located in Department operating offices and facility complexes.
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.
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.
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.
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.
Locator Administrator(s), Information Resource Center, Intergovernmental and
Interagency Affairs, U.S. Department of Education, Room 5E233, 400 Maryland Avenue, SW.,
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.
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.
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.
Information in this system is obtained from individual employee, the Information
Resource Center and the Chief Information Office.
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.
None.
SYSTEM LOCATION:
U.S. Department of Education, Office of Intergovernmental and Interagency Affairs,
Regional Services, Community Services, 400 Maryland Avenue, SW., Washington, DC 20202-
3500.
American College Testing, Inc., Recognition Program Services, 2255 North Dubuque
Road, Tyler Building, Iowa City, Iowa 52243-4030.
Individuals covered by the system are participants in the Presidential Scholars Program.
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.
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.
matter.
(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.
POLICIES AND PRACTICES FOR STORING, RETREIVING, ACCESSING, RETAINING, AND
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:
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.
Records are maintained for four years and are then destroyed.
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.
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
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
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
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.
None.
18-06-04 Satellite Event Participant Registration System
(64 FR 72393-72395)
18-06-04 December 27, 1999
SYSTEM NAME:
Satellite Event Participant Registration System.
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.
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.
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.
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.
(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.
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
d) Parties, counsels, representatives and witnesses. If the Department determines that
matter.
(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
Not applicable.
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:
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.
Records are destroyed after the appropriate revisions are made or after three months,
whichever is sooner.
System Administrator, Information Resource Center, Intergovernmental and Interagency
Affairs, U.S. Department of Education, Room 5E233, FOB-6, 400 Maryland Avenue, SW,
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
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
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
Information contained in the system are obtained from the event participants as well as
those individuals who have requested information about the events.
None.
18-06-05 Partners in Education
(67 FR 4642-4644)
18-06-05 January 30, 2002
SYSTEM NAME:
Partners in Education.
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
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.
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.
(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.
(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
(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.
disclosure would be made is qualified to carry out specific research that is compatible with the
to that researcher solely for the purpose of carrying out that research that is compatible with the
(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.
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.
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.
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.
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.
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.
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.
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.

None.
18-07-01 Congressional Members' Biographies System
(64 FR 30141-30142)
18-07-01 June 4, 1999
SYSTEM NAME:
Congressional Members' Biographies System.
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,
This system contains records about all members of Congress.
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.
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.
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
(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.
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
are given a unique user ID with personal identifiers. All interactions by individual users with the
system are recorded.
Records are constantly updated as circumstances warrant relative to the activities of
Congress.
Office of Legislation and Congressional Affairs, Legislative Affairs Office, U.S.
CFR 5b.7.
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.
None.
18-07-02 Congressional Grant Notification Control System
(64 FR 30142-30143)
18-07-02 June 4, 1999
SYSTEM NAME:
Congressional Grant Notification Control System.
None.
SYSTEM LOCATION:
Congressional Outreach, Office of Legislation and Congressional Affairs, U.S.
The Congressional Grant Notification Control System contains records about members
of Congress.
This system consists of direct inquiries and letters of support concerning discretionary
grants from Members of Congress.
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.
(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.
(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.
(iv) The United States where the Department determines that the litigation is likely to
those records as a routine used to the DOJ.
proceeding is relevant and necessary to the litigation, the Department may disclose records as
a routine use to the party, counsel, representative or witness.
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.
contract staff on a “need-to-know” basis, and controls individual users' ability to access and alter
Records are maintained for two years.
Director, Congressional Outreach, Office of Legislation and Congressional Affairs, U.S.
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.
Same as the Notification Procedure.
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.
The information in this system is provided by the correspondent and by the agency that
prepares the final response.
None.
18-08-01 Complaint Files and Log
(69 FR 12249-12251)
18-08-01 March 15, 2004
SYSTEM NAME:
Complaint Files and Log.
None.
SYSTEM LOCATION(S):
Office for Civil Rights, U.S. Department of Education, 330 C Street, SW., Room 5000
MES, Washington, DC 20202.
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.
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.
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.
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,
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.
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
(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.
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.
(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
Not applicable.
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.
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.
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.
This system is exempted from 5 U.S.C. 552a(e)(4)(G) pursuant to 34 CFR
5b.11(c)(2)(iii).
This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34 CFR
5b.11(c)(2)(iii).
This system is exempted from 5 U.S.C. 552a(e)(4)(H) pursuant to 34 CFR
5b.11(c)(2)(iii).
Records are derived from information in complaint investigation files.
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.
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
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
(64 FR 30146-30148)
18-09-01 June 4, 1999
SYSTEM NAME:
Administrative Claims.
None.
SYSTEM LOCATION:
Office of General Counsel, U.S. Department of Education, 400 Maryland Avenue, SW,
Room 6E301, Washington, DC 20202.
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.
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.
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.
(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.
matter.
individual or entity designated the Department or otherwise empowered to resolve or mediate
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.
The records are maintained in accordance with the Department of Education Records
Disposition Schedules (ED/RDS).
The General Counsel, Office of the General Counsel, U.S. Department of Education,
CFR 5b.7.
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.
None.
18-09-02 OGC Attorney Applicant Files
(64 FR 30148-30149)
18-09-02 June 4, 1999
SYSTEM NAME:
OGC Attorney Applicant Files.
None.
SYSTEM LOCATION:
SW., Room 6E301, Washington, DC 20202.
This system contains records on current Attorney Applicants for positions in the Office of
the General Counsel.
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.
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.
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.
These records are retained in accordance with the Department of Education Records
The General Counsel, U.S. Department of Education, Office of the General Counsel,
CFR 5b.7.
Information in this system of records comes from the individual to whom it applies, law
school officials and past employers.
None.
18-09-03 Employee Conduct--Government Ethics
(69 FR 12147-12148)
18-09-03 March 15, 2004
SYSTEM NAME:
Employee Conduct--Government Ethics.
None.
SYSTEM LOCATION:
Ethics Counsel Division, Office of the General Counsel, U.S. Department of Education,
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.
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.
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.
(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,
information is relevant to any enforcement, regulatory, investigative, or prosecutive responsibility
within the receiving entity's jurisdiction.
matter.
(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.
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 password-
protected.
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.
Assistant General Counsel, Ethics Division, Office of the General Counsel, U.S.
Department of Education, 400 Maryland Avenue, SW, Room 6E231, Washington, DC 20202.
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.
CFR 5b.7.
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.
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.
None.
SYSTEM LOCATION:
SW., Room 6E301, Washington, DC 20202.
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.
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.
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.
matter.

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.
These records are maintained in accordance with the Department of Education Records
The General Counsel, Office of the General Counsel, U.S. Department of Education,
system manager. Your request must meet the requirements regulations at 34 CFR 5b.5,
CFR 5b.7.
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.
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).
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.

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)).

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.

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.

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.
disclose information to any Federal, State, local, or foreign agency, or other public authority
(4) Litigation and Alternative Dispute Resolution (ADR) Disclosure.
(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.
has agreed to represent the employee.
(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
(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.
(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.

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.

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,
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,

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.

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,

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.

None.
18-10-01 Investigative Files of the Inspector General
(68 FR 38155-38158)
18-10-01 June 26, 2003
SYSTEM NAME:
Investigative Files of the Inspector General.
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 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 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.
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. 107-
296.)
The OIG may disclose information contained in a record in this system of records under
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
(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
(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:
(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.
None.
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 manipulation-
proof combination locks.
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.
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,
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.
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.
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.
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.
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.

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
(64 FR 30155-30157)
18-10-03 June 4, 1999
SYSTEM NAME:
Non-Federal Auditor Referral, Suspension, and Debarment File.
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.
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.
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.
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.
(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
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:
(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
(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:
(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
(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
(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
(11) Contract disclosure. If the Department contracts with an entity for the purposes of
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.
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.
Assistant Inspector General for Audit Services, Office of Inspector General, U.S.
Department of Education, 400 Maryland Avenue, SW., Switzer Building, Washington, DC 20202-
1510.
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.
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.
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.
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.
None.
18-10-04 Hotline Complaint Files of the Inspector General
(64 FR 30157-30159)
18-10-04 June 4, 1999
SYSTEM NAME:
Hotline Complaint Files of the Inspector General.
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 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.
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.
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.
(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,
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:
(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
Justice is relevant and necessary to litigation, the Department may disclose those records as a
routine use to the Department of Justice.
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
(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
None.
STORAGE:
The records are maintained in complaint files, computer mainframe files, and computer-
printed 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.
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).
Assistant Inspector General for Investigation Services, Office of Inspector General, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 4106, Switzer Building,
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.
See Notification Procedure.
Not applicable. See Systems Exempted.
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.
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.
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.
This system contains records on students applying for Federal student financial
assistance under Title IV of the Higher Education Act of 1965 (HEA).
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.
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.
(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.
matter.
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.
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.
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.
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).
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.
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-FED-
AID (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.
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.
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.
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.)
None.
18-11-02 Recipient Financial Management System
(64 FR 30161-30162)
18-11-02 June 4, 1999
SYSTEM NAME:
Recipient Financial Management System.
None.
SYSTEM LOCATION:
Central Computer Facility, U.S. Department of Education, 400 Maryland Avenue, SW.,
This system contains records on all Pell Grant Recipients.
This system consists of the financial data, personal identification numbers assigned by
the Department, and status of award for Pell Grant recipients.
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.
OF USERS THE PURPOSES OF SUCH USES:
(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.
affect the Department or any of its components
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).
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.
Department of Education and contract staff on a “need to know” basis, and controls individuals
Original copies are maintained until fiscal year funds are closed out and then are stored
at the Federal Records Center.
Director, Student Aid Origination Team, Programs Systems Service, 400 Maryland
Avenue, SW., Washington, DC 20202.
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.
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.
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
Information in this system is obtained from origination and disbursement records
provided by the school and its agent to the Department of Education.
None.
18-11-03 Student Financial Assistance Validation File
(64 FR 30162-30163)
18-11-03 June 4, 1999
SYSTEM NAME:
Student Financial Assistance Validation File.
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.
This system contains records on applicants and recipients of student financial
assistance.
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.
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.
(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.
overdue as follows: (1) The name, address, taxpayer identification number and other
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).
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.
Records are maintained until resolved and then transferred to the Federal Records
Center.
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.
CFR 5b.7.
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).
None.
18-11-05 Title IV Program Files
(64 FR 30163-30166)
18-11-05 June 4, 1999
SYSTEM NAME:
Title IV Program Files.
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.
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.
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.
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.
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
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
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,
officials.
(k) To locate a delinquent or defaulted borrower, disclosures may be made to guaranty
(l) To locate an individual who owes a refund on a grant, disclosures may be made to
(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
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
officials.
(o) To locate a missing borrower, disclosures may be made to guaranty agencies,
(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,
(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
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
(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
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
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
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.
(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
(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.
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.
Department deems it desirable or necessary, in determining whether particular records are
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.
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
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).
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:
badge.
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.
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.
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.
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,
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.
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.
None.
18-11-06 National Student Loan Data System (NSLDS)
(64 FR 72395-72397)
18-11-06 December 27, 1999
SYSTEM NAME:
National Student Loan Data System (NSLDS).
None.
SYSTEM LOCATION:
Computer Sciences Corporation, 71 Deerfield Lane, Meriden, CT 06450-7151.
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.
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.
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.
(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 pre-
claims/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.
(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:
Department of Justice has agreed to provide or arrange for representation for the employee; or
Justice is relevant and necessary to litigation and is compatible with the purpose for which the
Department of Justice.
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
adjudicative body, individual or entity.
disclosure of certain records to an opposing counsel, representative or witness in an
disclose those records as a routine use to the party, counsel, representative or witness.
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.
(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.
Department deems it desirable or necessary in determining whether particular records are
Department of Justice for the purpose of obtaining its advice.
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 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
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).
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
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.
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.
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.
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.
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.
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
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.
None.
18-11-07 Student Financial Assistance Collection Files
(64 FR 30166-30169)
18-11-07 June 4, 1999
SYSTEM NAME:
Student Financial Assistance Collection Files.
None.
SYSTEM LOCATION:
Program Systems Support, Office of Student Financial Assistance Programs, U.S.
20202-5258.
See the Appendix to this system notice for additional system locations.
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).
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.
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):
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.
(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
matter.
authorized by law.
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
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 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.
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.
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.
access to a record must meet the requirements of the regulations at 34 CFR 5b.5.
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.
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.
None.
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.
None.
SYSTEM LOCATION:
Program Systems Service, Office of Student Financial Assistance Programs, U.S.
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.
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.
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.
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.
(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.
(3) Enforcement disclosures. In the event that information in this system of records
charged with enforcing or implementing the statute, or executive order, rule, regulation, or order
(4) Litigation disclosure and Alternative Dispute Resolution (ADR) Disclosures.
(c) Administrative disclosures. If the Department determines that disclosure of certain
matter.
(6) Employee Grievance, Complaint, or Conduct Disclosure. The Department may
(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
requirements.
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).
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
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-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 passwords.
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.
Service Director, Program Systems Service, Office of Student Financial Assistance
Programs, U.S. Department of Education, 400 Maryland Avenue, SW., ROB-3, Room 4640,
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,
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.)
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.
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).
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).
None.
SYSTEM LOCATION:
Computer Sciences Corporation, 71 Deerfield Lane, Meriden, CT 06450.
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.
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.
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.
(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.
may disclose the relevant records in the PEPS, as a routine use, to the appropriate agency,
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:
Department of Justice has agreed to provide or arrange for representation for the employee; or
(v) The United States, where the Department determines that the litigation is likely to
(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.
records to an adjudicative body before which the Department is authorized to appear, or to an
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
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
(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
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.
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
authorized by law.
(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,
Privacy Act SAFEGUARDS with respect to the disclosed records.
requirements.
determined to be valid and overdue as follows: (a) The name, address, taxpayer identification
the claim; (b) the amount, status, and history of the claim; and (c) the program under which the
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:
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.
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).
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.
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.
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.
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.
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.
None.
18-11-10 Title IV Wide Area Network (Title IV WAN)
(70 FR 72397-72399)
18-11-10 December 27, 1999
SYSTEM NAME:
Student Aid Internet Gateway (SAIG), Participant Management System.
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.

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.

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).

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.

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:
(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
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
(5) Litigation and Alternative Dispute Resolution (ADR) disclosures.
(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
(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.
(6) Research disclosure. The Department may disclose records to a researcher if an
purposes of this system of records. The researcher shall be required to maintain
(7) Congressional Member disclosure. The Department may disclose records to a member of
the written request of that individual. The Member's right to the information is no greater than
(8) Disclosure for use by law enforcement agencies. The Department may disclose
(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
(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
(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

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
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).

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.
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.

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.

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,


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

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.
None.
SYSTEM LOCATION:
Office of the Student Loan Ombudsman, Student Financial Assistance, 400 Maryland
Avenue, SW., ROB-3, Room 3717, Washington, DC 20202.
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.
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).
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.
(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.
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
Justice (DOJ) has agreed to provide or arrange or representation for the employee;
Not applicable.
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
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.
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.
Ombudsman, Office of Student Financial Assistance, U.S. Department of Education, 400
Maryland Avenue, SW., ROB-3, Room 3717, Washington, DC 20202.
Privacy Act regulations at 34 CFR 5b.7.
Information is obtained from the individuals (e.g. borrowers) schools, lenders, and
guaranty agencies.
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.
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).
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.
This system contains identification information such as name, Social Security Number
(SSN), date of birth and address.
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.
matter.
authorized by law.
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.
STORAGE:
Records are stored electronically on magnetic tape.
RETRIEVABILITY:
The file is indexed by social security number or name.
SAFEGUARDS:
contract staff on a "need to know" basis, and controls individual users' ability to access and alter
Records will be retained 3 years after payment of loan, or after audit resolution.
PIN Web Site Development Manager, Program System Services, Office of Student
Financial Assistance, 400 Maryland Avenue, SW, ROB-3, room 4640, Washington, DC 20202.
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.
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.
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.
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.
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.
None.
SYSTEM LOCATION:
The Student Authentication Network Audit File is located at NCS Pearson, 2510 North
Dodge Street, Iowa City, Iowa 52245.
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.
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.
The Higher Education Act of 1965, as amended, (20 U.S.C. 1092b).
PURPOSE(S):
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.
(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.
Disclosures.
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.
matter.
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
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.
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.
General Manager, Students Channel, Student Financial Assistance, Department of
Education, 7th and D Streets, SW., Washington, DC, 20202.
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.
access to a record must meet the requirements of the regulations at 34 CFR 5b.5.
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.
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.
None.
18-11-14 FSA Students Portal
(68 FR 23113-23117)
18-11-14 April 30, 2003
SYSTEM NAME:
FSA Students Portal.
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.
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).
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.)
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).
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.
(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;
(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
disputes is relevant and necessary to the litigation or ADR, the Department may disclose those
matter.
disclosure may only be made during the
(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'').
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 Department, and contract staff on a ``need to know'' basis, and controls individual users'
ability to access and alter records within the system.
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.
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
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,
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.
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.
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.
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.
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.
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.
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.)
OF USERS AND PURPOSES OF SUCH USERS:
The Department may disclose information contained in a record in this system of records under
(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.
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.
(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:
(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
(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
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
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
(a) For Decisions by the Department. The Department may disclose a record to a Federal,
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
Department: a complaint, grievance, discipline or competence determination proceeding. The
(10) Labor Organization Disclosure. The Department may disclose records from this system of
officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and
(11) Disclosure to DOJ. The Department may disclose records to the DOJ to the extent
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.

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
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).

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
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.

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.

Deputy Director, Application Processing Division, Students Channel, Federal Student
Aid, U.S. Department of Education, 830 First St., NE, UCP room 32E2, Washington, DC 20202-
5454.
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.
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.
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.
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
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).
None.
SYSTEM LOCATION:
Computer Sciences Corporation, 17 Deerfield Lane, Meriden, CT
06450.
See the Appendix to this notice for additional system locations.

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.

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.

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.

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
(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
(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.
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,
the relevant records to the appropriate agency, whether foreign, Federal, State, Tribal, or local,
enforcing or implementing the statute, executive order, rule, regulation, or order issued pursuant
thereto.
(i) The Department or any of its components; or
(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
(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
a routine use to the adjudicative body, individual, or entity.
(d) Parties, Counsels, Representatives, or Witnesses. If the Department determines that
to the party, counsel, representative, or witness.
(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
officials of a labor organization recognized under 5 U.S.C. Chapter 71 when relevant and
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
(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
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.
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
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.
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.
Records are retained for five years after the debt is paid in full or otherwise closed out, and
thereafter disposed of.
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.
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.
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.
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.
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.
None.
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)
(64 FR 30173-30175)
18-12-01 June 4, 1999
SYSTEM NAME:
Title VI Foreign Language and Area Studies Fellowships (FLAS).
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.
Graduate Students, who have been nominated for FLAS fellowships by grantee
institutions of higher education.
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.
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.
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:
matter.
authorized by law.
requirements.
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
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
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.
Postsecondary Education, U.S. Department of Education, 400 Maryland Avenue, SW., Room
600B, Portals Building, Washington, DC 20202-5247.
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
Contact the system manager.
Contact the system managers.
Information is obtained from the individual and grantee institutions on approved forms in
hardcopy or electronic format.
None.
18-12-02 Fulbright-Hays--Doctoral Dissertation Research Abroad (DDRA), Faculty Research
Abroad (FRA), Seminars Abroad (SA), Fellows
(64 FR 30175-30177)
18-12-02 June 4, 1999
SYSTEM NAME:
Fulbright-Hays--Doctoral Dissertation Research Abroad (DDRA), Faculty Research
Abroad (FRA), Seminars Abroad (SA), Fellows.
None.
SYSTEM LOCATION:
Education, U.S. Department of Education, 1250 Maryland Avenue, SW., Room 600, Portals
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.
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.
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.
(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.
matter.
authorized by law.
requirements.
STORAGE:
participants, participants' institutions and U.S. Department of Education personnel.
RETRIEVABILITY:
Hardcopy files are retrieved by individual names and educational institution. Electronic
SAFEGUARDS:
contractors where this system of records is maintained, is controlled and monitored by
personnel who check each individual entering the building.
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
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
600B, Portals Building, Washington, DC 20202-5247.
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
Procedures. Your request must meet the requirements of the regulations at 34 CFR 5b.5,
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.
None.
18-12-03 Jacob K. Javits Fellowship System
(64 FR 30177-30179)
18-12-03 June 4, 1999
SYSTEM NAME:
Jacob K. Javits Fellowship System.
None.
SYSTEM LOCATION:
Education, U.S. Department of Education, 1250 Maryland Avenue, SW., Room 600, Portals
This system contains records on individuals who apply for fellowships under the Jacob
K. Javits Fellowship Program.
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.
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.
record was collected. These disclosures may be made on a case-by-case basis, or if the
matter.
the Department: complaint, grievance, discipline or competence determi-nation proceedings.
authorized by law.
requirements.
STORAGE:
The records are maintained in hard copy, filed in standard filing cabinets; on access-
controlled 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:
contract staff on a "need-to-know" basis, and controls individual users' ability to access and alter
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.
600, Portals Building, Washington, DC 20202-5247.
provide the system manager with your name, date of birth and Social Security number. Your
identity.
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
must meet the requirements of the regulations at 34 CFR 5b.7.
Information is obtained principally from individual applicants, references, and schools
attended by the applicant.
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).
None.
SYSTEM LOCATION:
Education, U.S. Department of Education, 1250 Maryland Avenue, SW., Suite 600, Portals
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.
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.
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.
(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.
matter.
authorized by law.
requirements.
STORAGE:
participants, participants' institutions and Department personnel.
RETRIEVABILITY:
Hard copy files are retrieved by individual names and educational institution. Electronic
SAFEGUARDS:
where this system of records is maintained, is controlled and monitored by personnel who check
each individual entering the building.
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.
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
Postsecondary Education, US Department of Education, 400 Maryland Avenue, SW.,
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
Information is obtained from the individuals and institutions on approved application
forms and from field readers.
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.
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.
This system contains records on individuals who apply for fellowships and receive
admission to a GAANN project.
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.
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.
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).
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:
contract staff on a “need to know” basis, and controls individual users' ability to access and alter
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.
Director, Program Monitoring and Information Technology Service, Office of
Postsecondary Education, U.S. Department of Education, 1990 K St., NW, Washington, DC
20006.
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
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
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
Information contained in this system is obtained from the institutions the fellows attend.
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.
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.
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.
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.
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.
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
agreement.
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,
enforcing or implementing the statute, Executive order, rule, regulation, or order issued pursuant
thereto.
(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
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.
(5) Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a
Department: complaint, grievance, discipline or competence determination proceedings. The
(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
authorized by law.
(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,
(11) Congressional Member Disclosure. The Department may disclose records to a member of
(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.
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
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).
DISPOSING OF RECORDS IN THE SYSTEM: STORAGE:
The records are maintained in hard copy, filed in standard filing cabinets; on access-
controlled 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
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)
Director, Teacher Quality Enhancement Grant Programs, Office of Postsecondary
Education, 1990 K Street, NW., room 6150, Washington, DC 20006-8525.
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.
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.
must meet the regulatory requirements of 34 CFR 5b.7, including proof of identity.
Information is obtained from individual scholarship recipients, institutions of higher
education attended by the recipients, and school districts that have employed the recipients.
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.
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.
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.
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.
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.
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.
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.
Commissioner, National Center for Education Statistics, Office of Educational Research
and Improvement, U.S. Department of Education, 555 New Jersey Avenue, NW., Room 400,
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.
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.
manager. Your request must meet the requirements in the regulations at 34 CFR 5b.7.
Information in the records comes form responses to survey instruments.
None.
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.
None.
SYSTEM LOCATION:
See the Appendix to this system notice.
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.
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.
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:
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.
(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
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.
(6) Parties, counsels, representatives and witnesses. If the Department determines that
under 5 U.S.C. 552a(m) with respect to such records.
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.
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.
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.
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.
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
manager. Your request to amend a record must meet the requirements of 43 CFR 5b.7.
Information in the records comes from individuals who have signed the affidavits of
nondisclosure.
None.
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.
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.
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)).
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.
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.
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:
ADR, or has an interest in litigation ADR, ED may disclose certain records to the parties
those paragraphs:
(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.
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.
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.
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
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
identity.
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.
The information in this system comes from the data collected from the subject individuals
and individual schools.
None.
18-13-04 Outcomes of Diversity in Higher Education Study
(64 FR 30186-30186)
18-13-04 June 4, 1999
SYSTEM NAME:
Outcomes of Diversity in Higher Education Study.
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 20208-
5531. See the Appendix at the end of this system notice for additional system locations.
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.
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.
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.
(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.
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.
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.
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.
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
Same as Notification Procedure.
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.
Information in the records comes from the responses to survey instruments.
None.
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)
(64 FR 72404-72408)
18-13-05 December 27, 1999
SYSTEM NAME:
Education Publications Center (ED PUBS).
None.
SYSTEM LOCATION:
Education Publications Center, U.S. Department of Education, 8242 Sandy Court,
Jessup, MD 20794.
This system contains records on individuals who contact ED PUBS to request products
from the U.S. Department of Education.
This system contains the name, address, and telephone number of the individuals, as
well as what product those individuals request.
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.
matter.
authorized by law.
requirements.
Not applicable.
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
contract staff on a “need to know” basis, and controls individual users' ability to access and alter
Records are deleted upon revision or update.
Executive Director of the National Library of Education, U.S. Department of Education,
400 Maryland Ave, SW., Suite 4W317, Washington, DC 20202-5523.
If you wish to access a record regarding you in the system of records, contact the
If you wish to contest a record regarding you in the system of records, contact the
The information in this system is obtained from the individuals who contact ED PUBS.
None.
18-13-06 What Works Clearinghouse (WWC) Database
(69 FR 9603-9605)
18-13-06 March 1, 2004
SYSTEM NAME:
What Works Clearinghouse (WWC) Database.
None.
SYSTEM LOCATION:
Aspen Systems Corporation, 2277 Research Boulevard, Rockville, MD 20850.
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.
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.
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.
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
3. Contract Disclosure. If the Department contracts with an entity for the purposes of
contractor, the Department may disclose the records to those employees. Before entering into a
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:
(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
records to the DOJ is relevant and necessary to litigation or ADR, and is compatible with the
routine use to the DOJ.
(d) Parties, counsel, representatives and witnesses. If the Department determines that
5. Research Disclosure. The Department may disclose records to a researcher if an
6. Congressional Member Disclosure. The Department may disclose information to a
7. Enforcement Disclosure. In the event that information in this system of records
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.
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.
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.
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.
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.
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.
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.
None.
SYSTEM LOCATION:
Westat, 1650 Research Boulevard, Rockville, MD, 20850.
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.
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.
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 higher-
performing 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.
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
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.
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.
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).
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.
contact the systems manager. Your request must meet the requirements of the regulations in 34
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:
contact the system manager. Your request must meet the requirements of the regulations in 34
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.
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.
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.

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.
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.
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.
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
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 cross-
referenced 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
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.
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).
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.
contact the systems manager. Your request must meet the requirements of regulations in 34
manager. Your request must meet the requirements of regulations in 34 CFR 5b.5, including
proof of identity.
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.
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
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, the Department must require the contractor to maintain Privacy Act safeguards as
Disclosure To Consumer Reporting Agencies:
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
Retrievability:
Records in this system are indexed by a number assigned to each individual, which is cross-
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.
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:
Jersey Avenue, NW., Room 502D, Washington, DC 20208.
Notification Procedure:
contact the systems manager. Your request must meet the requirements of regulations at 34
Record Access Procedure:
manager. Your request must meet the requirements of regulations at 34 CFR 5b.5, including
proof of identity.
Contesting Record Procedure:

the system manager. Your request must meet the requirements of regulations at 34 CFR 5b.7,
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.
None.
SYSTEM LOCATION:
(1) Evaluation Division, National Center for Education Evaluation and Regional Assistance,
(2) Mathematica Policy Research, Inc. (MPR), 600 Alexander Park, Princeton, NJ 08540.
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.
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.
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.

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).
records to the U.S. Department of Justice and the Office of Management and Budget if the
particular records are required to be disclosed under the FOIA..
STORAGE:
RETRIEVABILITY:
Records in this system are indexed by a number assigned to each Individual that is cross
SAFEGUARDS:
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
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
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).
Disposition Schedules (ED/RDS) in Part 3 (Research Projects and Management Study
Records) and Part 14 (Electronic Records).
Jersey Avenue, NW., room 502D, Washington, DC 20208-0001.
proof of identity.
contact the system manager. Your request must meet the requirements of regulations in 34 CFR
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.
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.
None.
SYSTEM LOCATION:
Room 500, Washington, DC 20208-0001.
(2) Mathematica Policy Research, Inc., 600 Alexander Park, Princeton, NJ 08540.
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.
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.
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.
standards that apply to all collections, reporting and publication of data by IES.
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.
STORAGE:
The Department maintains records on CD-ROM and the contractor maintains data for this
RETRIEVABILITY:
Records in this system are indexed by a number assigned to each individual that is cross
SAFEGUARDS:
All physical access to the Department's site and to the site of the Department's contractor,
contract staff on a ``need to know'' basis, and controls individual users' ability to access and
The contractor, Mathematica Policy Research, Inc. (MPR), has established a set of
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
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).
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.
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.
proof of identity.
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.
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).
None.
SYSTEM LOCATION:
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.
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.
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.
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.
standards that apply to all collections, reporting and publication of data by IES.
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:
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
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
U.S.C. 9573).
Disposition Schedules, Part 3, Items 2b and 5a.
New Jersey Avenue, NW., room 502D, Washington, DC 20208.
proof of identity.
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.
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.
None.
SYSTEM LOCATION:
(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.
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.
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.
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.
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
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.
such a contract, the Department requires the contractor to maintain Privacy Act safeguards as
purposes of this system of records. The researcher must maintain Privacy Act
STORAGE:
The Department maintains records on CD-ROM, and the contractor and subcontractors
RETRIEVABILITY:
SAFEGUARDS:
and subcontractors, where this system of records is maintained, is controlled and monitored by
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; 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 must comply with the requirements of the confidentiality standards in section 183 of the
ESRA (20 U.S.C. 9573).
Records are maintained and disposed of in accordance with the Department of Education's
Records Disposition Schedules, Part 3, Items 2b and 5a.
New Jersey Avenue, NW., room 502D, Washington, DC 20208.
proof of identity.
contact the system manager. Your request must meet the requirements of regulations at 34 CFR
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.
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.
None.
SYSTEM LOCATION:
(2) Abt Associates, Inc., 55 Wheeler Street, Cambridge, MA 02138.
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.
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.
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.
confidentiality standards that apply to all collections, reporting and publication of data by the
Institute of Education Sciences.
purposes of this system of records. The researcher must maintain Privacy Act
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.
STORAGE:
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:
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
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
U.S.C. 9573).
Disposition Schedules in Part 3 (Research Projects and Management Study Records) and Part
14 (Electronic Records).
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.
proof of identity.
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.
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.
None.
SYSTEM LOCATION:
(1) Evaluation Division, National Center for Education Evaluation and Regional
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.
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.
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.
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.
confidentiality standards that apply to all collections, reporting and publication of data by the
Institute of Education Sciences (IES).
STORAGE:
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:
and subcontractors where this system of records is maintained, is controlled and monitored by
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
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).
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).
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.
proof of identity.
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.
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.
None.
SYSTEM LOCATION:
(2) RMC Research Corporation, 111 SW Columbia Street, Suite 1200, Portland, OR 97201.
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.
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.
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.
confidentiality standards that apply to all collections, reporting, and publication of data by IES.
STORAGE:
RETRIEVABILITY:
SAFEGUARDS:
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).
disposition Schedules (Section Ed/RDS, Part 3, Item 2b and Part 3, Item 5a).
Avenue, NW., room 502D, Washington, DC 20208.
proof of identity.
the system manager. Your request must meet the requirements of the regulations at 34 CFR
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.
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.
None.
SYSTEM LOCATION:
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.
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.
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.
this system of records under the routine use listed in this system of records without the consent
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.
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
STORAGE:
RETRIEVABILITY:
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.
Disposition Schedules (ED/RDS, Part 3, Item 2b and Part 3, Item 5a).
Avenue, NW., room 502D, Washington, DC 20208-0002.
proof of identity.
the system manager. Your request must meet the requirements of the regulations at 34 CFR
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.
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.
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.
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.
This system contains student documents such as test scores, report cards, individual
instructional records and reports from teachers to other teachers and parents.
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 year and the
degree to which the objectives of the Title I progress have been met. The purpose of the
individual instructional record is to provide a plan for meeting the students' instructional needs.
record on this system of records under the routine uses listed in this system of records without
(1) Educational Disclosures. Title I teachers make information contained in this system of
records available to regular classroom teachers and to the parents of those students to explain
the eligibility of students and their progress in the Title I program. Supervisors of the Title I
teachers also use the information contained in this system of records as a part of the monitoring
process to measure progress being made toward achieving program objectives.
matter.
STORAGE:
Each student's records are kept in a separate file folder. All folders are filed in a locked
filing cabinet in the Title I classroom. After a student no longer participates in the program, his or
her records are transferred to the contractor's office or storage facility where they are stored in
locked filing cabinets.
RETRIEVABILITY:
The records are indexed by student names, school attended and year of attendance at
that school.
SAFEGUARDS:
The records are secured in a locked filing cabinet. The key is kept by the Title I teacher.
After a student no longer participates in the program, the records are transferred to the
contractor's office or storage facility where they are stored in a locked filing cabinet. Direct
access is restricted to the Title I teacher and aide during the day-to-day program operation. The
instructional supervisor, representatives of the contractor, and Department of Education staff
have access during monitoring visits.
Records are maintained in the contractor's office or storage facility for at least three
years after final payment on the contract. Disposal of records are in accordance with the
Director, Compensatory Education Programs, U.S. Department of Education, 400
Maryland Avenue, SW., Room 3W230, Washington, DC 20202.
If a student or his or her parent or guardian wishes to determine whether a record exists
regarding them in this system of records, he or she must notify the appropriate contractor for the
State served by the bypass contract. The name and address of the appropriate contractor is
listed under the system location of this notice. For identification, the authorized individual
seeking information should provide the name, home address, and school of the student for
whom information is being requested. The request must meet the requirements in the
In order to gain access to a record in this system, you should contact the contractor
listed in the system location or the system manager. You should provide the contractor with the
information listed in the Notification Procedure of this notice and reasonably specify the record
contents being sought. The request must meet the requirements of the regulations at 34 CFR
If you wish to contest the content of the record of a participating Title I student, you
should contact the contractor for the State served by the bypass contract. You should identify
yourself and state, in writing, which portion of the record you desire to be changed and provide
a justification and authorization for the change. The contractor will forward the request to the
system manager. The request must meet the requirements of the regulations at 34 CFR 5b.7.
The information in this system comes from test scores on achievement tests for program
eligibility administered at private schools and class performance information from the regular
class teachers.
None.
18-14-02 Fellowships for Indian Students--Applications and Awards
(64 FR 30188-30189)
18-14-02 June 4, 1999
SYSTEM NAME:
Fellowships for Indian Students--Applications and Awards.
None.
SYSTEM LOCATION:
Office of Indian Education, Office of Elementary and Secondary Education, 1250
Maryland Avenue, SW., Room 4300, Portal Building, Washington, DC 20202-6335.
American Indians who are citizens of the United States or residents of the United States
for other than a temporary purpose, who have been accepted by institutions of higher education
in a program leading to an undergraduate or graduate degree in the fields of Business
Administration, Engineering and Natural Resources or related fields, and graduate degree in the
fields of education, law and medicine or related fields, and who have applied to Department's
Office of Indian Education for a fellowship.
Name, address, phone number, date and place of birth, tribal affiliation, tribal roll
number, social security number, sex, marital status, citizenship, names of dependents,
educational background, employment background, educational transcripts, references, income
information, admission test scores.
Indian Education Act of 1972, as amended, Pub. L. 92-318, Part B, section 423.
agreement.
(1) Advisory Council Disclosure. Information may be released to members of the
National Advisory Council on Indian Education.
(2) Field Readers Disclosure. Field Readers for the purpose of determining eligibility and
recommending awardees; selected data for developing brochures describing the Fellows and
their career goals for public information purposes.
parties described in paragraphs (b), (c) or (d) of this routine use under the conditions specified
(i) The Department of Education, any component of the Department; or
(iv) Any Department employee in his or her official capacity where the agency has
STORAGE:
The records are maintained in hard copy, filed in locked standard file cabinets.
RETRIEVABILITY:
Records are accessed by individual names only by authorized Department staff and
Field Readers for the purposes of determining eligibility; selecting Fellows: Establishing
allowances for stipends, dependents, tuition, and other expenses; determining continued
eligibility; and developing profile information regarding recipients of fellowships for program
evaluation, planning, reporting and publicity purposes.
Records on fellowship holders are maintained and disposed of in accordance with the
Director, Office of Indian Education, Office of Elementary and Secondary Education,
ATTN: Education Program Specialist for Fellowships, U.S. Department of Education, 400
Maryland Avenue SW., Room 4300, Washington, DC 20202-6335.
provide the system manager with your name, the year of the award, the name of the grantee
institution, and type of award. Your request must meet the requirements of the regulations at 34
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
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 above and reasonably identify the record and
specify the information to be contested. Your request must meet the requirements of the
Information is obtained from the individual applicant and from references submitted by
the applicant on approved forms.
None.
18-14-03 Native Hawaiian Education Council Membership
(67 FR 39202-39204)
18-14-03 June 6, 2002
SYSTEM NAME:
Native Hawaiian Education Council Membership.
None.
SYSTEM LOCATION:
School Improvement Programs, Office of Elementary and Secondary Education, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 3C126, Washington, DC 20202-
6140.
Individuals who have been or are presently members of or are being considered for
membership on the Native Hawaiian Education Council.
Records in this system consist 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, previous or current membership on the Native Hawaiian Education
Council, source who recommended the individual for membership on the advisory council, and
miscellaneous correspondence.
Section 7204 of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by
the No Child Left Behind Act of 2001 (Pub. L. 107-110).
PURPOSE(S):
To establish a Native Hawaiian Education Council to help coordinate the educational and related
services available to Native Hawaiians, including programs receiving funding under the Native
Hawaiian Education Act.
this system of records under the routine uses listed in this system of records without the consent
agreement.
(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:
(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
(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
relevant and necessary to the administrative litigation, the Department may disclose those
(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
records as a routine use to the party, counsel, representative, or witness.
disclosure would be made is qualified to carry out specific research that is compatible with the
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
(4) 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
(5) 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.
(6) 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.
STORAGE:
Records are maintained in hard copy filed in file cabinets and on personal computers.
RETRIEVABILITY:
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. 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.
Records are disposed of in accordance with the Department's Records Disposition Schedules
(ED/RDS), Part 5 and the National Archives and Records Administration's General Records
Schedules (GRS) 16, item 8.
Native Hawaiian Program Manager, School Improvement Programs, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3E126, Washington, DC 20202-6140.
If you wish to determine whether a record exists regarding you in this system of records, contact
regulations in 34 CFR 5b.7, including proof of identity. You may present your request in person
manager at the following address: School Improvement Programs, U.S. Department of
Education, 400 Maryland Avenue, SW., Room 3E126, Washington, DC 20202-6140.
Same as notification procedures. Requestors should also reasonably specify the record
contents being sought. These access procedures are in accordance with Department
regulations (34 CFR 5b.5(a)(2)).
Contact the official at the address specified under notification procedures, reasonably identify
the record, and specify the information to be contested. Your request must meet the regulatory
requirements of 34 CFR 5b.7, including proof of identity.
Information in this system of records will be obtained from the individuals, references,
recommendations, private organizations, Members of Congress, and other government sources.
None.
18-15-01 Bilingual Education Graduate Fellowship Program
(64 FR 30189-30191)
18-15-01 June 4, 1999
SYSTEM NAME:
Bilingual Education Graduate Fellowship Program.
None.
SYSTEM LOCATION:
U.S. Department of Education, Office of Bilingual Education and Minority Languages
Affairs, 330 C Street, SW., Room 5618, Washington, DC 20202-6642.
This system contains records about individuals who apply for acceptance in the
program, and if approved, who participate in the fellowship program.
This system consists of a variety of records relating to a student's application for, and
participation in, the fellowship program. In addition to the student's name, the system contains
the student's address, telephone number, social security number, name of the institution
attended, amount of award, obligation status, degree sought, field of study, and the name and
address of the employer.
Title VII, Part A of the Bilingual Education Act of 1994, as amended (Pub. L. 103-382) (20
U.S.C. 7475 (1994)). The program regulations are found in 34 CFR part 535.
PURPOSE(S):
The information contained in this system is used for the purposes of administering the
Bilingual Education Graduate Fellowship Program, including enforcing the terms and conditions
of the contracts signed by the fellows, permitting the collections on loans, and locating
delinquent or defaulted debtors.
the consent of the individual, if the disclosure is compatible with the purposes for which the
ADR, or has an interest in litigation ADR, ED may disclose certain records to the parties
those paragraphs:
requirements.
STORAGE:
The records are maintained in hard copy and on an access-controlled personal
computer.
RETRIEVABILITY:
The file is indexed by Social Security number or name. Data for awards made under the
Bilingual Education Graduate Fellowship Program are retrieved by social security number or
name.
SAFEGUARDS:
All physical access to the Department's 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. 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.
Records of individual awards are destroyed five years after cancellation, forgiveness,
final payment to grantee, or audit, of the loan, whichever is sooner. Records relating to those
individuals who are not approved to participate in the fellowship program are transferred to the
Federal Records Center and destroyed three years after the date of rejection or withdrawal.
Education Program Specialist, Bilingual Education Graduate Fellowship Program, Office
of Bilingual Education and Minority Languages Affairs, U.S. Department of Education, 400
Maryland Avenue, SW., Room 5618, Switzer Building, Washington, DC 20202-6642.
provide the system manager with your name, date of birth, social security number, and the
name of the school through which the award was obtained. You may present your request in
person at the system manager's address indicated above. Your request must meet the
If you wish to gain access to a record regarding you in this system of records, you
should contact the system manager and provide the information as described in the Notification
Procedure. In order to avoid excessive delays and exchanges of correspondence, you are
encouraged to request both notification and access at the same time. Requests for access to a
record should reasonably specify the particular record content being sought. Your request must
If you wish to contest information contained in a record in this system of records, you
should contact the system manager. Requests for amendment of records 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 requested for amendment; (3) whether a deletion, an
addition, or a substitution is being sought; and (4) the reason(s) for the requested change(s).
You should include in your requests any appropriate documentation supporting the requested
change(s). Your request must meet the requirements of the regulations at 34 CFR 5b.7.
Information is obtained from fellowship recipients, institutions of higher education, and
employers.
None.
18-16-01 OSEP Customer Tracking Service System
(68 FR 47555-47557)
18-16-01 August 11, 2003
SYSTEM NAME:
OSEP Customer Service Tracking System.
None.
SYSTEM LOCATION:
Monitoring and State Improvement Planning Division, Office of Special Education
Programs (OSEP), Office of Special Education and Rehabilitative Services (OSERS), Mary E.
Switzer Building, 330 C Street, SW., Room 3630, Washington, DC 20202.
This system covers parents, advocates, State personnel and other third parties who
contact OSEP with inquiries or complaints related to special education. OSEP staff, especially
the Customer Service Specialists (CSS), receive letters, e-mails, facsimiles and telephone calls
from State personnel and parents about disability issues related to children with disabilities.
These complaints and inquiries are tracked by an electronic system that maintains
customer demographic data, as well as information on the content of the complaints and
inquiries. The system also allows OSEP to maintain a detailed history of the interactions
between callers and/or writers and the CSS.
This system consists of records relating to inquiries or complaints made to OSEP staff,
including but not limited to: the writer's and/or caller's name; the name, age and type of disability
of the child about whom the writer/caller is inquiring about; the writer's or caller's address,
including an e-mail address; the school district involved in the inquiry or complaint; the writer's
or caller's phone number; the issue that the writer and/or caller is raising; a recommendation
from the CSS for further action; and comments from the CSS.
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
Assistant Secretary of OSERS and the Director of OSEP for whom the Department controls
responses to such inquiries. Further, this notice does not cover the official correspondence files
of OSEP, specifically the hard copies of official documents and electronic images of certain
incoming and outgoing documents. These records are considered covered by the Department's
system of records 18-01-01, Secretary's Communication Control System.
Title I of the Individuals with Disabilities Education Act (IDEA), as amended, 20 U.S.C.
Section 1402.
PURPOSE(S):
This system of records is maintained to provide its customers (parents, advocates and
others) with more responsive, consistent service; to better track the large number of calls and
other inquiries received; to provide trend analysis by issue; to develop a profile of the issues that
arise in a certain State; to assist OSEP as a management tool in the preparation of reports, and
to monitor State implementation of the IDEA.
Department has complied with the computer matching requirements of the Computer Matching
and Privacy Protection Act of 1998, under a computer matching agreement.
records to DOJ and OMB if the Department seeks advice regarding whether records maintained
in the system of records must be released under the FOIA and the Privacy Act of 1974.
(iii) Any Department employee in his or her official capacity where the DOJ is requested
to provide or arrange for representation of the employee;
records to the DOJ is relevant and necessary to litigation or ADR, and is compatible with the
STORAGE:
The information in the tracking system will be stored on a server maintained by the
Department of Education. Records generated by the system will be maintained electronically on
the server.
RETRIEVABILITY:
This system will only be accessible to Departmental contractors and employees of
OSEP. Each record in this system can be retrieved by entering in any of the categories of
information listed under the ``Categories of Records In This System'' in this notice.
SAFEGUARDS:
The primary users of this system, Monitoring and State Improvement Planning Division
(MSIP) employees in OSEP, will enter a unique user ID as well as a password to enter the
system. This user ID and password will be in addition to the user ID and password that all
Department employees must enter to access the Department's computer system. Users will be
required to change their passwords periodically, and they will not be allowed to repeat old
passwords. 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.
Department and contract staff on a ``need to know'' basis and controls individual users' ability to
access and alter records within the system.
The location of the server includes safeguards and firewalls, including the physical
security of the server room. In addition, the server is located in a secure room, with limited
access only through a special pass. Further, all physical access to the site where the server is
maintained is controlled and monitored by security personnel who check each individual
Records Administration (NARA) General Records Schedule 20, Item 1.c which provides
Deputy, MSIP Division, Office of Special Education Programs, Office of Special
Education and Rehabilitative Services, U.S. Department of Education, Mary E. Switzer Building,
Room 3630, 330 C Street, SW., Washington, DC 20202.
provide the system manager with your name or your child's name and your address. Your
request for notification must also meet the requirements of the regulations at 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.
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.
the system manager 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, provide in writing your reasons for requesting the change, and
otherwise meet the regulations at 34 CFR 5b.7.
Information in this system is obtained from parents, advocates, and other third parties
that contact OSEP with concerns or complaints related to special education.
None.
18-16-02 RSA-911 Case Service Report
(69 FR 18723-18726)
18-16-02 April 8, 2004
SYSTEM NAME:
RSA-911 Case Service Report
None.
SYSTEM LOCATION(S):
Office of Policy and Planning, Office of the Assistant Secretary, Office of Special
Education and Rehabilitative Services, U.S. Department of Education, 330 C Street, SW., Mary
E. Switzer Building, room 3131, Washington, DC 20202-2524.
The RSA-911 Case Service Report database includes information on all persons exiting
the State Vocational Rehabilitation Services program (VR program) during each fiscal year.
This system consists of records relating to individuals who have exited the VR program,
including, but not limited to--the individual's social security number, disability characteristics,
services and training, health insurance, employment outcomes, and earnings.
Sections 13(b) and 101(a)(10) of the Rehabilitation Act of 1973, as amended (29 U.S.C.
712(b) and 721(a)(10)).
PURPOSE(S):
This system of records is maintained for program research and evaluation purposes.
The U.S. Department of Education (Department) may disclose information contained in a
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.
records to the Department of Justice (DOJ) and the Office of Management and Budget (OMB) if
the Department seeks advice regarding whether records maintained in the system of records
must be released under the FOIA and the Privacy Act of 1974, as amended (Privacy Act).
other inquiry related to the program covered by this system.
(iii) Any Department employee in his or her individual capacity if the DOJ agrees or has
been requested to provide or to arrange for representation of the employee;
(iv) Any Department employee in his or her individual capacity if the Department has
(a) 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
(b) Adjudicative disclosures. If the Department determines that disclosure of certain
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
(c) 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.
(6) Congressional Member Disclosure. The Department may disclose information to a
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.
(8) 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
civil, or criminal law or regulations if that information is relevant to any enforcement, regulatory,
(9) Disclosure to Other Federal Agencies, Including the Social Security Administration
and the Department of Veterans Affairs. The Department may disclose records to other Federal
agencies, including the Social Security Administration and the Department of Veterans Affairs,
for program research and evaluation purposes.
(10) Disclosure to the Veterans' Disability Benefits Commission. The Department may
disclose records to the Veterans' Disability Benefits Commission if requested to do so by this
commission in order to carry out the provisions of Title XV of Pub. L. 108-136, the National
Defense Authorization Act for Fiscal Year 2004.
STORAGE:
The Office of Special Education and Rehabilitative Services (OSERS) maintains all data
on a computer mainframe and CD-ROMs. Printed reports containing sensitive data produced
from this system are maintained within the locked filing cabinets within the access-restricted
Basic State Grants Branch within OSERS Headquarters.
RETRIEVABILITY:
This system will be accessible only to employees of OSERS. Each record in this system
can be retrieved by any of the categories of information listed under the CATEGORIES OF
RECORDS IN THE SYSTEM section in this notice.
SAFEGUARDS:
Access to this system will require a unique user identification as well as a password to
enter the system. Users will be required to change their passwords periodically, and they will not
be allowed to repeat old passwords. 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.
contract staff on a “need to know'' basis and controls individual users' ability to access and alter
records within the system.
The location of the server includes safeguards and firewalls, including the physical
security of the server room. In addition, the server is located in a secure room, with limited
access only through a special pass. Further, all physical access to the site where the server is
maintained is controlled and monitored by security personnel who check each individual
All printed reports containing sensitive data produced from this system are immediately
used for data clearing procedures and then shredded or placed into a confidential security file.
The files are maintained within the locked filing cabinets within the access-restricted Basic State
Grants Branch within OSERS Headquarters. In addition to these controls, computers are not left
on and unattended when users access the database, and sensitive information is placed out of
sight if visitors are present.
Shared output does not contain sensitive information. Aggregated data cannot be used
to identify individuals. For individual-level data that are shared with researchers, all identifying
information is removed from the file before the data are shared.
In addition, the following guidelines and procedures have been implemented for
protecting sensitive data and resources in this system:
Backup CDs are properly labeled “For Official Use Only--Property of the OSERS Basic
State Grants Branch.''
Electronic data (e.g., copies of the database on CDs with identifying information and edit
reports with identifying information) are stored in the locked file cabinets in the OSERS Basic
State Grants Branch. Management, operational, and technical controls for ensuring the safety of
confidential information are detailed within the Case Services System Security Plan.
Records Administration (NARA) General Records Schedule 20, Item 1.c, which provides
RSA-911 Case Service Report System Manager, Rehabilitation Services Administration,
Office of Special Education and Rehabilitative Services, U.S. Department of Education, 400
Maryland Avenue, SW., room 3226, Mary E. Switzer Building, Washington, DC 20202-2524.
provide the system manager with your name, address, and social security number. 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.
Request to access a record must also reasonably specify the record contents sought
and otherwise meet the requirements of the regulations in 34 CFR 5b.5, including proof of
identity.
the system manager at the above address and follow the steps outlined in the NOTIFICATION
PROCEDURE section of this notice. 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.
Records in this system are obtained from State vocational rehabilitation agencies
pursuant to Federal reporting requirements. These agencies collect data from individuals with
disabilities who exit their programs.
None.
18-16-03 Study of Former Vocational Rehabilitation Consumers' Post-Program
Experiences (Post-Vocational Rehabilitation Experiences Study)
(FR 72 11340-11342)
March 13, 2007
18-16-03
SYSTEM NAME:
Study of Former Vocational Rehabilitation Consumers' Post-Program Experiences (Post-
Vocational Rehabilitation Experiences Study).
None.
SYSTEM LOCATIONS:
(1) Rehabilitation Services Administration, Office of Special Education and Rehabilitative
Services, U.S. Department of Education, 400 Maryland Avenue, SW., Washington, DC,
20202-2800.
(2) (2) Westat, 1650 Research Boulevard, Rockville, MD, 20850-3195.
(3) InfoUse, 2560 Ninth Street, Suite 320, Berkeley, CA, 94710-2566.
This system contains records on former vocational rehabilitation (VR) consumers whose VR
service cases were closed in fiscal year (FY) 2006 (as determined from the RSA-911 Case
Service Report). The sample of former VR consumers includes those who achieved an
employment outcome as well as those who did not at the time of case closure. Four subgroups
of interest considered in the sample selection include transitioning youth and young adults
under 22 years of age, consumers with mental retardation, consumers with psychiatric
disabilities, and Supplemental Security Income and Social Security Disability Insurance
beneficiaries.
The system contains information on a sample of former VR consumers whose cases were
closed in FY 2006. The system includes records from the RSA-911 Case Service Report
containing employment data about the consumers, Social Security Administration data on
receipt and amount of social security benefits, Unemployment Insurance wage records data,
and information from baseline and follow-up surveys about post-VR experiences, particularly
related to employment outcomes and post-closure services.
Section 14(a) of the Rehabilitation Act of 1973, as amended (29 U.S.C. 711(a)).
PURPOSE(S):
This system of records is maintained for program research and evaluation purposes. The
Rehabilitation Services Administration commissioned this evaluation, which is also called the
Post-Vocational Rehabilitation Experiences Study. The Department's contractor, Westat,
is conducting the evaluation in collaboration with Westat's subcontractor, InfoUse. The goal of
this study is to examine the post-VR experiences of former VR consumers, considering their
labor market progression, receipt of other services and resources from the community, non-
economic outcomes, and receipt of Social Security Administration and other benefits. The study
will further consider changes over time, the relationship between individual characteristics and
outcomes, and how outcomes vary by specific subgroups of former consumers.
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.
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.
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 of 1974, as amended (Privacy Act) safeguards as required under 5 U.S.C.
552a(m) with respect to the records in the system.
(3) (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
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.
(4) Disclosure to Other Federal Agencies, Including the Social Security Administration at the
Department of Veterans Affairs. The Department may disclose records to other Federal
agencies, including the Social Security Administration and the Department of Veterans
Affairs, for program research and evaluation purposes.
STORAGE:
RETRIEVABILITY:
SAFEGUARDS:
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, and its subcontractor,
InfoUse, 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 Westat or InfoUse 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;
and additional security features that the network administrators establish for projects as needed.
Disposition Schedules, Part 3, Items 2b, 4a, and 5a.
Joe Pepin, Unit Leader, Data Collection and Analysis Unit, Rehabilitation Services
Administration, Office of Special Education and Rehabilitative Services, U.S. Department of
Education, 400 Maryland Avenue, SW., room 5057, Potomac Center Plaza, Washington, DC
20202-2800.
contact the system manager. Your request for information must meet the requirements of the
manager. Your request must meet the requirements of the regulations in 34 CFR 5b.5, including
proof of identity.
the system manager. Your request must meet the requirements of the regulations in 34 CFR
This system consists of information about former VR consumers and includes information
taken directly from former consumers. It also includes data taken from the RSA-911 Case
Service Report of former consumers, Social Security Administration records, Unemployment
Insurance wage records data, and baseline and follow-up surveys about post-VR experiences,
particularly related to employment outcomes and post-closure services.
None.
18-17-01 The Graduate Fellowship Programs Participants Study
(70 FR 51348-51351)
August 30, 2005
18-17-01
SYSTEM NAME:
The Graduate Fellowship Programs Participants Study.
None.
SYSTEM LOCATION:
Program and Analytic Studies Division, Policy and Program Studies Service, U.S. Department
of Education, 400 Maryland Avenue, SW., Room 6W231, Washington, DC 20202.
This system contains records on graduate students who received financial support through
one or more of the following programs sponsored by OPE: FLAS, DDRA, Javits, and GAANN
during the years 1997-1999.
This system consists of the name, address, and social security number of the study
participants as well as demographic information such as race/ethnicity, age, educational
background, degree and enrollment information; fellowship funding and financial support;
employment; and responses to survey questions.
20 U.S.C. 6381h and 6381j.
PURPOSE(S):
The information in this system is used for the following purposes: (1) to identify the
educational outcomes of study participants; and (2) to provide information to the Department on
the extent to which study participants obtain employment in areas that correspond to their fields
of study.
(1) Freedom of Information Act (FOIA) and the Privacy Act of 1974
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 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,
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 this system.
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
(iii) Any Department employee in his or her official capacity if the Department of Justice (DOJ)
is asked to provide or arrange for representation of the employee;
(iv) Any Department employee in his or her individual capacity if the Department has agreed
(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 (DOJ). If the
Department determines that disclosure of certain records to the DOJ, or attorneys employed by
the DOJ, is relevant and necessary to litigation or ADR, and is compatible with the purpose for
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
a routine use to the adjudicative body,
individual, or entity.
(d) Parties, counsels, representatives, and witnesses. If the Department determines that
to the party, counsel, representative, or witness.
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
(7) Disclosure for use by law enforcement agencies. The Department may disclose
information to any Federal, State, local, or other agency 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 agency's jurisdiction.
(8) Enforcement disclosure. In the event that information in this system of records indicates,
enforcing or implementing the statute, Executive order, rule, regulation, or order issued pursuant
thereto.
(9) 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
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 agency's decision on the matter.
(10) Employee grievance, complaint or conduct disclosure. The Department may disclose a
Department: Complaint, grievance, discipline or competence determination proceedings. The
disclosure may only be made during the
(11) Labor organization disclosure. The Department may disclose records from this system of
officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation. The
disclosures will be made only as authorized by law.
STORAGE:
Records are on a computer database as well as in hard copy.
RETRIEVABILITY:
The records in this system are indexed by the name of the individual and/or a number
assigned to each individual.
SAFEGUARDS:
All physical access to the Department's site, and the sites of Department contractors where
this system of records is maintained, controlled and monitored by security personnel. The
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, InfoUse, has established a set of
individuals is in files physically separated from other research data. InfoUse 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 InfoUse
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.
Director, Program and Analytic Studies Division, Policy and Program
Studies Service, U.S. Department of Education, 400 Maryland Avenue,
SW., room 6W231, Washington, DC 20202.
Information in this system is obtained from surveys with graduate students who received
financial support through one or more of the following programs sponsored by OPE: FLAS,
DDRA, Javits, and GAANN during the years 1997-1999. Surveys are being conducted as a
source of providing information.
None.
Follow Up Evaluation of the Gear Up Program
(70 FR 74792-74794)
December 16, 2005
18-17-02
SYSTEM NAME:
Follow Up Evaluation of the Gear Up Program.
None.
SYSTEM LOCATION:
Program and Analytic Studies Division, Policy and Program Studies Service, U.S.
Department of Education, 400 Maryland Avenue, SW., Room 6W231, Washington, DC
20202.
This system contains records on middle school students who participated in the
GEAR UP program in 2000-01 and a comparison group of non-participants from
schools matched on socio-demographic characteristics.
This system consists of the name, address, and social security number of the study
participants as well as demographic information such as race/ethnicity and age;
educational background, transcript information, service participation information, high
school graduation, and preliminary postsecondary enrollment information; and financial
aid application and award.
20 U.S.C. 1070a-27.
PURPOSE(S):
The information in this system is used for the following purposes: (1) to contribute to
the legislatively mandated GEAR UP program evaluation; and (2) generally to identify
the educational outcomes of study participants and the extent to which GEAR UP
participation is associated with positive outcomes in comparison to the control group.
(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 (OMB) if the Department concludes that disclosure is desirable or necessary in
determining whether the Freedom of Information Act (FOIA) requires particular records
to be disclosed.
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.
appropriate official of the Department determines that the individual or organization to
functions or purposes of a system of records to which this routine use applies. 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 the system
of records. The researcher must maintain Privacy Act safeguards with respect to the
disclosed records.
STORAGE:
Records are on a computer database as well as in hard copy.
RETRIEVABILITY:
The records in this system are indexed by the name of the individual and/or a number
assigned to each individual.
SAFEGUARDS:
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
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.
Records are maintained and disposed of in accordance with the Department's
ED/RDS Part 3, Items 1, 2 or 3. Design, implementation, and final reports of the study
are permanent records. They are maintained by the Department for 10 years, and then
transferred to the National Archives and Records Administration. Administrative records
of the study are destroyed 2 years after completion of the project.
Director, Program and Analytic Studies Division, Policy and Program Studies Service,
U.S. Department of Education, 400 Maryland Avenue, SW., room 6W231, Washington,
DC 20202.
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 in 34 CFR 5b.5, including proof of identity.
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
contact the system manager. Your request must meet the requirements of the
Department's Privacy Act regulations in 34 CFR 5b.7, including proof of identity.
Information in this system is obtained from surveys with students who were in middle
school in 2000-01 and who participated in the GEAR UP program and from a
comparison group of students. Students are to be surveyed in spring 2006 when normal
progression would make them seniors in high school. Surveys are being conducted as a
source of providing information.
None.
System Notice Template
SYSTEM NAME:
SYSTEM LOCATION:
PURPOSE(S):


STORAGE:
RETRIEVABILITY:
SAFEGUARDS:
Organization Acronyms
OS Office of the Secretary

OCFO Office of Chief Financial Officer
OCIO Office of the Chief Information Officer
OM Office of Management
OCO Office of Communications and Outreach
OLCA Office of Legislation and Congressional Affairs
OCR Office of Civil Rights
OGC Office of General Counsel
OIG Office of Inspector General
FSA Federal Student Aid
OPE Office of Primary Education
IES Office of Institute of Education Sciences
OIG Office of the Inspector General
OESE Office of Elementary and Secondary Education
OPEPD Office of Planning, Evaluation and Policy Development
OELA Office of English Language Acquisition
OSERS Office of Special Education and Rehabilitative Services

Description: Tags: Issuances

Transféré par

Informations du document

Description originale:

Titre original

Copyright

Formats disponibles

Partager ce document

Partager ou intégrer le document

Options de partage

Avez-vous trouvé ce document utile ?

Ce contenu est-il inapproprié ?

Droits d'auteur :

Formats disponibles

Description: Tags: Issuances

Transféré par

Droits d'auteur :

Formats disponibles

5 U.S.C.

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

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

18-05-18 Education Publications Center (ED PUBS)............................................................117

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

18-07-01 Congressional Members' Biographies System........................................................138

18-07-02 Congressional Grant Notification Control System.................................................140

18-08-01 Complaint Files and Log...........................................................................................143

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

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

18-11-01 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

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

18-11-15 Return of Title IV Funds on the Web(R2T4OTW)………………………………238

18-11-16 Common Services for Borrowers (CSB)..................................................................243

18-12-01 Title VI Foreign Language and Area Studies Fellowships (FLAS).......................251

18-12-02 Fulbright-Hays--Doctoral Dissertation Research Abroad (DDRA), Faculty

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

18-12-06 Teacher Quality Recruitment Scholarship System................................................270

18-13-02 National Center for Education Statistics Affidavits of Nondisclosure.................277

18-13-03 National Center for Education Statistics' National Assessment of

18-13-04 Outcomes of Diversity in Higher Education Study................................................284

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

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

18-14-01 Educationally Disadvantaged Students Attending Private Schools Served

18-14-02 Fellowships for Indian Students--Applications and Awards.................................331

18-14-03 Native Hawaiian Education Council Membership.................................................333