Privacy Act: [18-08-01]...

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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]


[Page 39505-29422]



   #.DEPARTMENT OF EDUCATION


                                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:

                   Index of Systems and System Numbers

   18-01-01  Secretary's Communication Control System.
   18-01-02  Education Senior Management Biographies.
   18-02-01  Even Start Performance Information Reporting System and 
            Experimental Design Study.
   18-03-01  Debarment and Suspension Proceedings Under Executive Order 
            12549, the Drug-Free Workplace Act, and the Federal 
            Acquisition Regulations.
   18-03-02  Education's Central Automated Processing System (EDCAPS).
   18-03-03  Receivables Management System.
   18-03-04  Files and Lists of Potential and Current Consultants, Grant 
            Application Reviewers, Peer Reviewers, and Site Visitors.
   18-04-01  Freedom of Information Act and Privacy Act Case Files
   18-04-02  Freedom of Information Act and Privacy Act Tracking System.
   18-04-03  ED Web Personalization Pilot Data Collection.
   18-05-01  Departmental Parking Control Policy.
   18-05-02  Family Educational Rights and Privacy Act (FERPA) and 
            Protection of Pupil Rights Amendment (PPRA) Record Systems.
   18-05-03  Federal Personnel Payroll System.
   18-05-04  Discrimination Complaints Records System.
   18-05-05  Grievances Filed Formally Under the Administrative 
            Grievance Procedures.
   18-05-06  Grievance Records Filed Under Procedures Established by 
            Labor-Management Negotiations.
   18-05-07  Unfair Labor Practice Records.
   18-05-08  Official Time Records of Union Officials and Bargaining 
            Unit Employees at the Department of Education.
   18-05-09  Voluntary Leave Transfer Program.
   18-05-10  General Performance Appraisal System (GPAS).
   18-05-11  Training Registration and Information System (TRAINS).
   18-05-12  Grievances Filed Informally through the Informal Dispute 
            Resolution Center (IDR).
   18-05-13  Child Care Subsidy Program System.
   18-05-14  Individual Development Planning System.
   18-06-01  Federal Advisory Committee Membership Files.
   18-06-02  Telephone Directory/Locator System.
   18-06-03  Presidential Scholars Files of Selected Participants.
   18-06-04  Satellite Event Participant Registration System
   18-07-01  Congressional Members' Biographies.
   18-07-02  Congressional Grant Notification Control System.
   18-08-01  Case Information System.
   18-08-02  Complaint Files and Log.
   18-09-01  Administrative Claims.
   18-09-02  OGC-Attorney Applicant Files.
   18-09-03  Employee Conduct--Government Ethics.
   18-09-04  Litigation Files, Administrative Complaints, and Adverse 
            Personnel Actions.
   18-10-01  Investigative Files of the Inspector General.
   18-10-02  Investigatory Material Complied for Personnel Security and 
            Suitability Purposes.
   18-10-03  OIG Non-Federal Auditor Referral, Suspension, and Debarment 
            File.
   18-10-04  Hotline Complaint Files of the Inspector General.
   18-11-01  Federal Student Aid Application File.
   18-11-02  Recipient Financial Management System.
   18-11-03  Student Financial Assistance Validation File.
   18-11-05  Title IV Program Files.
   18-11-06  National Student Loan Data System.
   18-11-07  Student Financial Assistance Collection Files.
   18-11-08  Student Account Manager
   18-11-09  Postsecondary Education Participants System (PEPS).
   18-11-10  Title IV Wide Area Network (Title IV WAN)
   18-11-11  Office of the Student Loan Ombudsman Records
   18-11-12  The Department of Education (ED) PIN (Personal 
            Identification Number) Registration System
   18-11-13  Student Authentication Network Audit File.
   18-12-01  Title IV Foreign Language and Area Studies Program.
   18-12-02  Fulbright-Hays Doctoral Dissertation Research Abroad, 
            Fulbright-Hays Faculty Research Abroad, and Fulbright-Hays 
            Seminars Abroad.
   18-12-03  Jacob K. Javits Fellows System.
   18-12-04  Title VI International Research and Studies Program.
   18-12-05  Graduate Assistance in Areas of National Need (GAANN) 
            Program Assessment System
   18-12-06  Teacher Quality Recruitment Scholarship System.
   18-13-01  National Center for Education Statistics Longitudinal 
            Studies and the School and Staffing Surveys.
   18-13-02  National Center for Education Statistics Affidavits of 
            Nondisclosure.
   18-13-03  National Center for Education Statistics' National 
            Assessment of Educational Progress.
   18-13-04  Outcomes of Diversity in Higher Education Surveys.
   18-13-05  Education Publications Center (ED PUBS)
   18-14-01  Educationally Disadvantaged Students Attending Private 
            Schools Served Through Bypass Contracts.
   18-14-02  Fellowships for Indian Students--Applications and Awards.
   18-15-01  Bilingual Education Graduate Fellowship Program.

   #..18-01-01

   #....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 repoting 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 

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