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<DOC> [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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