A r c h i v e d  I n f o r m a t i o n

Freedom of Information Act and Privacy Act Case Files.

DEPARTMENT OF EDUCATION

18-04-01

System name:
Freedom of Information Act and Privacy Act Case Files.

Security classification:
None.

System location:

Categories of individuals covered by the system:
This system contains records and related correspondence on individuals who have submitted requests for information under the provisions of the Freedom of Information Act (FOIA) (5 U.S.C. 552) or the Privacy Act (5 U.S.C. 552a), as well as individuals whose records have been the subject of a FOIA or Privacy Act request.

Categories of records in the system:
This system contains correspondence and other documents related to requests made by individuals pursuant to the Freedom of Information Act and the Privacy Act.

Authority for maintenance of the system:
The Freedom of Information Act, 5 U.S.C. 552, as amended; The Privacy Act of 1974, 5 U.S.C. 552a, as amended.

Purpose(s):
These records are maintained to process individuals' requests made under the provisions of the Freedom of Information Act and the Privacy Act. The records are also used by the Department of Education (the Department) to prepare its reports to OMB and Congress as required by the Freedom of Information Act and the Privacy Act.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
The Department may disclose information contained in a record in this system of records under the routine uses listed in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. These disclosures may be made on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act, under a computer matching agreement.

1. Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information to any Federal, State, local, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation if that information is relevant to any enforcement, regulatory, investigative, or prosecutive responsibility within the receiving entity's jurisdiction.
2. Enforcement Disclosure. In the event that information in this system of records indicates, either on its face or in connection with other information, a violation or potential violation of any applicable statute, regulation, or order of a competent authority, the Department may disclose the relevant records to the appropriate agency, whether foreign, Federal, State, Tribal, or local, charged with the responsibility of investigating or prosecuting that violation or charged with enforcing or implementing the statute, executive order, rule, regulation, or order issued pursuant thereto.
3. Litigation and Alternative Dispute Resolution (ADR) Disclosures.
   1. Introduction. In the event that one of the parties listed below is involved in litigation or ADR, or has an interest in litigation or ADR, the Department may disclose certain records to the parties described in paragraphs (b), (c) and (d) of this routine use under the conditions specified in those paragraphs:
      1. The Department, or any component of the Department; or
      2. Any Department employee in his or her official capacity; or
      3. 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;
      4. Any Department employee in his or her individual capacity where the agency has agreed to represent the employee; or
      5. The United States where the Department determines that the litigation is likely to affect the Department or any of its components.
   2. Disclosure to the DOJ. If the Department determines that disclosure of certain records to the DOJ is relevant and necessary to litigation or ADR, the Department may disclose those records as a routine use to the DOJ.
   3. Administrative Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear, an individual or entity designated by the Department or otherwise empowered to resolve 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.
   4. Parties, counsels, representatives and witnesses. If the Department determines that disclosure of certain records to a party, counsel, representative or witness in an administrative proceeding is relevant and necessary to the litigation, the Department may disclose those records as a routine use to the party, counsel, representative or witness.
4. Employment, Benefit, and Contracting Disclosure.
   1. For Decisions by the Department. The Department may disclose a record to a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement or other pertinent records, or to another public authority or professional organization, if necessary to obtain information relevant to a Department decision concerning the hiring or retention of an employee or other personnel action, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
   2. For Decisions by Other Public Agencies and Professional Organizations. The Department may disclose a record to a Federal, State, local, or foreign agency or other public authority or professional organization, in connection with the hiring or retention of an employee or other personnel action, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit, to the extent that the record is relevant and necessary to the receiving entity's decision on the matter.
5. Employee Grievance, Complaint or Conduct Disclosure. The Department may disclose a record in this system of records to another agency of the Federal Government if the record is relevant to one of the following proceedings regarding a present or former employee of the Department: complaint, grievance, discipline or competence determination proceedings. The disclosure may only be made during the course of the proceeding.
6. Freedom of Information Act (FOIA) Advice Disclosure. The Department may disclose records to the Department of Justice and the Office of Management and Budget if the Department concludes that disclosure is desirable or necessary in determining whether particular records are required to be disclosed under the FOIA.
7. Disclosure to the Department of Justice (DOJ). The Department may disclose records to the DOJ to the extent necessary for obtaining DOJ advice on any matter relevant to an audit, inspection, or other inquiry related to the programs covered by this system.
8. Congressional Member Disclosure. The Department may disclose records to a member of Congress from the record of an individual in response to an inquiry from the member made at the written request of that individual. The member's right to the information is no greater than the right of the individual who requested it.
9. Contract Disclosure. If the Department contracts with an entity for the purposes of performing any function that requires disclosure of records in this system to employees of the contractor, the Department may disclose the records to those employees. Before entering into such a contract, the Department shall require the contractor to maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with respect to the records in the system.

Disclosure to consumer reporting agencies:
Not applicable.

Policies and practices for storing, retrieving, accessing, retaining and disposing of records in the system:

Storage:
Records are maintained in hard copy and in word processing software.

Retrievability:
Records are retrieved by the name of the individual.

Safeguards:
Records are stored in locked metal filing cabinets or in a secured room, with access limited to personnel whose duties require access. All physical access to the Department's sites, and the sites of Department contractors where this system of records is maintained, is controlled and monitored by security personnel who check each individual entering the building for an employee or visitor badge.

Retention and disposal:
Records relating to the agency's implementation of the FOIA and the Privacy Act are disposed of in accordance with the General Records Schedule (GRS) 14 issued by the National Archives and Records Administration.

System manager(s) and address:
Freedom of Information Officer, Room 5624, ROB-3, 400 Maryland Avenue, SW., Washington, DC 20202-4651.
Privacy Act Officer, Room 5624, ROB-3, 400 Maryland Avenue, SW., Washington, DC 20202-4651.
See the Appendix at the end of this notice for additional system managers.

Notification procedure:
If you wish to inquire whether a record exists regarding you in this system, you should contact the appropriate system manager at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received. You must provide your name, date of the request, name of organization, and subject matter. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity.

Record access procedures:
If you wish to request access to your records, you should contact the appropriate system manager at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received. You must comply with the Department's Privacy Act regulations at 34 CFR 5b.5, including proof of identity.

Contesting record procedures:
If you wish to request an amendment to your records, you should contact the appropriate system manager at the appropriate office or region where the original FOIA or Privacy Act requests were sent, or from where the response was received. Your request must meet the requirements of the Department's Privacy Act regulations at 34 CFR 5b.7.

Record source categories:
Information in this system of records is obtained from the individual to whom the information applies, officials of the Department, and official Department documents.

System exempted from certain provisions of the act:
The Department has claimed exemptions for several of its other systems of records under 5 U.S.C. 552a(k) (1), (2), (3), (4), (5),(6), and (7). During the course of processing a Freedom of Information Act or Privacy Act request, exempt materials from those other systems may be included in the Freedom of Information Act and Privacy Act Case Files; these materials maintain their exempt status.

Additional System Locations

Office of the Secretary

U.S. Department of Education, 400 Maryland Avenue, SW, room 7C122, Washington, DC 20202.

Office of the Deputy Secretary

U.S. Department of Education, 400 Maryland Avenue, SW, room 7W310, Washington, DC 20202.

Office of the Under Secretary

U.S. Department of Education, 400 Maryland Avenue, SW, room 6W300, Washington, DC 20202.

Office of Postsecondary Education

U.S. Department of Education, Seventh and D Streets, SW, room 4913, ROB-3, Washington, DC 20202.

Office of the Chief Financial Officer

U.S. Department of Education, 400 Maryland Avenue, SW, room 4E223, Washington, DC 20202.

Office of Educational Research and Improvement

U.S. Department of Educations 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.