[Federal Register Volume 78, Number 204 (Tuesday, October 22, 2013)]
[Notices]
[Pages 62605-62609]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-24688]
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DEPARTMENT OF EDUCATION
Privacy Act of 1974; System of Records--Office of Hearings and
Appeals (OHA) Records System
AGENCY: Office of Hearings & Appeals, Office of Management, Department
of Education.
ACTION: Notice of a new system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, as amended
(Privacy Act), the Department of Education (Department) publishes this
notice of a new system of records entitled ``The Office of Hearings &
Appeals (OHA) Records System'' (18-05-19).
DATES: Submit your comments on the system of records in this notice on
or before November 21, 2013. The Department filed a report describing
the new system of records covered by this notice with the Chair of the
Senate Committee on Homeland Security and Governmental Affairs, the
Chair of the House Committee on Oversight and Government Reform, and
the Administrator of the Office of Information and Regulatory Affairs,
Office of Management and Budget (OMB) on September 26, 2013. This
system of records will become effective at the later date of--(1) the
expiration of the 40 day period for OMB review on November 5, 2013,
unless OMB waives 10 days of the 40-day review period for compelling
reasons shown by the Department, or (2) November 21, 2013, unless the
system of records needs to be changed as a result of public comment or
OMB review. The Department will publish any changes to the system of
records or routine uses that result from public comment or OMB review.
ADDRESSES: Address all comments about this new system of records notice
to Frank Furey, Director, Office of Hearings & Appeals, Office of
Management, U.S. Department of Education, 400 Maryland Avenue SW.,
Suite 2100A, Washington, DC 20202-4416. If you prefer to send your
comments through the Internet, use the following address:
[email protected].
You must include the term ``OHA system of records'' in the subject
line of your electronic message.
[[Page 62606]]
During and after the comment period, you may inspect all comments
about this notice at the U.S. Department of Education in room 2100A,
400 Maryland Avenue SW., Washington, DC, between the hours of 8:00 a.m.
and 4:30 p.m., Eastern Time, Monday through Friday of each week except
Federal holidays.
Assistance to Individuals With Disabilities in Reviewing the Rulemaking
Record
On request we will supply an appropriate accommodation or auxiliary
aid to an individual with a disability, such as a reader or print
magnifier, who needs assistance to review the comments or other
documents in the public rulemaking record for this notice. If you want
to schedule an appointment for this type of accommodation or auxiliary
aid, please contact the person listed under FOR FURTHER INFORMATION
CONTACT.
FOR FURTHER INFORMATION CONTACT: Frank Furey, Director, Office of
Hearings & Appeals, Office of Management, U.S. Department of Education,
400 Maryland Avenue SW., Suite 2100A, Washington, DC 20202-4416.
If you use a telecommunications device for the deaf (TDD) or text
telephone (TTY), you may call the Federal Relay Service (FRS), toll
free, at 1-800-877-8339.
SUPPLEMENTARY INFORMATION:
Introduction
The Privacy Act requires the Department to publish in the Federal
Register this notice of a new system of records maintained by the
Department (5 U.S.C. 552a(e)(4) and (11)). The Department's regulations
implementing the Privacy Act are contained in the Code of Federal
Regulations (CFR) in 34 CFR part 5b.
The Privacy Act applies to any record about an individual that is
maintained in a system of records from which individually identifying
information is retrieved by a unique identifier associated with each
individual, such as a name or Social Security number. The information
about each individual is called a ``record,'' and the system, whether
manual or computer-based, is called a ``system of records.''
The Privacy Act requires each agency to publish a notice of a
system of records in the Federal Register and to prepare and send a
report to OMB whenever the agency publishes a new system of records or
makes a significant change to an established system of records. Each
agency is also required to send copies of the report to the Chair of
the Senate Committee on Homeland Security and Governmental Affairs and
the Chair of the House Committee on Oversight and Government Reform.
These reports are included to permit an evaluation of the probable
effect of the proposal on the privacy rights of individuals.
``The Office of Hearings & Appeals (OHA) Records System'' reflects
how the Office of Hearings and Appeals processes its records, including
the development of a case tracking database and the use of electronic
filing designed to streamline case management. This system of records
also reflects the Office of Hearings and Appeals' jurisdiction over
salary offset cases including waiver requests and hearing requests
challenging the validity of salary overpayment debts involving current
and former Department employees, and administrative wage garnishment
cases under the cross servicing program of the Department and the U.S.
Department of the Treasury.
This notice describes in detail the system of records, including
among other items, its title, location, authority for maintenance of
the system, routine uses of records maintained in the system, policies
and practices for storing, retrieving, accessing, retaining, and
disposing of records in the system (specifically the retention and
disposal of system records), safeguards that protect the records in the
system, and system manager's title and address.
Accessible Format: Individuals with disabilities can obtain this
document in an accessible format (e.g., braille, large print,
audiotape, or compact disc) on request to the contact person listed in
the preceding paragraph.
Electronic Access to this Document: The official version of this
document is the document published in the Federal Register. Free
Internet access to the official edition of the Federal Register and the
Code of Federal Regulations is available via the Federal Digital System
at: www.gpo.gov/fdsys. At this site you can view this document, as well
as all other documents of this Department published in the Federal
Register, in text or Adobe Portable Document Format (PDF). To use PDF
you must have Adobe Acrobat Reader, which is available free at the
site.
You may also access documents of the Department published in the
Federal Register by using the article search feature at:
www.federalregister.gov. Specifically, through the advanced search
feature at this site, you can limit your search to documents published
by the Department.
Dated: October 17, 2013.
Denise L. Carter,
Principal Deputy Assistant Secretary for Management. Delegated the
Authority to Perform the Functions and Duties of the Assistant
Secretary for Management.
For the reasons discussed in the preamble, the Principal Deputy
Assistant Secretary for Management, U.S. Department of Education
publishes a notice of a new system of records to read as follows:
SYSTEM NUMBER: 18-05-19
SYSTEM NAME:
The Office of Hearings & Appeals (OHA) Records System.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
OHA, Office of Management, U.S. Department of Education, 400
Maryland Avenue SW., Suite 2100A, 490 L'Enfant Plaza, Washington, DC
20202-4616.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system of records contains records about current and former
Department of Education (Department) employees against whom the
Department has a claim for a salary overpayment debt who request a
waiver or challenge the validity of a salary overpayment. It also
contains records regarding recipients subject to administrative wage
garnishments under the cross servicing program of the Department and
the U.S. Department of the Treasury (Treasury). Administrative wage
garnishment applies to collection of any financial obligation owed to
the United States by an individual that arises under a program the
Department administers with the exception of debts that arise from an
individual's obligation to repay a loan or an overpayment of a grant
received under a student financial assistance program authorized under
title IV of the Higher Education Act of 1965, as amended.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records notice covers salary overpayment case files
that contain information that is pertinent to the particular claim
(e.g., a request for a waiver of a salary overpayment filed by current
or former Department employees or a salary pre-offset hearing request
filed by a current or former Department employee), including but not
limited to, documents that contain the employee's name, sex, date of
birth, home address, telephone number, email address, as well as
information that is pertinent to the particular claim being
[[Page 62607]]
asserted, including audits of payroll accounts during period(s) of
overpayments, earning and leave statements, identity of debtors and
information pertaining to how debts arose, and documents relating to
financial hardship.
This system of records also covers wage garnishment case files that
contain information that is pertinent to the particular claim (e.g., a
wage garnishment proceeding) including but not limited to, documents
that contain the individual's name, sex, date of birth, home address,
telephone number, email address, as well as information that is
pertinent to the particular claim being asserted, including documents
relating to the existence, amount, or current enforceability of the
debt, financial hardship, and payroll documentation.
This system of records does not include records covered by other
Departmental or governmental system of records notices, such as the
Department's systems of records notices entitled ``Education's Central
Automated Processing System (EDCAPS)'' (18-03-02) and the ``Receivables
Management System'' (18-03-03) (which the Department soon expects to
delete and include as part of the EDCAPS system of records notice).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 5584; 31 U.S.C. Sec. 3711 et seq.;, 34 CFR part 32; 34
CFR part 34; Federal Claims Collection Standards (FCCS) 31 CFR chapter
IX, parts 900-904; and the U.S. Department of Education, Administrative
Communications System, Handbook for Processing Salary Overpayments
(Handbook ACS-OM-04) (Jan. 19, 2012).
PURPOSE(S):
The information in this system of records is used: To adjudicate
requests for waivers of salary overpayments and claims regarding the
validity of salary overpayments made to current and former employees
and to adjudicate administrative wage garnishments under the cross
servicing program of the Department and Treasury. The Department also
uses the OHA Records System to provide docket management, including
scheduling of hearings, oral arguments, and determining compliance with
parties' filing deadlines and to produce docket reports that may be
distributed internally in the Department. The authorities identified in
this notice require hearing officers to preside over and issue
decisions regarding the aforementioned cases.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department may disclose information contained in a record in
this system of records without the consent of the individual if the
disclosure is compatible with the purposes for which the record was
collected. The Department may make these disclosures on a case-by-case
basis or, if the Department has complied with the computer matching
requirements of the Computer Matching and Privacy Protection Act of
1988, as amended, under a computer matching agreement.
(1) Program Purposes. The Department may disclose records from this
system of records to any agency or entity administering the
Department's payroll system to inform them of decisions regarding
salary overpayment cases.
(2) Debt Servicing. The Department may disclose records to Treasury
or to the employers of individuals subject to administrative wage
garnishments for the purpose of collecting debts owed to the Government
by individuals subject to administrative wage garnishments.
(3) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, local, or
foreign agency or other public authority responsible for enforcing,
investigating, or prosecuting violations of administrative, civil, or
criminal law or regulation if that information is relevant to any
enforcement, regulatory, investigative, or prosecutorial responsibility
within the receiving entity's jurisdiction.
(4) Enforcement Disclosure. In the event that information in this
system of records indicates, either on its face or in connection with
other information, a violation or potential violation of any applicable
statute, regulation, or order of a competent authority, the Department
may disclose the relevant records to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting that violation or
charged with enforcing or implementing the statute, executive order,
rule, regulation, or order issued pursuant thereto.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the parties listed in
this paragraph is involved in judicial or administrative litigation or
ADR, or has an interest in judicial or administrative litigation or
ADR, the Department may disclose certain records to the parties
described in paragraphs (b), (c), and (d) of this routine use under the
conditions specified in those paragraphs:
(i) The Department of Education, or any component of the
Department;
(ii) Any Department employee in his or her official capacity;
(iii) Any Department employee in his or her individual capacity if
the Department of Justice (DOJ) has been requested to or has agreed to
provide or arrange for representation for the employee;
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States where the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Disclosure to the Department of Justice (DOJ). If the
Department determines that disclosure of certain records to the DOJ is
relevant and necessary to judicial or administrative litigation or ADR,
the Department may disclose those records as a routine use to the DOJ.
(c) Adjudicative Disclosures. If the Department determines that it
is relevant and necessary to the judicial or administrative litigation
or ADR to disclose certain records to an adjudicative body before which
the Department is authorized to appear, to an individual, or to an
entity designated by the Department or otherwise empowered to resolve
or mediate disputes, the Department may disclose those records as a
routine use to the adjudicative body, individual, or entity.
(d) 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
judicial or administrative litigation or ADR, the Department may
disclose those records as a routine use to the party, counsel,
representative, or witness.
(6) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
[[Page 62608]]
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(7) Employee Grievance, Complaint, or Conduct Disclosure. The
Department may disclose a record in this system of records to another
agency of the Federal Government if the record is relevant to one of
the following proceedings regarding a current or former employee of the
Department: A complaint, a grievance, or a disciplinary or competency
determination proceeding. The disclosure may only be made during the
course of the proceeding.
(8) 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.
(9) Freedom of Information Act (FOIA) and Privacy Act Advice
Disclosure. The Department may disclose records to the Department of
Justice or the Office of Management and Budget (OMB) if the Department
concludes that disclosure is desirable or necessary in determining
whether particular records are required to be disclosed under FOIA or
the Privacy Act.
(10) Disclosure to the Department of Justice. 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.
(11) Contract Disclosure. If the Department contracts with an
entity for the purposes of performing any function that requires
disclosure of records in this system to employees of the contractor,
the Department may disclose the records to those employees. Before
entering into such a contract, the Department 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.
(12) Research Disclosure. The Department may disclose records to a
researcher if an appropriate official of the Department determines that
the individual or organization to which the disclosure would be made is
qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The Department must require the researcher to
maintain Privacy Act safeguards as required under 5 U.S.C. 552a(m) with
respect to the disclosed records.
(13) Congressional Member Disclosure. The Department may disclose
records to a member of Congress from the record of an individual in
response to an inquiry from the member made at the written request of
that individual. The member's right to the information is no greater
than the right of the individual who requested it.
(14) 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.
(15) Disclosure in the Course of Responding to Breach of Data. The
Department may disclose records from this system of records to
appropriate agencies, entities, and persons when: (a) The Department
suspects or has confirmed that the security or confidentiality of
information in the OHA Records Systems 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 the OHA Records System or other systems or programs
(whether maintained by the Department or another agency or entity) that
rely upon the compromised information; and, (c) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist
in connection with the Department's efforts to respond to the suspected
or confirmed compromise and prevent, minimize, or remedy such harm.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable to this system of records notice.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The Department maintains records in paper files in filing cabinets,
and electronically on a computerized tracking system.
RETRIEVABILITY:
Records are indexed by docket number and can be retrieved by the
name of the non-Government party.
SAFEGUARDS:
Records are maintained electronically and in paper files.
All physical access to the Department's site where these paper and
electronic 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. Paper records are maintained in a
secured space in locked cabinets.
In accordance with the Department's Administrative Communications
System (ACS) Directive OM: 5-101 entitled ``Contractor Employee
Personnel Security Screenings,'' all contract 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 holding security clearances, 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.
The computer system employed by the Department offers a high degree
of resistance to tampering and circumvention. This security system
limits data access to Department and contract staff on a need-to-know
basis, and controls individual users' ability to access and alter
records within the system. All users of this system of records are
given a unique user identification.
The OHA electronic records system is a web-based J2EE application
that is platform independent which captures all information relating to
salary overpayment cases and administrative wage garnishment cases.
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 90 days and may not repeat the old password.
[[Page 62609]]
Any individual attempting to log on who fails is locked out of the
system after three attempts. Access after that time requires
intervention by the system manager.
RETENTION AND DISPOSAL:
The records are maintained in accordance with the Department of
Education Records Disposition Schedules (ED/RDS) 241 and 243. Under ED/
RDS 241, ``Administrative Adjudication Files for the Office of Hearings
and Appeals,'' official docket files are cut off annually upon close of
a case and transferred to a certified records center or to a certified
records storage facility one year after cut off. Files will be
destroyed or deleted six years after cutoff.
For attorney working files, these files will be cut off annually
upon close of case and destroyed or deleted when no longer needed for
administrative or reference purposes.
Duplicate copies maintained for reference purposes and that do not
serve as the record copy will be destroyed or deleted when no longer
needed for reference.
Under ED/RDS 243, ``Decisions Made by Hearing Officials,
Administrative Law Judges, the Secretary of Education and Members of
the CRRA,'' copies of the original decision are permanent and removed
before official docket file is transferred to a certified records
center. Original decisions are held on site and transferred to the
National Archives and Records Administration in five-year blocks.
Duplicate copies regardless of medium maintained for reference purposes
do not serve as the record copy and will be destroyed/deleted when no
longer needed for reference.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Hearings & Appeals, Office of Management, U.S.
Department of Education, 400 Maryland Avenue SW., Suite 2100A, 490
L'Enfant Plaza, Washington, DC 20202-4616.
NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
the system of records, contact the system manager. Your request must
meet the requirements of the regulations at 34 CFR 5b.5, including
proof of identity.
RECORD ACCESS PROCEDURE:
If you wish to gain access to a record regarding you in the system
of records, contact the system manager. Your request must meet the
requirements of the regulations at 34 CFR 5b.5, including proof of
identity.
CONTESTING RECORD PROCEDURE:
If you wish to contest the content of a record regarding you in the
system of records, contact the system manager. Your request must meet
the requirements of the regulations at 34 CFR 5b.7.
RECORD SOURCE CATEGORIES:
The information in the OHA Records System comes from a number of
sources including: Employees, former employees, and grant recipients.
Information may also be supplied by an individual's attorney or
representative and by Department officials or other employees.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
[FR Doc. 2013-24688 Filed 10-21-13; 8:45 am]
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