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

National Center for Education Statistics Affidavits of Nondisclosure.

DEPARTMENT OF EDUCATION

18-13-02

System name:
National Center for Education Statistics Affidavits of Nondisclosure.

Security classification:
None.

System location:
See the Appendix to this system notice.

Categories of individuals covered by the system:
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.

Categories of records in the system:
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.

Authority for maintenance of the system:
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:
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. 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.
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 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 of Education, or any component of the Department; or
      2. Any Department employee in his or her official capacity; or
      3. 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
      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.
4. Disclosure to the DOJ. If the Department determines that disclosure of certain 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.
5. 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.
6. 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.
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 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.
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. 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 under 5 U.S.C. 552a(m) with respect to such records.

Disclosure to consumer reporting agencies:
Not applicable to this system of records.

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

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.

Retention and disposal:
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.

System manager(s) and address:

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 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.

Record access procedures:
If you wish to gain access to records regarding you in this system of records, contact the 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 5b.5, including proof of identity.

Contesting record procedures:
If you wish to contest the content of a record regarding you, contact the system manager. Your request to amend a record must meet the requirements of 43 CFR 5b.7.

Record source categories:
Information in the records comes from individuals who have signed the affidavits of nondisclosure.

Systems exempted from certain provisions of the act:
None.

Additional System Locations

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, 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.