Privacy Act of 1974; System of Records, 46075-46079 [2020-16230]

Agencies

• DEPARTMENT OF EDUCATION

[Federal Register Volume 85, Number 148 (Friday, July 31, 2020)]
[Notices]
[Pages 46075-46079]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-16230]


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DEPARTMENT OF EDUCATION

[Docket ID ED-2020-OSERS-0042]


Privacy Act of 1974; System of Records

AGENCY: Office of Special Education and Rehabilitative Services, 
Department of Education.

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended 
(Privacy Act), the U.S. Department of Education (the Department) 
publishes this notice of a modified system of records entitled ``Case 
Service Report (RSA-911)'' (18-16-02), last published in full in the 
Federal Register on April 8, 2004. The system contains information on 
individuals who are participating in or who have exited from the State 
Vocational Rehabilitation (VR) Services program, and the State 
Supported Employment (SE) Services program as applicable.

DATES: Submit your comments on or before August 31, 2020.
    This modified system of records will become applicable upon 
publication in the Federal Register on July 31, 2020. New routine use 
disclosures (9) and (10), and significantly modified routine uses (3), 
(4), and (5), outlined in the ROUTINE USES OF RECORDS MAINTAINED IN THE 
SYSTEM, INCLUDING CATEGORIES OF USERS AND PURPOSES OF SUCH USES will 
become applicable on August 31, 2020, unless the modified system of 
records notice needs to be changed as a result of public comment. The 
Department will publish any significant changes resulting from public 
comment.

ADDRESSES: Submit your comments through the Federal eRulemaking Portal 
or via postal mail, commercial delivery, or hand delivery. We will not 
accept comments submitted by fax or by email or those submitted after 
the comment period. To ensure that we do not receive duplicate copies, 
please submit your comments only once. In addition, please include the 
Docket ID at the top of your comments.
     Federal eRulemaking Portal: Go to www.regulations.gov to 
submit your comments electronically. Information on using 
Regulations.gov, including instructions for accessing agency documents, 
submitting comments, and viewing the docket, is available on the site 
under the ``help'' tab.
     Postal Mail, Commercial Delivery, or Hand Delivery: If you 
mail or deliver your comments about this modified system of records, 
address them to: Chief, Data Collection & Analysis Unit, Rehabilitation 
Services Administration, Office of Special Education and Rehabilitative 
Services, U.S. Department of Education, 550 12th Street SW, Washington, 
DC 20202-2800.
    Privacy Note: The Department's policy is to make all comments 
received from members of the public available for public viewing in 
their entirety on the Federal eRulemaking Portal at 
www.regulations.gov. Therefore, commenters should be careful to include 
in their comments only information that they wish to make publicly 
available.
    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 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: Christopher Pope, Chief, Data 
Collection & Analysis Unit, Rehabilitation Services Administration, 
Office of Special Education and Rehabilitative Services, U.S. 
Department of Education, 550 12th Street SW, Washington, DC 20202-2800. 
Telephone: (202) 245-7375.
    If you use a telecommunications device for the deaf or text 
telephone, you may call the Federal Relay Service at 1-800-877-8339.

SUPPLEMENTARY INFORMATION: The Department is updating the name of the 
system from ``RSA-911 Case Service Report'' to ``Case Service Report 
(RSA-911)'' and the section of the notice entitled ``SECURITY 
CLASSIFICATION'' by revising it from ``none'' to ``unclassified.''
    In this modified system of records notice, the Department updates 
the sections entitled ``SYSTEM LOCATION'' and ``SYSTEM MANAGER(S)'' to 
reflect a revised organizational structure within the Rehabilitation 
Services Administration (RSA), which is housed within the Department's 
Office of Special Education and Rehabilitative Services. The update 
also reflects RSA's new address.
    In this modified system of records notice, the Department updates 
the section entitled ``AUTHORITY FOR MAINTENANCE OF THE SYSTEM.'' 
Specifically, the Department adds references to sections 106 and 607 of 
the Rehabilitation Act of 1973 (the Act), as well as section 116 of the 
Workforce Innovation and Opportunity Act (WIOA), to reflect data 
collection and reporting requirement changes made by WIOA and its 
amendments to the Act. All data collected through the ``Case Service 
Report (RSA-911)'' are necessary to satisfy statutory requirements and 
programmatic purposes of the VR and SE programs.
    The Department updates the section of this notice entitled 
``PURPOSE(S) OF THE SYSTEM'' to reflect amendments to the Act made by 
WIOA. Specifically, the Department makes clear that the data collected 
and maintained by this system will be used for performance and 
accountability purposes in addition to program research and evaluation.
    The Department updates the section of this notice entitled 
``CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM'' to reflect 
statutory requirements made by amendments to the Act by WIOA. The 
system collects data on individuals who are participating in, as well 
as those who have exited from, the VR program, and the SE program as 
applicable, each program year. This means that the data collected is 
from both open service records, as well as from closed service records, 
from both of those programs. Under the former system of records, the 
Department used the system to collect data on only individuals who had 
exited the VR program.
    The Department updates the section of this notice entitled 
``CATEGORIES OF RECORDS IN THE SYSTEM'' by expanding the personal and 
demographic information collected in order to comply with statutory 
requirements imposed by WIOA and its amendments to the Act. Some of the 
additional demographic data collected include ex-offender status and 
other barriers to employment information, all of which are consistent 
with the data collection requirements of the Act and WIOA.
    The Department updates the section of this modified system of 
records notice entitled ``RECORD SOURCE CATEGORIES'' to explain the 
source of the data reported by State VR agencies through the ``Case 
Service Report (RSA-

[[Page 46076]]

911).'' Specifically, we make clear that State VR agencies collect the 
data directly from individuals with disabilities, employers, 
educational institutions, and the State-level interagency exchange of 
data (e.g., State Unemployment Insurance Agencies' wage records).
    With respect to the section of this modified system of records 
notice entitled ``ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, 
INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES,'' the 
Department updates routine uses (3), (4), and (5) permitting 
disclosures to contractors, disclosures in the course of litigation or 
alternative dispute resolution, and disclosures to researchers, 
respectively. Specifically, we clarify in routine uses (3) and (5) that 
contractors and researchers receiving data maintained in this system of 
records must agree to establish and maintain safeguards to protect the 
security and confidentiality of the disclosed records and that 
contractors must agree to do so as part of such a contract, rather than 
before entering into such a contract. In routine use (4) entitled 
``Litigation and Alternative Dispute Resolution (ADR) Disclosure,'' the 
Department inserts the word ``person'' in place of the word 
``individual'' to avoid public confusion that may have been caused by 
the Department's prior use of the word ``individual,'' given that this 
term is defined in the Privacy Act, and clarifies that references to 
``litigation'' cover both judicial and administrative litigation.
    The Department eliminates former routine use (8), entitled 
``Disclosure for Use By Other Law Enforcement Agencies.'' The 
Department has determined that this routine use would not be compatible 
with purposes of this system of records.
    The Department also eliminates former routine use (10) entitled 
``Disclosure to the Veterans' Disability Benefits Commission.'' The 
Department has determined that this routine use is no longer needed for 
the data maintained in this system because the Department does not 
share data with this entity.
    The Department adds two new routine uses numbered (9) entitled 
``Disclosure in the Course of Responding to a Breach of Data'' and 
routine use (10) entitled ``Disclosure in Assisting Another Agency in 
Responding to a Breach of Data'' in accordance with the requirements 
set forth by the Office of Management and Budget (OMB) in OMB M-17-12 
entitled ``Preparing for and Responding to a Breach of Personally 
Identifiable Information.''
    The Department updates the section of this notice entitled 
``POLICIES AND PRACTICES FOR STORAGE OF RECORDS'' to reflect that 
records are no longer maintained on a computer mainframe, in compact 
discs, or in printed reports that contain sensitive data produced by 
this system, but rather only in database servers. The Department no 
longer maintains hard copies of records.
    The Department is updating the section of this notice entitled 
``POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS'' to 
remove the statement that the National Archives and Records 
Administration (NARA) General Records Schedule 20, Item 1.c, applies to 
the records in this system; and, to indicate that the Department will 
submit a retention and disposition schedule that covers the records in 
the system to NARA for review, and will not destroy the records until 
such time as NARA approves said schedule. The Department also updates 
this section of this notice to remove the reference to hard-copy 
printouts created to monitor system usage because records are 
maintained solely in the database server.
    The Department updates the section of this notice entitled 
``ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS'' that protect the 
records in this system. Specifically, the Department updated the 
guidelines and procedures for protecting sensitive data and resources 
in this system by requiring two-factor authentication to access the 
Department of Education network and by prohibiting the copying of files 
to portable electronic media such as compact discs or USB drives.
    The Department updates the sections entitled ``RECORD ACCESS 
PROCEDURES,'' ``CONTESTING RECORD PROCEDURES'' and ``NOTIFICATION 
PROCEDURES'' to define and discuss the ``necessary particulars'' needed 
to access, contest, and be notified of a record. Finally, the 
Department adds a new section to the system of records notice entitled 
``HISTORY,'' in compliance with the requirements set forth in OMB 
Circular No. A-108, to explain that the last full system of records for 
the Case Service Report (RSA-911) was published in the Federal Register 
on April 8, 2004 (69 FR 18724).
    The personal information maintained in this system of records 
entitled ``Case Service Report (RSA-911)'' includes, but is not limited 
to, the following: Social Security number (SSN), date of birth (DOB), 
gender, disability characteristics, demographic information including 
race and ethnicity, services and training received, health insurance, 
employment status, employment outcomes, earnings, ex-offender status, 
other barriers to employment, and other program data elements included 
in the RSA-911. The information covered by this system of records will 
be collected from State VR agencies. This information collection is 
mandated by the Act, as amended by title IV of WIOA, as well as by 
section 116 of WIOA. Specifically, sections 101(a)(10) and 106 of the 
Act contain data collection and reporting requirements under the VR 
program and section 607 of the Act contains relevant data collection 
requirements under the SE program. Furthermore, section 116 of WIOA 
requires the VR agencies to collect and report certain data for 
purposes of the common performance accountability system applicable to 
all six core programs of the workforce development system, including 
the VR program.
    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 
under FOR FURTHER INFORMATION CONTACT.
    Electronic Access to This Document: The official version of this 
document is the document published in the Federal Register. You may 
access the official edition of the Federal Register and the Code of 
Federal Regulations at www.govinfo.gov.
    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 Portable Document Format (PDF). To use PDF, you must have Adobe 
Acrobat Reader which is available free at this 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.

Mark Schultz,
Commissioner, Rehabilitation Services Administration, Delegated the 
authority to perform the functions and duties of the Assistant 
Secretary for the Office of Special Education and Rehabilitative 
Services.
    For the reasons discussed in the preamble, the Assistant Secretary 
for Special Education and Rehabilitative Services of the U.S. 
Department of Education publishes a notice of a

[[Page 46077]]

modified system of records to read as follows:
SYSTEM NAME AND NUMBER:
    Case Service Report (RSA-911) (18-16-02).

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Data Collection & Analysis Unit, Rehabilitation Services 
Administration, Office of Special Education and Rehabilitative 
Services, U.S. Department of Education, 550 12th Street SW, Washington, 
DC 20202-2800.

SYSTEM MANAGER(S):
    Chief, Data Collection & Analysis Unit, Rehabilitation Services 
Administration, Office of Special Education and Rehabilitative 
Services, U.S. Department of Education, 550 12th Street SW, Washington, 
DC 20202-2800.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Rehabilitation Act of 1973 (the Act), as amended by title IV of 
the Workforce Innovation and Opportunity Act (WIOA), as well as by 
section 116 of WIOA. Specifically, sections 101(a)(10) and 106 of the 
Act contain data collection and reporting requirements under the State 
Vocational Rehabilitation (VR) Services program, and section 607 of the 
Act contains relevant data collection requirements under the State 
Supported Employment (SE) Services program. Furthermore, section 116 of 
WIOA requires VR agencies to collect and report certain required data 
for purposes of the common performance accountability system applicable 
to all six core programs of the workforce development system, including 
the VR program.

PURPOSE(S) OF THE SYSTEM:
    This system of records is maintained for program performance and 
accountability, and for research, monitoring, and evaluation purposes 
and is required by the Act and title I of WIOA.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The system contains records on individuals who are participating in 
or who have exited from the VR program, and the SE program as 
applicable, during each program year.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system of records contains records relating to individuals who 
are participating in or who have exited the VR program and SE program, 
as applicable, including, but not limited to the following: Social 
Security number (SSN), date of birth (DOB), gender, disability 
characteristics, demographic information including race and ethnicity, 
services and training, health insurance, employment status, employment 
outcomes, earnings, ex-offender status, other barriers to employment, 
and other program data elements noted in the RSA-911.

RECORD SOURCE CATEGORIES:
    The information in this system is obtained from State VR agencies 
pursuant to Federal reporting requirements. These agencies collect data 
directly from individuals with disabilities, employers, educational 
institutions, and the State-level interagency exchange of data (e.g., 
State Unemployment Insurance Agencies' wage records).

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. 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 Privacy Act of 1974, as amended (Privacy Act), under a computer 
matching agreement.
    (1) Freedom of Information Act (FOIA) and Privacy Act Advice 
Disclosure. The Department may disclose records to the U.S. Department 
of Justice (DOJ) or the Office of Management and Budget (OMB) if the 
Department seeks advice regarding whether records maintained in the 
system of records must be released under the FOIA or the Privacy Act.
    (2) Disclosure to the 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.
    (3) 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. As part of such a 
contract, the Department shall require the contractor to agree to 
establish and maintain safeguards to protect the security and 
confidentiality of the disclosed records.
    (4) Litigation and Alternative Dispute Resolution (ADR) Disclosure.
    (a) Introduction. In the event that one of the parties listed in 
sub-paragraphs (i) through (v) is involved in judicial or 
administrative 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:
    (i) The Department, or any of its components;
    (ii) Any Department employee in his or her official capacity;
    (iii) Any Department employee in his or her individual capacity if 
the DOJ agrees or has been requested to provide or to arrange for 
representation of the employee;
    (iv) Any Department employee in his or her individual capacity if 
the Department has agreed to represent the employee; or
    (v) The United States if 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 
judicial or administrative litigation or ADR and is compatible with the 
purpose for which the records were collected, the Department may 
disclose those records as a routine use to the DOJ.
    (c) Adjudicative Disclosure. 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, or to a person or 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, person, or entity.
    (d) Disclosure to Parties, Counsel, 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.
    (5) 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

[[Page 46078]]

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 
researcher shall be required to agree to establish and maintain 
safeguards to protect the security and confidentiality of the disclosed 
records.
    (6) Congressional Member Disclosure. The Department may disclose 
information 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.
    (7) Enforcement Disclosure. If 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, regulations, 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, regulations, or order issued pursuant thereto.
    (8) Disclosure to Other Federal Agencies. The Department may 
disclose records to other Federal agencies, including the Social 
Security Administration and the U.S. Department of Veterans Affairs, 
for program research and evaluation purposes.
    (9) Disclosure in the Course of Responding to a Breach of Data. The 
Department may disclose records to appropriate agencies, entities, and 
persons when (a) the Department suspects or has confirmed that there 
has been a breach of the system of records; (b) the Department has 
determined that as a result of the suspected or confirmed breach there 
is a risk of harm to individuals, the Department (including its 
information systems, programs and operations), the Federal Government, 
or national security; 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 
breach or to prevent, minimize, or remedy such harm.
    (10) Disclosure in Assisting Another Agency in Responding to a 
Breach of Data. The Department may disclose records from this system to 
another Federal agency or Federal entity, when the Department 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in (a) responding to 
a suspected or confirmed breach; or (b) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    System records are maintained in database servers.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Each record in this system can be retrieved by any of the 
categories of information listed under the CATEGORIES OF RECORDS IN THE 
SYSTEM section in this notice.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The Department shall submit a retention and disposition schedule 
that covers the records contained in this system to the National 
Archives and Records Administration (NARA) for review. The records will 
not be destroyed until such time as NARA approves said schedule.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to this system will require a unique user identification as 
well as a password to enter the system. Users will be required to 
change their passwords periodically, and they will not be allowed to 
repeat old passwords. 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.
    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.
    The location of the server includes safeguards and firewalls, 
including the physical security of the server room. In addition, the 
server is located in a secure room, with limited access only through a 
special pass. Further, all physical access to the site where the server 
is maintained is controlled and monitored by security personnel who 
check each individual entering the building for his or her employee or 
visitor badge.
    In addition to these controls, the Department's policies and 
procedures require that computers are not left unattended when users 
access the database and require that sensitive information is placed 
out of sight if visitors are present.
    The Department's policies and procedures ensure that shared output 
does not contain sensitive information and that aggregated data cannot 
be used to identify individuals.
    In addition, the following guidelines and procedures have been 
implemented for protecting sensitive data and resources in this system:
     Users must use two-factor authentication to access the 
Department of Education network.
     Users are not permitted to copy files to portable 
electronic media such as compact discs or USB drives.

RECORD ACCESS PROCEDURES:
    If you wish to gain access to your record in the system of records, 
contact the system manager at the address listed above. You must 
provide necessary particulars such as your name, DOB, SSN, and any 
other identifying information requested by the Department while 
processing the request to distinguish between individuals with the same 
name. Requests by an individual for access to a record must meet the 
requirements of the regulations in 34 CFR 5b.5, including proof of 
identity.

CONTESTING RECORD PROCEDURES:
    If you wish to change the content of a record regarding you in this 
system of records, you must contact the system manager at the address 
listed above and provide your name, DOB, SSN and any other identifying 
information requested by the Department. Your request must also 
reasonably identify the record and provide a written justification for 
the change. Requests to amend a record must meet the regulations in 34 
CFR 5b.7.

NOTIFICATION PROCEDURES:
    If you wish to determine whether a record exists regarding you in 
the system of records, contact the system manager at the address listed 
above. You must provide necessary particulars such as your name, DOB, 
SSN, and any other identifying information requested by the Department 
while processing the request to distinguish between individuals with 
the same name. Requests must meet the requirements of the regulations 
in 34 CFR 5b.5.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

[[Page 46079]]

HISTORY:
    The system of records was originally published in the Federal 
Register on April 8, 2004 (69 FR 18724).
[FR Doc. 2020-16230 Filed 7-30-20; 8:45 am]
BILLING CODE 4000-01-P