[Federal Register Volume 62, Number 226 (Monday, November 24, 1997)]
[Notices]
[Pages 62673-62675]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-30715]
Federal Register / Vol. 62, No. 226 / Monday, November 24, 1997 /
Notices
[[Page 62673]]
DEPARTMENT OF EDUCATION
Privacy Act of 1974
AGENCY: Office of Inspector General, 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, the
Department of Education (ED) publishes this notice of a new system of
records entitled ``Hotline Complaint Files of the Inspector General.''
The system will contain records of telephone calls and letters directed
to the Office of Inspector General (OIG) Hotline citing complaints and
allegations of wrongdoing concerning ED programs, ED operations, and
recipients of ED-administered program funds. It also will contain
information on OIG's handling of these complaints. The allegations
reported through the Hotline may give rise to the opening of an
investigation, audit, or other OIG inquiry or be referred elsewhere for
resolution. The Department seeks comment on this new system of records
described in this notice, in accordance with the requirements of the
Privacy Act.
DATES: Comments on the proposed routine uses of this system of records
must be received by the Department on or before December 24, 1997. The
Department filed a report of the new system of records with the
Committee on Governmental Affairs of the Senate, the Committee on
Government Reform and Oversight of the House of Representatives, and
the Administrator of the Office of Information and Regulatory Affairs,
Office of Management and Budget (OMB) on November 18, 1997. Normally,
this system of records would become effective after the 30-day period
for OMB review of the system expired, unless OMB gave specific notice
within the 30 days that the system was not approved for implementation
or required an additional 10 days for OMB review. However, the
Secretary proposes to exempt this system of records from certain
requirements of the Privacy Act, as authorized under 5 U.S.C.
552a(j)(2) and (k)(2), and this system will not be implemented until
the proposed exemptions become final (See the separate notice of
proposed rulemaking published elsewhere in this issue of the Federal
Register). The Department will publish any changes to the system of
records that are a result of comments on the system.
ADDRESSES: All comments on the proposed routine uses should be
addressed to the Privacy Act Officer, Information Management Group,
Office of the Chief Information Officer, U.S. Department of Education,
600 Independence Avenue, S.W., Room 5624, GSA Regional Office Building
3, Washington, D.C. 20202-4651. Comments may also be sent through the
Internet to: Comments@ed.gov
You must include the term ``Hotline'' in the subject line of the
electronic command.
All comments submitted in response to this notice will be available
for public inspection, during and after the comment period, in Room
5624, 7th & D Streets, S.W., between the hours of 8:00 a.m. and 4:30
p.m., Eastern time, Monday through Friday of each week except Federal
holidays.
On request the Department supplies an appropriate aid, such as a
reader or print magnifier, to an individual with a disability who needs
assistance to review the comments or other documents in the public
rulemaking docket for this notice. An individual with a disability who
wants to schedule an appointment for this type of aid may call (202)
205-8113 or (202) 260-9895. An individual who uses a TDD may call the
Federal Information Relay Service at 1-800-877-8339 between 8 a.m. and
8 p.m., Eastern time, Monday through Friday.
FOR FURTHER INFORMATION CONTACT: Dianne Van Riper, Assistant Inspector
General for Investigation Services, Office of Inspector General, U.S.
Department of Education, 600 Independence Avenue, S.W., Room 4106,
Switzer Building, Washington, D.C. 20202-1510. Telephone: (202) 205-
8762. Individuals who use a telecommunications device for the deaf
(TDD) may call the Federal Information Relay Service (FIRS) at 1-800-
877-8339 between 8 a.m. and 8 p.m., Eastern time, Monday through
Friday.
Individuals with disabilities may obtain this document in an
alternate format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the contact person listed in the preceding
paragraph.
SUPPLEMENTARY INFORMATION:
Electronic Access to This Document
Anyone may view this document, as well as all other Department of
Education documents published in the Federal Register, in text or
portable document format (pdf) on the World Wide Web at either of the
following sites:
http://ocfo.ed.gov/fedreg.htm
http://www.ed.gov/news.html
To use the pdf you must have the Adobe Acrobat Reader Program with
Search, which is available free at either of the previous sites. If you
have questions about using the pdf, call the U.S. Government Printing
Office toll free at 1-888-293-6498.
Anyone may also view these documents in text copy only on an
electronic bulletin board of the Department. Telephone: (202) 219-1511
or, toll free, 1-800-222-4922. The documents are located under Option
G--Files/Announcements, Bulletins and Press Releases.
Note: The official version of this document is the document
published in the Federal Register.
General
The Privacy Act of 1974 (see 5 U.S.C. 552a(e)(4)) requires the
Department to publish in the Federal Register this notice of a new
system of records. The Department's regulations implementing the
Privacy Act of 1974 are contained in the Code of Federal Regulations
(CFR) in 34 CFR Part 5b.
The Office of Inspector General (OIG) has long maintained a Hotline
that receives numerous telephone calls and letters citing allegations
of wrongdoing concerning ED programs, ED operations, and recipients of
ED-administered program funds. These Hotline complaints may give rise
to the opening of an investigation, audit, or other OIG inquiry or be
referred elsewhere for resolution. Records in the Hotline system of
records contain information obtained from complainants who report
indications of wrongdoing relating to ED programs and operations. In
addition, information on the OIG disposition of the complaints is
maintained in the system. That information may include name and address
(if available) of the complainant, date the complaint was received,
identity of individuals against whom the complaint is filed, affected
program area, nature and subject of the complaint, and any additional
witnesses, contacts, and specific comments provided by the complainant.
Information gained through the Hotline has until now been retained
in general complaint files. In order to more effectively carry out
OIG's mission of combating fraud, waste, and abuse through
administration of the Hotline, OIG intends to reorganize Hotline
complaints so that they will be accessible by an individual identifier,
if appropriate, and to incorporate that information into the Hotline
Complaint Files System. The records contained in this system are used
by the OIG in furtherance of the responsibilities of the Inspector
General under the Inspector General Act of 1978, as amended (IG Act),
to conduct and supervise audits,
[[Page 62674]]
investigations, inspections, and other inquiries relating to programs
and operations of ED; to promote economy, efficiency, and effectiveness
in the administration of those programs and operations; and to prevent
and detect fraud and abuse in those programs and operations.
The personal data on individuals will be maintained only to the
extent that the information is considered necessary to meet the
purposes of the IG Act. Hotline calls not resulting in investigations
are destroyed when five years old in accordance with the National
Archives and Records Administration's General Records Schedules, GRS
22/item 1a. If OIG opens investigations based upon Hotline information,
the resulting investigation files will be part of another existing
system of records, the Investigative Files of the OIG (18-10-0001).
Investigative case files are destroyed 10 years after close-out in
accordance with GRS 22/item 1b.
The records will be kept in locked file cabinets and in computer
terminals that are secured in controlled areas. Access to records is
limited to authorized personnel who must use a key to retrieve records
in the file cabinets and have a password to gain access to records on
the computer terminals.
Dated: November 18, 1997.
Thomas R. Bloom,
Inspector General.
The Inspector General of the U.S. Department of Education publishes
a notice of a new system of records to read as follows:
18-10-0004
SYSTEM NAME:
Hotline Complaint Files of the Inspector General ED/OIG.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Inspector General, U.S. Department of Education, 330 C
Street, S.W., Room 4116, Switzer Building, Washington, D.C. 20202-1510.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories include individuals who are sources of information or
have made complaints to the OIG Hotline, individuals who allegedly have
knowledge regarding wrongdoing affecting the programs and operations of
the Department, and individuals about whom complaints and allegations
have been made concerning wrongdoing involving the programs and
operations of the Department of Education. These individuals may
include, but are not limited to, current and former ED employees,
grantees, subgrantees, contractors, subcontractors, program
participants, recipients of Federal funds or federally insured funds,
and officers, employees, or agents of institutional recipients or
program participants.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in this system contain information obtained from
complainants who report allegations of wrongdoing relating to ED
programs and operations. Specific data may include name and address (if
available) of the complainant, the date the complaint was received, the
affected program area, the nature and subject of the complaint, and any
additional contacts and specific comments provided by the complainant.
In addition, information on the OIG disposition of the complaint is
included in the system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Inspector General Act of 1978, as amended (IG Act), 5 U.S.C. app.
3.
PURPOSES:
Pursuant to the Inspector General Act, the system is maintained for
the purposes of maintaining a record of complaints and allegations
received concerning Department of Education programs and operations and
concerning the disposition of those complaints and allegations.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The Department of Education 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 purpose for which the record
was collected, under the following routine uses:
(a) Disclosure for Use by Other Law Enforcement Agencies. 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 relevant records in the system of records
may be referred, as a routine use, to the appropriate agency, whether
foreign, Federal, State, Tribal, or local, charged with the
responsibility of investigating or prosecuting such a violation or
charged with enforcing or implementing the statute, Executive order or
rule, regulation, or order issued pursuant thereto.
(b) Litigation Disclosure.
(1) Introduction. In the event that one of the following parties is
involved in litigation, or has an interest in litigation, ED may
disclose certain records to the parties described in paragraphs (2),
(3), and (4) of this routine use under the conditions specified in
those paragraphs:
(i) ED, or any component of the Department; or
(ii) Any ED employee in his or her official capacity; or
(iii) Any employee of ED in his or her individual capacity if the
Department of Justice has agreed to provide or arrange for
representation for the employee; or
(iv) Any employee of ED in his or her individual capacity if the
agency has agreed to represent the employee; or
(v) The United States if ED determines that the litigation is
likely to affect the Department or any of its components.
(2) Disclosure to the Department of Justice. If ED determines that
disclosure of certain records to the Department of Justice or attorneys
engaged by the Department of Justice is relevant and necessary to
litigation, ED may disclose those records as a routine use to the
Department of Justice.
(3) Administrative Disclosures. If ED determines that disclosure of
certain records to an adjudicative body before which ED is authorized
to appear or to an individual or an entity designated by ED or
otherwise empowered to resolve disputes is relevant and necessary to
the administrative litigation, ED may disclose those records as a
routine use to the adjudicative body, individual, or entity.
(4) Opposing Counsels, Representatives, and Witnesses. If ED
determines that disclosure of certain records to an opposing counsel,
representative, or witness in an administrative proceeding is relevant
and necessary to the litigation, ED may disclose those records as a
routine use to the counsel, representative, or witness.
(c) Disclosure to Public and Private Entities to Obtain Information
Relevant to ED/OIG Functions and Duties. ED/OIG may disclose
information from this system of records as a routine use to public or
private sources to the extent necessary to obtain information from
those sources relevant to an ED/OIG investigation, audit, inspection,
or other inquiry.
(d) Disclosure to Public and Private Sources in Connection with the
Higher Education Act of 1965, as amended (HEA). ED/OIG may disclose
information from this system of records as a routine use to any
accrediting agency that is or was recognized by the Secretary of
Education pursuant to the
[[Page 62675]]
HEA, to any guarantee agency that is or was a party to an agreement
with the Secretary of Education pursuant to the HEA, or to any agency
that is or was charged with licensing or legally authorizing the
operation of any educational institution or school that was eligible,
is currently eligible, or may become eligible to participate in any
program of Federal student assistance authorized by the HEA.
(e) Disclosure to the Department of Justice. ED/OIG may disclose
information from this system of records as a routine use to the
Department of Justice to the extent necessary for obtaining its advice
on any matter relevant to an OIG investigation, audit, inspection, or
other inquiry related to the responsibilities of the OIG.
(f) Congressional Disclosure. ED/OIG may disclose information from
this system of records to a congressional member from the record of an
individual in response to an inquiry from the congressional member made
at the written request of that individual. The right of the member to
the information is no greater than the right of the individual who
requested it.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The records are maintained in complaint files, computer mainframe
files, and computer-printed listings.
RETRIEVABILITY:
Hard copy records are organized by and retrievable by the assigned
Hotline number. The computer files are indexed and retrievable by
Hotline number, name of complainant, and the name of the subject or
subjects.
SAFEGUARDS:
Records are maintained in locked file cabinets or in metal file
cabinets in secured rooms or premises to which access is limited to
those persons whose official duties require access. Computer terminals
are secured in controlled areas that are locked when unoccupied. Access
to automated records is limited to authorized personnel who must use a
password system to gain access.
RETENTION AND DISPOSAL:
Hotline records not resulting in investigations are destroyed when
five years old, in accordance with the National Archives and Records
Administration's General Records Schedules (GRS), GRS 22/item 1a.
Investigative case files are destroyed 10 years after close-out in
accordance with GRS 22/item 1b.
SYSTEM MANAGER AND ADDRESS:
Assistant Inspector General for Investigation Services, Office of
Inspector General, U.S. Department of Education, Room 4106, Switzer
Building, 330 C Street, S.W., Washington, D.C. 20202-1510.
NOTIFICATION PROCEDURES:
See ``Systems Exempted.'' As provided in 34 CFR 5b.11(f), the
notification procedures are not applicable to Hotline files except at
the discretion of the Inspector General. The notification procedures
are applicable to noncriminal files only under the conditions in 34 CFR
5b.11(f)(2). To the extent these procedures apply to the ED/OIG Hotline
Complaint Files, they are governed by 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
See ``Notification Procedures.''
CONTESTING RECORD PROCEDURES:
Not applicable. See ``Systems Exempted.''
RECORD SOURCE CATEGORIES:
Complainants who include, but are not limited to, current and
former employees of ED, employees of other Federal agencies, employees
of State and local agencies, private individuals, and officers and
employees of non-governmental organizations that are involved with ED
programs, contracts, or funds or have knowledge about ED programs,
contracts, or funds.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Secretary has by regulations exempted the Hotline Complaint
Files of the Inspector General ED/OIG from the following provisions of
the Privacy Act:
(a) Pursuant to 5 U.S.C. 552a(j)(2):
(1) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of a record.
(2) 5 U.S.C. 552a(c)(4), regarding notification to outside parties
and agencies of correction or notation of dispute made in accordance
with 5 U.S.C. 552a(d).
(3) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification
or access to records and correction or amendment of records.
(4) 5 U.S.C. 552a(e)(1), regarding maintaining only relevant and
necessary information.
(5) 5 U.S.C. 552a(e)(2), regarding collection of information from
the subject individual.
(6) 5 U.S.C. 552a(e)(3), regarding notice to individuals asked to
provide a record to the Department.
(7) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records.
(8) 5 U.S.C. 552a(e)(5), regarding maintaining records with
requisite accuracy, relevance, timeliness, and completeness.
(9) 5 U.S.C. 552a(e)(8), regarding service of notice on subject
individual if a record is made available under compulsory legal process
if that process becomes a matter of public record.
(10) 5 U.S.C. 552a(g), regarding civil remedies for violation of
the Privacy Act.
(b) Pursuant to 5 U.S.C. 552a(k)(2):
(1) 5 U.S.C. 552a(c)(3), regarding access to an accounting of
disclosures of records.
(2) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification
of and access to records and correction or amendment of records.
(3) 5 U.S.C. 552a(e)(1), regarding the requirement to maintain only
relevant and necessary information.
(4) 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of
information in the system notice about procedures for notification,
access, correction, and source of records.
These exemptions are stated in 34 CFR 5b.11.
[FR Doc. 97-30715 Filed 11-21-97; 8:45 am]
BILLING CODE 4000-01-P
