[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: C[email protected]
    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