18–10–04 

SYSTEM NAME: 

Hotline Complaint Files of the Inspector General. 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

Office of Inspector General, U.S. Department of 

Education, 330 C Street, SW., Room 4116, Switzer Building, 

Washington, DC 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 Department 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 Department of Education 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, this system is 

maintained for purposes of: (1) Maintaining a record of 

complaints and allegations received concerning Department 

of Education programs and operations and a record 

concerning the disposition of those complaints and 

allegations; and (2) reporting on American Recovery and 

Reinvestment Act of 2009 related complaints and allegations 

to the Recovery Accountability and Transparency Board. 
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING 

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

The Department of Education (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. These disclosures may be made on a 

case-by-case basis or, if the Department has complied with 

the computer matching requirements of the Privacy Act, 

under a computer matching agreement. 

(1) Disclosure for Use by Other Law Enforcement 

Agencies. In the event that any records from this system of 

records, either by themselves or in combination with any 

other information, indicate a violation or potential 

violation of criminal or civil law or regulation, the 

Department may disclose information from this system of 

records as a routine use 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 prosecutive responsibility of 

the receiving entity. 
(2) Litigation Disclosure. 

(a) Introduction. In the event that one of the 

following parties is involved in litigation, or has an 

interest in litigation, the Department 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) The Department, or any component of the 

Department; or 

(ii) Any Department employee in his or her official 

capacity; or 

(iii) Any employee of the Department 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 the Department in his or her 

individual capacity if the agency 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 Department of Justice. If the 

Department 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, the Department may disclose those records as a 

routine use to the Department of Justice. 

(c) Administrative Disclosures. If the Department 

determines that disclosure of certain records to an 

adjudicative body before which the Department is authorized 

to appear or to an individual or an entity designated by 

the Department or otherwise empowered to resolve 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. 

(d) Opposing Counsels, Representatives, and Witnesses. 

If the Department determines that disclosure of certain 

records to an opposing 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 counsel, representative, or 

witness. 

(3) Disclosure to Public and Private Entities to 

Obtain Information Relevant to the Department’s OIG 

Functions and Duties. The Department 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 a Department of 
Education/OIG investigation, audit, inspection, or other 

inquiry. 

(4) Disclosure to Public and Private Sources in 

Connection with the Higher Education Act of 1965, as 

amended (HEA). The Department may disclose information from 

this system of records as a routine use to facilitate 

compliance with program requirements to any accrediting 

agency that is or was recognized by the Secretary of 

Education pursuant to the HEA; to any educational 

institution or school that is or was a party to any 

agreement with the Secretary of Education pursuant to the 

HEA; to any guaranty 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.

(5) Disclosure to the Department of Justice. The 

Department 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. 

(6) Congressional 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. 

(7) Disclosure to the Recovery Accountability and 

Transparency Board (RATB). The Department may disclose 

records as a routine use to the RATB for purposes of 

coordinating and conducting oversight of American Recovery 

and Reinvestment Act of 2009 funds to prevent fraud, waste, 

and abuse.

(8) Disclosure in the Course of Responding to Breach 

of Data. The Department may disclose records from this 

system to appropriate agencies, entities, and persons when 

(a) The Department suspects or has confirmed that the 

security or confidentiality of information in the system of 

records 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 this 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: 

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 

Department’s Records Disposition Schedules (ED/RDS, part 

16). Investigative case files are destroyed 10 years after 

close-out in accordance with the Department’s Records 

Disposition Schedules (ED/RDS, Part 16). 

SYSTEM MANAGER AND ADDRESS: 

Assistant Inspector General for Investigations, Office 

of Inspector General, U.S. Department of Education, 400 

Maryland Avenue, SW., room 8093, PCP building, Washington, 

DC 20202– 1510. 

NOTIFICATION PROCEDURE: 

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 Department of 

Education Hotline Complaint Files, they are governed by 34 

CFR 5b.5. 

RECORD ACCESS PROCEDURES: 

See Notification Procedure. 

CONTESTING RECORD PROCEDURES: 

Not applicable. See Systems Exempted. 

RECORD SOURCE CATEGORIES: 

Complainants who include, but are not limited to, 

current and former employees of the Department, 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 

Department programs, contracts, or funds or have knowledge 

about Department 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 from the following 

provisions of the Privacy Act: 

(1) Pursuant to 5 U.S.C. 552a(j)(2): 
(a) 5 U.S.C. 552a(c)(3), regarding access to an 

accounting of disclosures of a record. 

(b) 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). 

(c) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding 

notification or access to records and correction or 

amendment of records. 

(d) 5 U.S.C. 552a(e)(1), regarding maintaining only 

relevant and necessary information. 

(e) 5 U.S.C. 552a(e)(2), regarding collection of 

information from the subject individual. 

(f) 5 U.S.C. 552a(e)(3), regarding notice to 

individuals asked to provide a record to the Department. 

(g) 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. 

(h) 5 U.S.C. 552a(e)(5), regarding maintaining records 

with requisite accuracy, relevance, timeliness, and 

completeness. 

(i) 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. 

(j) 5 U.S.C. 552a(g), regarding civil remedies for 

violation of the Privacy Act. 

(2) Pursuant to 5 U.S.C. 552a(k)(2): 

(a) 5 U.S.C. 552a(c)(3), regarding access to an 

accounting of disclosures of records. 

(b) 5 U.S.C. 552a(d)(1) through (4) and (f), regarding 

notification of and access to records and correction or 

amendment of records. 

(c) 5 U.S.C. 552a(e)(1), regarding the requirement to 

maintain only relevant and necessary information. 

(d) 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.