Federal Register / Vol. 62, No. 226 / Monday, November 24, 1997 / Notices 62673

DEPARTMENT OF EDUCATION

Privacy Act of 1974

AGENCY: Office of Inspector General,

Department of Education.

ACTION: Notice of a new System of

records.

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,
62674 Federal Register / Vol. 62, No. 226 / Monday, November 24, 1997 / Notices

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
Federal Register / Vol. 62, No. 226 / Monday, November 24, 1997 / Notices 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 nongovernmental 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]

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