Home/Federal/Federal Register/2021-21283

Notice2021-21283

Privacy Act of 1974; System of Records

Primary source

Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.

Published

September 30, 2021

Issuing agencies

Education Department

Abstract

In accordance with the Privacy Act of 1974, as amended (Privacy Act), the U.S. Department of Education (Department) publishes this notice of a modified system of records entitled the "Investigative Files of the Inspector General" (18-10-01) and rescindment of the system of records notice entitled "Hotline Complaint Files of the Inspector General" (18-10-04). The Investigative Files of the Inspector General system of records provides essential support for investigative activities of the Office of Inspector General (OIG) relating to the Department's programs and operations, enabling the OIG to secure and maintain the necessary information and to coordinate with other law enforcement agencies as appropriate.

Full Text

<html>
<head>
<title>Federal Register, Volume 86 Issue 187 (Thursday, September 30, 2021)</title>
</head>
<body><pre>
[Federal Register Volume 86, Number 187 (Thursday, September 30, 2021)]
[Notices]
[Pages 54171-54178]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-21283]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF EDUCATION

[Docket ID ED-2021-OIG-0056]

Privacy Act of 1974; System of Records

AGENCY: Office of Inspector General, U.S. Department of Education.

ACTION: Notice of a modified system of records and rescindment of a
system of records notice.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Privacy Act of 1974, as amended
(Privacy Act), the U.S. Department of Education (Department) publishes
this notice of a modified system of records entitled the
``Investigative Files of the Inspector General'' (18-10-01) and
rescindment of the system of records notice entitled ``Hotline
Complaint Files of the Inspector General'' (18-10-04). The
Investigative Files of the Inspector General system of records provides
essential support for investigative activities of the Office of
Inspector General (OIG) relating to the Department's programs and
operations, enabling the OIG to secure and maintain the necessary
information and to coordinate with other law enforcement agencies as
appropriate.

DATES: Submit your comments on this modified system of records notice
and rescindment of a system of records notice on or before November 1,
2021.
This modified system of records will become applicable upon
publication in the Federal Register on September 30, 2021, unless the
system of records notice needs to be changed as a result of public
comment. Proposed modified routine uses (1), (3), (4), (5), (6), (9),
(14), and (15) and proposed new routine uses (16), (17), (18), (19),
and (20) in the paragraph entitled ``ROUTINE USES OF RECORDS MAINTAINED
IN THE SYSTEM INCLUDING CATEGORIES OF USERS AND PURPOSES OF SUCH USES''
will become applicable on November 1, 2021, unless the modified system
of records notice needs to be changed as a result of public comment.
The Department will publish any changes to the modified system of
records notice that result from public comment.
The rescinded system of records will become applicable September
30, 2021,

[[Page 54172]]

unless it needs to be changed as a result of public comment. The
Department will publish any changes to the rescinded system of records
notice that result 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.
<bullet> Federal eRulemaking Portal: Go to <a href="http://www.regulations.gov">www.regulations.gov</a> to
submit your comments electronically. Information on using
<a href="http://Regulations.gov">Regulations.gov</a>, including instructions for accessing agency documents,
submitting comments, and viewing the docket, is available on the site
under the ``FAQ'' link.
<bullet> Postal Mail, Commercial Delivery, or Hand Delivery: If you
mail or deliver your comments about this modified system of records
notice or this rescindment of a system of records notice, address them
to: Howard Sorensen, Assistant Counsel to the Inspector General, Office
of Inspector General, U.S. Department of Education, 400 Maryland Avenue
SW, Room 8161, PCP Building, Washington, DC 20202-1510.
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
<a href="http://www.regulations.gov">www.regulations.gov</a>. 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 provide 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 aid, please contact the
person listed under FOR FURTHER INFORMATION CONTACT.

FOR FURTHER INFORMATION CONTACT: Howard Sorensen, Assistant Counsel to
the Inspector General, 400 Maryland Avenue SW, PCP Building, Room 8166,
Washington, DC 20202-1510. Telephone: (202) 245-7072.
If you use a telecommunications device for the deaf (TDD) or a text
telephone (TTY), you may call the Federal Relay Service at 1-800-877-
8339.

SUPPLEMENTARY INFORMATION: The Department is rescinding the Hotline
Complaint Files of the Inspector General system of records notice in
order to consolidate the records that were previously maintained in
that system with the Investigative Files of the Inspector General
system of records.
The main reason the Department has modified the Investigative Files
of the Inspector General system of records is to add a routine use
entitled ``Whistleblower Reprisal Disclosure'' in order to expand the
circumstances in which the OIG may disclose records to fulfil the
whistleblower reprisal investigation reporting requirements of 41
U.S.C. 4712(b)(1). This routine use will allow the OIG to non-
consensually disclose records to a public or private entity that
employs or employed a complainant and that, at the time of the alleged
reprisal, is a contractor, subcontractor, grantee, or subgrantee of the
Department.
Additionally, the Department modified this system of records to
reflect the inclusion of the records previously covered by the system
of records notice entitled ``Hotline Complaint Files of the Inspector
General,'' which is being rescinded by this notice.
The Department modified the section entitled ``SECURITY
CLASSIFICATION'' from ``none'' to ``unclassified'' to comply with the
requirements of Office of Management and Budget (OMB) Circular A-108
entitled ``Federal Agency Responsibilities for Review, Reporting, and
Publication under the Privacy Act.''
The Department modified the section entitled ``SYSTEM LOCATION'' to
reflect the current name and location of the OIG in Potomac Center
Plaza, and the data center and alternate site where records are
maintained. The section entitled ``SYSTEM MANAGER(S)'' has also been
updated to reflect the current location of the Office of Inspector
General in Potomac Center Plaza.
The section entitled ``PURPOSE(S) OF THE SYSTEM'' has been updated
to include the purposes for maintaining the records previously
maintained in the Hotline Complaint Files of the Inspector General
system of records. These purposes included maintaining records of
complaints and allegations, documenting the outcome of the disposition
of those complaints and allegations, and maintaining records for the
purpose of reporting to entities responsible for oversight of Federal
funds. This section also has been updated to reflect the entity to
which the Inspectors General must report their activities as the
Council of Inspectors General for Integrity and Efficiency (CIGIE).
Finally, this section has been updated to include conducting activities
to prevent and detect fraud and abuse in programs and operations of the
Department, such as fraud awareness and detection training, as a
purpose for the records maintained in the system.
The section entitled ``CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM'' has been updated to include complainants as a category of
individuals covered by the system. This section has also been updated
to explain that complainants, witnesses, and subjects 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.
The section entitled ``CATEGORIES OF RECORDS IN THE SYSTEM'' has
been updated to include hotline complaint files as a category of
records in the system and to explain that the information contained in
investigation and hotline complaint files will include, among other
things, evidence obtained by subpoena, search warrant, or other
process. This section has also been updated to include additional
information about the specific data elements that may be maintained in
hotline complaint files. The section has also been updated to include
records needed to calculate and report statistical information on
investigation efforts and manage property resources used in
investigation activities.
The section entitled ``RECORD SOURCE CATEGORIES'' has been updated
to include the sources of records from which a complaint may be
received. This section has also been updated to include recipients and
subjects of subpoenas, search warrants, or other processes as sources
of records maintained in the system. Finally, this section has been
updated to indicate that information may also be obtained from other
persons or entities from which information is obtained under a routine
use.
The section entitled ``ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND PURPOSES OF SUCH USES,'' has
been modified, as described below.
The Department modified routine use (1), entitled ``Disclosure for
Use by Other Law Enforcement Agencies,'' to

[[Page 54173]]

align it with language used by the Department to permit disclosures of
records for the same purpose in the system of records notice entitled
``The Office of Inspector General Data Analytics System (ODAS)'' (18-
10-02).
The Department modified routine use (3), previously entitled
``Disclosure for Use in Employment, Employee Benefit, Security
Clearance, and Contracting Decisions,'' to standardize it with other
language used by the Department to permit disclosures of records in
Department systems of records.
The Department modified routine use (4), previously entitled
``Disclosure to Public and Private Sources in Connection with the
Higher Education Act of 1965, as Amended (HEA),'' to change the word
``Sources'' in the title to ``Entities'' to more accurately reflect
that this disclosure is to entities participating in programs
authorized by the HEA.
The Department modified routine use (5), previously entitled
``Litigation Disclosure,'' to standardize it with other language used
by the Department to permit disclosures of records in Department
systems in the context of judicial and administrative litigation and
alternative dispute resolution.
The Department modified routine use (6), previously entitled
``Disclosure to Contractors and Consultants,'' to remove
``consultants'' from the title and to remove the reference to ``Privacy
Act safeguards, as required under 5 U.S.C. 552a(m)'' to now require
that all contractors agree to establish and maintain safeguards to
protect the security and confidentiality of the disclosed records. The
Department is also removing language that indicated that the Department
would require these safeguards ``before entering into such a contract''
to instead indicate that they will be included ``as part of such a
contract.''
The Department modified routine use (9), entitled ``Congressional
Member Disclosure,'' to standardize it with other language used by the
Department to permit disclosures of records to a congressional member
in response to inquiries from such member made at the written request
of the individual whose records are being disclosed.
The Department modified routine use (14), entitled ``Disclosure to
Federal Entities Responsible for Oversight of Federal Funds,'' to
remove obsolete references to the former Recovery Accountability and
Transparency Board (RATB), and any successor entity, and the Government
Accountability and Transparency Board (GATB), and any successor entity,
and state, local, and foreign agencies; and, to add disclosures to
Federal boards responsible for coordinating and conducting oversight of
Federal funds or for assisting in the enforcement, investigation,
prosecution, or oversight of violations of administrative, civil, or
criminal law or regulation.
Pursuant to the requirements in OMB Memorandum M-17-12 entitled
``Preparing for and Responding to a Breach of Personally Identifiable
Information,'' the OIG added an additional routine use (16) to permit
the Department to disclose records from this system of records in the
course of assisting another Federal agency or entity in responding to a
breach of personally identifiable information, as well as modified
routine use (15), permitting the Department to disclose records from
this system of records in responding to a breach of personally
identifiable information in this system of records.
The Department added routine use (17), entitled ``Whistleblower
Reprisal Disclosure,'' to permit the OIG to disclose records in this
system of records not only to a complainant alleging whistleblower
reprisal, but also to a public or private entity that employs or
employed a complainant and that, at the time of the alleged reprisal,
was a contractor, subcontractor, grantee, or subgrantee of the
Department, to the extent necessary to fulfill the whistleblower
reprisal investigation reporting requirements of 41 U.S.C. 4712(b)(1),
or any other whistleblower reprisal law that requires disclosure to a
complainant or to an entity covered by the whistleblower reprisal law
that employs or employed the complainant.
The Department added routine use (18), entitled ``Fraud Awareness
and Prevention Disclosure,'' to permit the OIG to disclose records to
participants in Department programs and any public or private agency
responsible for oversight of the participants in order to conduct
activities authorized by Section 4(a)(3) of the Inspector General Act
of 1978, as amended, to prevent and detect fraud and abuse in the
programs and operations of the Department, including fraud awareness
and detection training.
The Department added routine use (19), entitled ``Victim
Assistance,'' to permit the OIG to provide complainants, victims, or
alleged victims with information and explanations about the progress or
results of the investigation or case arising from the matters about
which they complained and/or in which they may have been a victim.
The Department added routine use (20), entitled ``Disclosure to
Former Employees Pursuant to 5 U.S.C. 3322,'' to permit the OIG to
disclose records to a former employee of the Department who resigns
from Federal service prior to the resolution of a personnel
investigation in order to fulfill the personnel record notation
requirements of 5 U.S.C. 3322.
The Department modified the section entitled ``POLICIES AND
PRACTICES FOR STORAGE OF RECORDS'' to remove reference to bar-lock file
cabinets and replace it with a description of the current storage
method in safes and cabinets in secured rooms.
The Department modified the section entitled ``POLICIES AND
PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS'' to specify the
current applicable Department records and disposition schedules
covering records in this system.
The Department modified the section entitled ``ADMINISTRATIVE,
TECHNICAL, AND PHYSICAL SAFEGUARDS'' to include additional details on
physical security, storage, and access to electronic records.
The Department also added a section entitled ``HISTORY,'' as
required by OMB Circular A-108, entitled ``Federal Agency
Responsibilities for Review, Reporting, and Publication under the
Privacy Act.''
Accessible Format: On request to the program contact person listed
under FOR FURTHER INFORMATION CONTACT, individuals with disabilities
can obtain this document in an accessible format. The Department will
provide the requestor with an accessible format that may include Rich
Text Format (RTF) or text format (txt), a thumb drive, an MP3 file,
braille, large print, audiotape, or compact disc, or other accessible
format.
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 <a href="http://www.govinfo.gov">www.govinfo.gov</a>. 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
the site.
You may also access documents of the Department published in the
Federal Register by using the article search feature at
<a href="http://www.federalregister.gov">www.federalregister.gov</a>. Specifically, through the advanced search
feature at this site, you can limit

[[Page 54174]]

your search to documents published by the Department.

Sandra D. Bruce,
Deputy Inspector General delegated the duties of Inspector General.

For the reasons discussed in the preamble, the Inspector General,
U.S. Department of Education (Department), publishes a notice of a
rescindment of a system of records and a notice of a modified system of
records to read as follows:

RESCINDED SYSTEM NAME AND NUMBER:
Hotline Complaint Files of the Inspector General (18-10-04).

HISTORY:
The system of records notice entitled ``Hotline Complaint Files of
the Inspector General'' (18-10-04) was published in the Federal
Register on June 4, 1999 (64 FR 30157-30159), corrected on December 27,
1999 (64 FR 72407), and most recently altered on July 12, 2010 (75 FR
39669-39671).

MODIFIED SYSTEM NAME AND NUMBER:
Investigative Files of the Inspector General (18-10-01).

SECURITY CLASSIFICATION:
Unclassified.

SYSTEM LOCATION:
Office of Inspector General, U.S. Department of Education, 550 12th
Street SW, Potomac Center Plaza, Washington, DC 20202-1510.
AINS, 44470 Chilum Place, Ashburn, VA 20147 (Primary Datacenter),
and 1905 Lunt Avenue, Elk Grove, IL 60007 (Alternate Site).

SYSTEM MANAGER(S):
Assistant Inspector General for Investigation Services, Office of
Inspector General, U.S. Department of Education, 550 12th Street SW,
Potomac Center Plaza, Washington, DC 20202-1510.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Inspector General Act of 1978, as amended, (5 U.S.C. Appendix).

PURPOSE(S) OF THE SYSTEM:
Pursuant to the Inspector General Act of 1978, as amended, the
system is maintained for the purposes of: (1) Conducting and
documenting investigations by the Office of Inspector General (OIG) or
other investigative agencies regarding Department programs and
operations and reporting the results of investigations to other Federal
agencies, other public authorities or professional organizations that
have the authority to bring criminal prosecutions or civil or
administrative actions, or to impose other disciplinary sanctions; (2)
documenting the outcome of OIG investigations; (3) maintaining a record
of the activities that were the subject of investigations; (4)
reporting investigative findings for use in operating and evaluating
Department programs or operations and in the imposition of civil or
administrative sanctions; (5) maintaining a record of complaints and
allegations received relative to Department of Education programs and
operations and documenting the outcome of OIG reviews and disposition
of those complaints and allegations; (6) coordinating relationships
with other Federal agencies, State and local governmental agencies, and
nongovernmental entities in matters relating to the statutory
responsibilities of the OIG and reporting to such entities on
government-wide efforts pursuant to the oversight of Federal funds; (7)
acting as a repository and source for information necessary to fulfill
the reporting requirements of the Inspector General Act of 1978, as
amended, 5 U.S.C. Appendix; (8) reporting on OIG activities to the
Council of Inspectors General for Integrity and Efficiency (CIGIE); (9)
participating in the investigative qualitative assessment review
process requirements of the Homeland Security Act of 2002 (Pub. L. 107-
296); and, (10) conducting activities to prevent and detect fraud and
abuse in the programs and operations of the Department, including fraud
awareness and detection training.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories of individuals covered by the system include subjects or
targets of investigations, witnesses, complainants, victims, current
and former employees of the Department and the OIG, and individuals who
have any relationship to financial assistance or other educational
programs administered by the Department, or to management concerns of
the Department, including but not limited to 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.
Complainants, witnesses, and subjects 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.

CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records maintained in the system include
investigation and hotline complaint files pertaining to violations of
criminal laws, fraud, waste, and abuse with respect to the
administration of Department programs and operations, and violations of
employee Standards of Conduct in 34 CFR part 73. These files will
contain, but will not be limited to: Electronic information including
names, addresses, Social Security numbers, dates of birth, and aliases
for subjects, targets, witnesses, and victims associated with
investigations; reports of interview; evidence obtained by a subpoena,
search warrant, or other process; investigative memoranda; requests and
approvals for case openings and closings and for the use of special
investigative techniques requiring approval by management; and
electronic copies of photographs, scanned documents, and electronic
media such as audio and video. The system will store investigation work
products, as well as all investigation results, records needed to
calculate and report statistical information on investigation efforts,
and other tracking information needed to identify trends, patterns, and
other indicators of fraud, waste, and abuse within the Department of
Education programs and operations. The system will also store records
to manage government-issued property and other resources used in
investigation activities.
Specific data related to complaints may also include, but is not
limited to, name, address, and contact information (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.

RECORD SOURCE CATEGORIES:
Information in this system comes from Departmental and other
Federal, State, and local government records; interviews of witnesses;
recipients and subjects of subpoenas, search warrants or other
processes; and documents and other material furnished by
nongovernmental sources. Sources may include complainants and
confidential sources. Complainants may 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

[[Page 54175]]

organizations that are involved with Department programs, contracts, or
funds or have knowledge about Department programs, contracts, or funds.
Information in this system also may be obtained from other persons or
entities from which data is obtained under routine uses set forth
below.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
The OIG may disclose information contained in a record in this
system of records under the routine uses listed in this system of
records notice without the consent of the individual if the disclosure
is compatible with the purpose for which the record was collected. The
OIG may make these disclosures on a case-by-case basis or, through a
computerized comparison of records authorized by Section 6(j) of the
Inspector General Act of 1978, as amended. As specified, disclosures
may also be made by the Department.
(1) Disclosure for Use by Other Law Enforcement Agencies. The OIG
may disclose information from this system of records as a routine use
to any Federal, State, local, foreign agency, or other public authority
responsible for enforcing, investigating, prosecuting, overseeing, or
assisting in the enforcement, investigation, prosecution, or oversight
of, violations of administrative, civil, or criminal law or regulation
if that information is relevant to any enforcement, regulatory,
investigative, prosecutorial, or oversight responsibility of the
Department or of the receiving entity.
(2) Disclosure to Public and Private Entities to Obtain Information
Relevant to Department of Education Functions and Duties. The OIG may
disclose records to public or private sources to the extent reasonably
deemed necessary to obtain information from those sources relevant to
an OIG investigation, audit, inspection, or other inquiry.
(3) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The OIG may disclose a record
to a Federal, State, local, or foreign agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance or retention of a security clearance, the letting of a
contract, or the issuance or retention of a license, grant, or other
benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The OIG may disclose a record to a Federal, State,
local, or foreign agency, other public authority, or professional
organization, in connection with the hiring or retention of an employee
or other personnel action, the issuance or retention of a security
clearance, the letting of a contract, or the issuance or retention of a
license, grant, or other benefit, to the extent that the record is
relevant and necessary to the receiving entity's decision on the
matter.
(4) Disclosure to Public and Private Entities in Connection with
the Higher Education Act of 1965, as Amended (HEA). The OIG may
disclose records 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 an 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) 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 judicial or
administrative litigation or ADR, the OIG or 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 employee in his or her individual capacity where the
Department of Justice (DOJ) agrees or has been requested to provide or
arrange for representation for the employee; or
(iv) Any Department employee in his or her individual capacity
where the agency has agreed to represent the employee; or
(v) The United States, where the Department determines that the
judicial or administrative litigation is likely to affect the
Department or any of its components.
(b) Disclosure to the DOJ. If the OIG determines that disclosure of
certain records to the DOJ is relevant and necessary to judicial or
administrative litigation or ADR, the OIG or the Department may
disclose those records as a routine use to the DOJ.
(c) Adjudicative Disclosure. If the OIG determines that disclosure
of certain records to an adjudicative body before which the Department
is authorized to appear, or to a person or entity designated by the
Department or otherwise empowered to resolve or mediate disputes is
relevant and necessary to the judicial or administrative litigation or
ADR, the OIG or the Department may disclose those records as a routine
use to the adjudicative body, person, or entity.
(d) Disclosure to Parties, Counsels, Representatives, or Witnesses.
If the OIG determines that disclosure of certain records is relevant
and necessary to judicial or administrative litigation or ADR, the OIG
or the Department may disclose those records as a routine use to the
party, counsel, representative, or witness.
(6) Disclosure to Contractors. If the OIG contracts with an entity
to perform any function or analysis that facilitates or is relevant to
an OIG investigation, audit, inspection, or other inquiry, the OIG may
disclose the records to those contractors. As part of such a contract,
the OIG or the Department shall require the contractor to maintain
safeguards to protect the security and confidentiality of the disclosed
records.
(7) Debarment and Suspension Disclosure. The OIG may disclose
records to another Federal agency considering suspension or debarment
action if the information is relevant to the suspension or debarment
action. The OIG also may disclose information to another agency to gain
information in support of the Department's own debarment and suspension
actions.
(8) Disclosure to the Department of Justice (DOJ). The OIG may
disclose information from this system of records as a routine use to
the DOJ to the extent necessary for obtaining the DOJ's advice on any
matter relevant to Department programs or operations.
(9) Congressional Member Disclosure. The OIG may disclose records
to a Member of Congress in response to an inquiry from the Member made
at the written request of that individual whose records are being
disclosed. The Member's right to the information is no greater than the
right of the individual who requested it.
(10) Benefit Program Disclosure. The OIG may disclose records to
any Federal, State, local, or foreign agency,

[[Page 54176]]

or other public authority, if relevant to the prevention or detection
of fraud and abuse in benefit programs administered by any agency or
public authority.
(11) Overpayment Disclosure. The OIG may disclose records to any
Federal, State, local, or foreign agency, or other public authority, if
relevant to the collection of debts and overpayments owed to any agency
or public authority.
(12) Disclosure to the Council of the Inspectors General on
Integrity and Efficiency (CIGIE). The OIG may disclose records to
members and employees of the CIGIE for the preparation of reports to
the President and Congress on the activities of the Inspectors General.
(13) Disclosure for Qualitative Assessment Reviews. The OIG may
disclose records to members of the CIGIE, the DOJ, the U.S. Marshals
Service, or any Federal agency for the purpose of conducting
qualitative assessment reviews of the investigative operations of the
OIG to ensure that adequate internal safeguards and management
procedures are maintained.
(14) Disclosure to Federal Entities Responsible for Oversight of
Federal Funds. The OIG may disclose records to any Federal agency,
entity, or board responsible for coordinating and conducting oversight
of Federal funds, in order to prevent fraud, waste, and abuse related
to Federal funds, or for assisting in the enforcement, investigation,
prosecution, or oversight of violations of administrative, civil, or
criminal law or regulation, if that information is relevant to any
enforcement, regulatory, investigative, prosecutorial, or oversight
responsibility of the Department or of the receiving entity.
(15) Disclosure in the Course of Responding to Breach of Data. The
OIG may disclose records from this system to appropriate agencies,
entities, and persons when: (a) The OIG or the Department suspects or
has confirmed that there has been a breach of the system of records;
(b) the OIG or 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 OIG or the Department's
efforts to respond to the suspected or confirmed breach or to prevent,
minimize, or remedy such harm.
(16) Disclosure in Assisting another Agency in Responding to a
Breach of Data. The OIG may disclose records from this system to
another Federal agency or Federal entity, when the OIG or 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.
(17) Whistleblower Reprisal Disclosure. The OIG may disclose
records to a complainant alleging whistleblower reprisal, or to a
public or private entity that employs or employed the complainant and
that, at the time of the alleged reprisal, was a grantee, subgrantee,
contractor, or subcontractor of the Department to the extent necessary
to fulfill the whistleblower reprisal investigation reporting
requirements of 41 U.S.C. 4712(b)(1), or any other whistleblower
reprisal law requiring a disclosure to a complainant or to a public or
private entity that employs or employed the complainant.
(18) Fraud Awareness and Prevention Disclosure. The OIG may
disclose records to participants in programs of the Department and any
public or private agency responsible for oversight of the participants
in order to conduct activities authorized by Section 4(a)(3) of the
Inspector General Act of 1978, as amended, to prevent and detect fraud
and abuse in the programs and operations of the Department, including
fraud awareness and detection training.
(19) Victim Assistance. A record from the system of records may be
disclosed to complainants, victims, or alleged victims to provide such
persons with information and explanations concerning the progress or
results of the investigation or case arising from the matters about
which they complained and/or in which they may have been a victim.
(20) Disclosure to Former Employees Pursuant to 5 U.S.C. 3322. The
OIG may disclose records to a former employee of the Department when an
adverse finding is made after the employee, who was the subject of a
personnel investigation, resigned from Federal service prior to the
resolution of a personnel investigation to the extent necessary to
fulfill the requirements of 5 U.S.C. 3322. Pursuant to 5 U.S.C. 3322,
the Department must make a permanent notation in the employee's
official personnel record file after providing notice of the adverse
finding and any supporting documentation.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Electronic records are stored on a Web-based computer system with
security requirements as required by law. Hard-copy records are
maintained in secure rooms, in security-type safes, or in secure
cabinets, all in restricted access space.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
The records are retrieved by manual or computer search of
alphabetical indices or cross-indices. Indices list names, Social
Security numbers, dates of birth, and other personal information of
individuals. Indices also list names of companies and organizations.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Investigative files are retained and disposed of in accordance with
ED Records Schedule 218, ``Investigation Records of the Inspector
General'' (N1-441-02-1, Items 2a, 2b, and 2c). Investigative files
developed during investigations of known or alleged fraud, abuse, and
irregularities or violations of laws and regulations are destroyed 10
years after cut off. Investigative files not relating to a specific
investigation are destroyed 5 years after cut off. (``Cut off'' occurs
at the end of the fiscal year in which the case is closed.)
Hotline complaint files are retained and disposed of in accordance
with ED Records Schedule 217, ``Hotline Records of the Inspector
General'' (N1-441-02-1, Items 3a, 3b, and 3c). Hotline complaint files
are destroyed 5 years after cut off. (``Cut off'' occurs at the end of
the fiscal year in which the complaint is resolved.)

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Access to records is limited to authorized personnel only. All
physical access to the Department's sites, and to the sites of the
Department's contractor (Primary Datacenter) and subcontractor
(Alternate Site), where this system of records is maintained, is
controlled and monitored by security personnel.
Electronic records are maintained on computer databases that are
compliant with FedRAMP baseline security controls as described in the
System Security Plan required by FedRAMP to meet the Federal
Information Security Modernization Act (FISMA) compliance mandate. All
security for the system is maintained in accordance with

[[Page 54177]]

Moderate data sensitivity controls. An individual's ability to access
and alter the records is limited to a ``need to know'' basis and
authorized log-on codes and passwords prevent unauthorized users from
gaining access to data and system resources.
Hard copy records are maintained in secure rooms, in security-type
safes, or in secure cabinets, all in restricted access spaces.

RECORD ACCESS PROCEDURES:
See ``EXEMPTIONS PROMULGATED FOR THE SYSTEM.'' As provided in 34
CFR 5b.11(b)(3), (c)(1)(ii), and (f), the record access procedures are
not applicable to criminal investigative files except at the discretion
of the Inspector General. To the extent that the procedures may apply
to criminal investigative files, they are subject to the conditions set
forth at 34 CFR 5b.11(b)(3). The record access procedures are
applicable to non-criminal investigative files subject to the
conditions set forth at 34 CFR 5b.11(c)(1)(ii) and (f).

CONTESTING RECORD PROCEDURES:
See ``EXEMPTIONS PROMULGATED FOR THE SYSTEM.'' As provided in 34
CFR 5b.11(b)(3) and (c)(1)(ii), the procedures for correction or
amendment of records are not applicable to criminal and non-criminal
investigative files.

NOTIFICATION PROCEDURES:
See ``EXEMPTIONS PROMULGATED FOR THE SYSTEM.'' As provided in 34
CFR 5b.11(b)(3), (c)(1)(ii), and (f), the notification procedures are
not applicable to criminal investigative files except at the discretion
of the Inspector General. To the extent that the procedures may apply
to criminal investigative files, they are subject to the conditions set
forth at 34 CFR 5b.11(b)(3). The notification procedures are applicable
to non-criminal investigative files subject to the conditions set forth
at 34 CFR 5b.11(c)(1)(ii) and (f).

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to the general authority in the Privacy Act in 5 U.S.C.
552a(j)(2) (criminal investigative/enforcement files), the Secretary of
Education has by regulations exempted the ``Investigative Files of the
Inspector General'' system of records from the following subsections of
the Privacy Act:
5 U.S.C. 552a(c)(3)--access to accounting of disclosure.
5 U.S.C. 552a(c)(4)--notification to outside parties and agencies
of correction or notation of dispute made in accordance with 5 U.S.C.
552a(d).
5 U.S.C. 552a(d)(1) through (4) and (f)--procedures for
notification or access to, and correction or amendment of, records.
5 U.S.C. 552a(e)(1)--maintenance of only relevant and necessary
information.
5 U.S.C. 552a(e)(2)--collection of information from the subject
individual to the greatest extent practicable.
5 U.S.C. 552a(e)(3)--notice to an individual who is asked to
provide information to the Department.
5 U.S.C. 552a(e)(4)(G) and (H)--inclusion of information in the
system of records notice regarding Department procedures on
notification of, access to, correction of, or amendment of records.
5 U.S.C. 552a(e)(5)--maintenance of records with requisite
accuracy, relevance, timeliness, and completeness.
5 U.S.C. 552a(e)(8)--service of notice on individual if a record is
made available under compulsory legal process if that process becomes a
matter of public record.
5 U.S.C. 552a(g)--civil remedies for violation of the Privacy Act.
Pursuant to the general authority in the Privacy Act in 5 U.S.C.
552a(k)(2) (civil investigative files), the Secretary of Education has
by regulations exempted the ``Investigative Files of the Inspector
General'' system of records from the following subsections of the
Privacy Act:
5 U.S.C. 552a(c)(3)--access to accounting of disclosure.
5 U.S.C. 552a(d)(1) through (4) and (f)--procedures for
notification or access to, and correction or amendment of, records.
5 U.S.C. 552a(e)(1)--maintenance of only relevant and necessary
information.
5 U.S.C. 552a(e)(4)(G) and (H)--inclusion of information in the
system of records notice regarding Department procedures on
notification of, access to, correction of, or amendment of records.
These exemptions are stated in 34 CFR 5b.11.

HISTORY:
The system of records notice entitled ``Investigative Files of the
Inspector General'' (18-10-01) was published in full in the Federal
Register on June 4, 1999 (64 FR 30151-30153), corrected on December 27,
1999 (64 FR 72406), corrected on January 30, 2002 (67 FR 4415-4417),
altered on June 26, 2003 (68 FR 38153-38158), altered on June 14, 2010
(75 FR 33608-33610), and most recently altered on August 20, 2012 (77
FR 50091-50092).

Appendix to 18-10-01 Additional System Locations:
Office of Inspector General, U.S. Department of Education, 2700 N.
Central, Suite 300, Phoenix, AZ 85004.
Office of Inspector General, U.S. Department of Education, One
World Trade Center, Suite 2300, Long Beach, CA 90831-0023.
Office of Inspector General, U.S. Department of Education, Cesar E.
Chavez Memorial Building, 1244 Speer Boulevard, Suite 604A, Denver, CO
80204-3582.
Office of Inspector General, U.S. Department of Education, 9050
Pines Blvd., Suite 270, Pembroke Pines, FL 33024.
Office of Inspector General, U.S. Department of Education, Atlanta
Federal Center, 61 Forsyth Street, Room 19T71, Atlanta, GA 30303-3104.
Office of Inspector General, U.S. Department of Education, 230 S.
Dearborn Street, Suite 3964, Chicago, IL 60604.
Office of Inspector General, U.S. Department of Education, J.W.
McCormack Post Office and Courthouse, 5 Post Office Square, 8th Floor,
Boston, MA 02109.
Office of Inspector General, U.S. Department of Education, 339 East
Liberty Street, Suite 310, Ann Arbor, MI 48104.
Office of Inspector General, U.S. Department of Education, 1010
Walnut Street, Suite 410, Kansas City, MO 64104.
Office of Inspector General, U.S. Department of Education, 32 Old
Slip, 26th Floor, New York, NY 10005-2500.
Office of Inspector General, U.S. Department of Education, The
Wanamaker Building, 100 Penn Square East, Suite 502, Philadelphia, PA
19107-3323.

[[Page 54178]]

Office of Inspector General, U.S. Department of Education, 1000
Liberty Avenue, Room 1503, Pittsburgh, PA 15222-4004.
Office of Inspector General, U.S. Department of Education, Federal
Building and Courthouse, 150 Carlos Chard[oacute]n Street, Room 747,
San Juan, PR 00918-1721.
Office of Inspector General, U.S. Department of Education, 350
Carlos Chard[oacute]n Street, Suite 235, San Juan, PR 00918.
Office of Inspector General, U.S. Department of Education, 801
Broadway, Suite C 362, Nashville, TN 37203.
Office of Inspector General, U.S. Department of Education, 1201 Elm
Street, Suite 1090, Dallas, TX 75270.

[FR Doc. 2021-21283 Filed 9-29-21; 8:45 am]
BILLING CODE 4000-01-P

</pre></body>
</html>

View on FederalRegister.gov →Plain-text source

Indexed from Federal Register on September 30, 2021.

This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.