Privacy Act of 1974; System of Records, 54171-54178 [2021-21283]

Agencies

• DEPARTMENT OF EDUCATION

[Federal Register Volume 86, Number 187 (Thursday, September 30, 2021)]
[Notices]
[Pages 54171-54178]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-21283]


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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.

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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    The rescinded system of records will become applicable September 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.
     Federal eRulemaking Portal: Go to www.regulations.gov to 
submit your comments electronically. Information on using 
Regulations.gov, including instructions for accessing agency documents, 
submitting comments, and viewing the docket, is available on the site 
under the ``FAQ'' link.
     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 
www.regulations.gov. 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 www.govinfo.gov. 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 
www.federalregister.gov. Specifically, through the advanced search 
feature at this site, you can limit

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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.

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