A r c h i v e d  I n f o r m a t i o n

Investigative Files of the Inspector General.

DEPARTMENT OF EDUCATION

18-10-01

System name:
Investigative Files of the Inspector General.

Security classification:
None.

System location:

Categories of individuals covered by the system:
Categories include current and former Department of Education employees and individuals who have any relationship to financial assistance or other educational programs administered by the Department of Education, 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.

Categories of records in the system:
Investigation files pertaining to violations of criminal laws, fraud, waste, and abuse with respect to administration of Department programs and operations, and violations of employee Standards of Conduct as set out in 34 CFR part 73.

Authority for maintenance of the system:
The Inspector General Act of 1978, as amended (5 U.S.C. Appendix 3) and 5 U.S.C. 301.

Purpose(s):
Pursuant to the Inspector General Act, the system is maintained for the purposes of:

1. Conducting and documenting investigations by the OIG or other investigative agencies regarding Department of Education programs and operations and reporting the results of investigations to other Federal agencies, other public authorities or professional organizations which 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 which were the subject of investigations;
4. reporting investigative findings to other Department of Education components for their use in operating and evaluating their programs or operations, and in the imposition of civil or administrative sanctions; and
5. acting as a repository and source for information necessary to fulfill the reporting requirements of the Inspector General Act, 5 U.S.C. Appendix 3, 5.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
The Department of Education (Department) may disclose information contained in a record in this system of records under the routine uses listed in this system of records without the consent of the individual if the disclosure is compatible with the purposes for which the record was collected. These disclosures may be made on a case-by-case basis or, if the Department has complied with the computer matching requirements of the Privacy Act, under a computer matching agreement.

1. Disclosure for Use by Other Law Enforcement Agencies. The Department may disclose information from this system of records as a routine use to any Federal, State, local, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation where that information is relevant to any enforcement, regulatory, investigative, or prosecutive responsibility of the receiving entity.
2. Disclosure to Public and Private Entities to Obtain Information Relevant to Department of Education Functions and Duties. The Department may disclose information from this system of records as a routine use to public or private sources to the extent necessary to obtain information from those sources relevant to a Department investigation, audit, inspection or other inquiry.
3. Disclosure for Use in Employment, Employee Benefit, Security Clearance, and Contracting Decisions.
4. For Decisions by the Department. The Department may disclose information from this system of records as a routine use 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.
5. For Decisions by Other Public Agencies and Professional Organizations. The Department may disclose information from this system of records as a routine use to a Federal, State, local, or foreign agency or 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 reporting of an investigation of an employee, the letting of a contract, or the issuance or retention of a license, grant or other benefit.
6. Disclosure to Public and Private Sources in Connection with the Higher Education Act of 1965, as Amended ("HEA"). The Department may disclose information from this system of records as a routine use to any accrediting agency which is or was recognized by the Secretary of Education pursuant to the HEA; to any guaranty agency which is or was a party to an agreement with the Secretary of Education pursuant to the HEA; or to any agency which is or was charged with licensing or legally authorizing the operation of any educational institution or school which was eligible, is currently eligible, or may become eligible to participate in any program of Federal student assistance authorized by the HEA.
7. Litigation Disclosure.
   1. Disclosure to the Department of Justice. If the Department determines that disclosure of certain records to the Department of Justice is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the Department of Justice. Such a disclosure may be made in the event that one of the parties listed below is involved in the litigation, or has an interest in the litigation:
      1. The Department, or any component of the Department;
      2. Any employee of the Department in his or her official capacity;
      3. Any employee of the Department in his or her individual capacity where the Department of Justice has agreed to represent the employee; or
      4. The United States, where the Department determines that the litigation is likely to affect the Department or any of its components.
8. Other Disclosure. If the Department determines that disclosure of certain records to a court, adjudicative body before which the Department is authorized to appear, individual or entity designated by the Department or otherwise empowered to resolve disputes, counsel or other representative, or potential witness is relevant and necessary to litigation and is compatible with the purpose for which the records were collected, the Department may disclose those records as a routine use to the court, adjudicative body, individual or entity, counsel or other representative, or witness. Such a disclosure may be made in the event that one of the parties listed below is involved in the litigation, or has an interest in the litigation:
   1. The Department, or any component of the Department;
   2. Any employee of the Department in his or her official capacity;
   3. Any employee of the Department in his or her individual capacity where the Department has agreed to represent the employee; or
   4. The United States, where the Department determines that the litigation is likely to affect the Department or any of its components.
9. Disclosure to Contractors and Consultants. The Department may disclose information from this system of records as a routine use to a private firm with which the Department contemplates it will contract or with which it has contracted for the purpose of performing any functions or analyses that facilitate or are relevant to an OIG investigation, audit, inspection, or other inquiry. Such contractor or private firm shall be required to maintain Privacy Act safeguards with respect to such information.
10. Debarment and Suspension Disclosure. The Department may disclose information from this system of records as a routine use to another Federal agency considering suspension or debarment action where the information is relevant to the suspension or debarment action.
11. Disclosure to the Department of Justice. The Department may disclose information from this system of records as a routine use to the Department of Justice, to the extent necessary for obtaining its advice on any matter relevant to Department of Education operations.
12. Congressional Member Disclosure. The Department may disclose records to a member of Congress from the record of an individual in response to an inquiry from the member made at the written request of that individual. The member's right to the information is no greater than the right of the individual who requested it.
13. Computer Matching Disclosure. The Department may disclose information from this system of records as a routine use to a Federal, State, local, or foreign agency, or other public authority, for use in computer matching programs to prevent and detect fraud and abuse in benefit programs administered by any agency, to support civil and criminal law enforcement activities of any agency and its components, and to collect debts and overpayments owed to any agency and its components.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:
The records are maintained on index cards, investigative reports, microcomputer disks, computer mainframe files and computer-printed listings.

Retrievability:
The records are retrieved by manual or computer search of alphabetical indices or cross-indices. Indices list names of individuals, companies and organizations.

Safeguards:
Written documents and computer disks are maintained in secure rooms, in security-type safes or in bar-lock file cabinets with manipulation-proof combination locks. Computer mainframe files are on-line in guarded, combination-locked computer rooms.

Retention and disposal:
Investigative files are retained and disposed of in accordance with the Department's Records Disposition Schedules (ED/RDS, Part 16). The ED/RDS may be obtained by writing to the System Manager at the address below.

System manager(s) and address:

Notification procedure:
See "system exempted," below. As provided in 34 CFR 5b.11(b)(2) and (c)(1), the notification procedure is not applicable to criminal investigative files except at the discretion of the Inspector General. To the extent that this procedure may apply to criminal investigative files, it is governed by 34 CFR 5b.5. The notification procedure is applicable to non-criminal investigative files under the conditions defined by 34 CFR 5b.11(c). Under those conditions it is governed by 34 CFR 5b.5.

Record access procedures:
See "system exempted," below. As provided in 34 CFR 5b.11(b)(2) and (c)(1), the record access procedure is not applicable to criminal investigative files except at the discretion of the Inspector General. To the extent that this procedure may apply to criminal investigative files, it is governed by 34 CFR 5b.5. The record access procedure is applicable to non-criminal investigative files under the conditions defined by 34 CFR 5b.11(c). Under those conditions it is governed by 34 CFR 5b.5.

Contesting record procedures:
Not applicable. See "system exempted," below.

Record source categories:
Departmental and other Federal, State and local government records; interviews of witnesses; documents and other material furnished by non-governmental sources. Sources may include confidential sources.

System exempted from certain provisions of the act:
Pursuant to the general authority in the Privacy Act in 5 U.S.C. 552a(j)(2), the Secretary has by regulation exempted the Investigative Files of the Inspector General 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)-(4) and (f)--procedures for notification of, access to, and correction or amendment of records;
• 5 U.S.C. 552(e)(3)--notice to an individual who is required to provide information to the Department;
• 5 U.S.C. 552a(e)(4)(G), (H)--inclusion of information on Department procedures on notification of, access to, correction or amendment of records, in the system of records notice.

Additional System Locations

Office of Inspector General

U.S. Department of Education, Room 512, P.O. Box 2142, Boston, MA 02106.

Office of Inspector General

U.S. Department of Education, 75 Park Place, 12th Floor, New York, NY 10007.

Office of Inspector General

U.S. Department of Education, The Wanamaker Building, 100 Penn Square East, Suite 502, Philadelphia, PA 19107.

Office of Inspector General

U.S. Department of Education, Atlanta Federal Center, 61 Forsyth Street, Room 18T71, Atlanta, GA 30303.

Office of Inspector General

U.S. Department of Education, 111 N. Canal Street, Suite 940, Chicago, IL 60606-7204.

Office of Inspector General

U.S. Department of Education, 1999 Bryan Street, Suite 2630, Dallas, TX 75201-6817.

Office of Inspector General

U.S. Department of Education, 2nd Floor, 10220 North Executive Hills Blvd., Kansas City, MO 64153-1367.

Office of Inspector General

U.S. Department of Education, 501 W. Ocean Blvd. #1200, Long Beach, CA 90802.