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

Hotline Complaint Files of the Inspector General.

DEPARTMENT OF EDUCATION

18-10-04

System name:
Hotline Complaint Files of the Inspector General.

Security classification:
None.

System location:

Categories of individuals covered by the system:
Categories include individuals who are sources of information or have made complaints to the OIG Hotline, individuals who allegedly have knowledge regarding wrongdoing affecting the programs and operations of the Department, and individuals about whom complaints and allegations have been made concerning wrongdoing involving the programs and operations of the Department of Education. These individuals may include, but are not limited to, current and former Department employees, grantees, subgrantees, contractors, subcontractors, program participants, recipients of Federal funds or federally insured funds, and officers, employees, or agents of institutional recipients or program participants.

Categories of records in the system:
Records in this system contain information obtained from complainants who report allegations of wrongdoing relating to Department of Education programs and operations. Specific data may include name and address (if available) of the complainant, the date the complaint was received, the affected program area, the nature and subject of the complaint, and any additional contacts and specific comments provided by the complainant. In addition, information on the OIG disposition of the complaint is included in the system.

Authority for maintenance of the system:
Inspector General Act of 1978, as amended (IG Act), 5 U.S.C. app. 3.

Purpose(s):
Pursuant to the Inspector General Act, the system is maintained for the purposes of maintaining a record of complaints and allegations received concerning Department of Education programs and operations and concerning the disposition of those complaints and allegations.

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

1. Disclosure for Use by Other Law Enforcement Agencies. In the event that any records from this system of records, either by themselves or in combination with any other information, indicate a violation or potential violation of criminal or civil law or regulation, the Department may disclose information from this system of records as a routine use to any Federal, State, local, or foreign agency or other public authority responsible for enforcing, investigating, or prosecuting violations of administrative, civil, or criminal law or regulation if that information is relevant to any enforcement, regulatory, investigative, or prosecutive responsibility of the receiving entity.
2. Litigation Disclosure.
   1. Introduction. In the event that one of the following parties is involved in litigation, or has an interest in litigation, the Department may disclose certain records to the parties described in paragraphs (2), (3), and (4) of this routine use under the conditions specified in those paragraphs:
      1. The Department, or any component of the Department; or
      2. Any Department employee in his or her official capacity; or
      3. Any employee of the Department in his or her individual capacity if the Department of Justice has agreed to provide or arrange for representation for the employee; or
      4. Any employee of the Department in his or her individual capacity if the agency has agreed to represent the employee; or
      5. The United States if the Department determines that the litigation is likely to affect the Department or any of its components.
   2. Disclosure to the Department of Justice. If the Department determines that disclosure of certain records to the Department of Justice or attorneys engaged by the Department of Justice is relevant and necessary to litigation, the Department may disclose those records as a routine use to the Department of Justice.
   3. Administrative Disclosures. If the Department determines that disclosure of certain records to an adjudicative body before which the Department is authorized to appear or to an individual or an entity designated by the Department or otherwise empowered to resolve disputes is relevant and necessary to the administrative litigation, the Department may disclose those records as a routine use to the adjudicative body, individual, or entity.
   4. Opposing Counsels, Representatives, and Witnesses. If the Department determines that disclosure of certain records to an opposing counsel, representative, or witness in an administrative proceeding is relevant and necessary to the litigation, the Department may disclose those records as a routine use to the counsel, representative, or witness.
3. Disclosure to Public and Private Entities to Obtain Information Relevant to the Department's OIG Functions and Duties. The Department may disclose information from this system of records as a routine use to public or private sources to the extent necessary to obtain information from those sources relevant to a Department of Education/OIG investigation, audit, inspection, or other inquiry.
4. Disclosure to Public and Private Sources in Connection with the Higher Education Act of 1965, as amended (HEA). The Department may disclose information from this system of records as a routine use to any accrediting agency that is or was recognized by the Secretary of Education pursuant to the HEA, to any guarantee agency that is or was a party to an agreement with the Secretary of Education pursuant to the HEA, or to any agency that is or was charged with licensing or legally authorizing the operation of any educational institution or school that was eligible, is currently eligible, or may become eligible to participate in any program of Federal student assistance authorized by the HEA.
5. Disclosure to the Department of Justice. The Department may disclose information from this system of records as a routine use to the Department of Justice to the extent necessary for obtaining its advice on any matter relevant to an OIG investigation, audit, inspection, or other inquiry related to the responsibilities of the OIG.
6. Congressional Disclosure. The Department may disclose records to a member of Congress from the record of an individual in response to an inquiry from the member made at the written request of that individual. The member's right to the information is no greater than the right of the individual who requested it.

Disclosure to consumer reporting agencies:
None.

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

Storage:
The records are maintained in complaint files, computer mainframe files, and computer-printed listings.

Retrievability:
Hard copy records are organized by and retrievable by the assigned Hotline number. The computer files are indexed and retrievable by Hotline number, name of complainant, and the name of the subject or subjects.

Safeguards:
Records are maintained in locked file cabinets or in metal file cabinets in secured rooms or premises to which access is limited to those persons whose official duties require access. Computer terminals are secured in controlled areas that are locked when unoccupied. Access to automated records is limited to authorized personnel who must use a password system to gain access.

Retention and disposal:
Hotline records not resulting in investigations are destroyed when five years old, in accordance with the Department's Records Disposition Schedules (ED/RDS, part 16). Investigative case files are destroyed 10 years after close-out in accordance with the Department's Records Disposition Schedules (ED/RDS, Part 16).

System manager(s) and address:

Notification procedure:
See Systems Exempted. As provided in 34 CFR 5b.11(f), the notification procedures are not applicable to Hotline files except at the discretion of the Inspector General. The notification procedures are applicable to non-criminal files only under the conditions in 34 CFR 5b.11(f)(2). To the extent these procedures apply to the Department of Education Hotline Complaint Files, they are governed by 34 CFR 5b.5.

Record access procedures:
See Notification Procedure.

Contesting record procedures:
Not applicable. See Systems Exempted.

Record source categories:
Complainants who include, but are not limited to, current and former employees of the Department, employees of other Federal agencies, employees of State and local agencies, private individuals, and officers and employees of non-governmental organizations that are involved with Department programs, contracts, or funds or have knowledge about Department programs, contracts, or funds.

Systems exempted from certain provisions of the act:
The Secretary has by regulations exempted the Hotline Complaint Files of the Inspector General from the following provisions of the Privacy Act:

1. Pursuant to 5 U.S.C. 552a(j)(2):
   1. 5 U.S.C. 552a(c)(3), regarding access to an accounting of disclosures of a record.
   2. 5 U.S.C. 552a(c)(4), regarding notification to outside parties and agencies of correction or notation of dispute made in accordance with 5 U.S.C. 552a(d).
   3. 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification or access to records and correction or amendment of records.
   4. 5 U.S.C. 552a(e)(1), regarding maintaining only relevant and necessary information.
   5. 5 U.S.C. 552a(e)(2), regarding collection of information from the subject individual.
   6. 5 U.S.C. 552a(e)(3), regarding notice to individuals asked to provide a record to the Department.
   7. 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of information in the system notice about procedures for notification, access, correction, and source of records.
   8. 5 U.S.C. 552a(e)(5), regarding maintaining records with requisite accuracy, relevance, timeliness, and completeness.
   9. 5 U.S.C. 552a(e)(8), regarding service of notice on subject individual if a record is made available under compulsory legal process if that process becomes a matter of public record.
   10. 5 U.S.C. 552a(g), regarding civil remedies for violation of the Privacy Act.
2. Pursuant to 5 U.S.C. 552a(k)(2):
   1. 5 U.S.C. 552a(c)(3), regarding access to an accounting of disclosures of records.
   2. 5 U.S.C. 552a(d)(1) through (4) and (f), regarding notification of and access to records and correction or amendment of records.
   3. 5 U.S.C. 552a(e)(1), regarding the requirement to maintain only relevant and necessary information.
   4. 5 U.S.C. 552a(e)(4)(G), (H), and (I), regarding inclusion of information in the system notice about procedures for notification, access, correction, and source of records.