[Federal Register: June 26, 2003 (Volume 68, Number 123)]
[Notices]
[Page 38153-38158]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr26jn03-133]
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Part III
Department of Education
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Privacy Act of 1974; System of Records; Notice
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DEPARTMENT OF EDUCATION
Privacy Act of 1974; System of Records
AGENCY: Office of Inspector General, Department of Education.
ACTION: Notice of an altered system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, as amended
(Privacy Act), the Department of Education (Department) publishes this
notice proposing to revise the system of records for the Investigative
Files of the Inspector General ED/OIG (18-10-01), 64 FR 30151-30153
(June 4, 1999), as amended, 67 FR 4415 (January 30, 2002). This notice
expands the categories of information maintained in the system and
changes the equipment configuration used to store the information. This
notice also proposes two new routine uses for the information contained
in the system. This 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: The Department seeks comments on the proposed new routine use
disclosures described in this system of records notice, in accordance
with the requirements of the Privacy Act. We must receive your comments
on or before July 28, 2003.
The Department filed a report describing the altered system of
records covered by this notice with the Chair of the Senate Committee
on Governmental Affairs, the Chair of the House Committee on Government
Reform, and the Administrator of the Office of Information and
Regulatory Affairs, Office of Management and Budget (OMB) on June 20,
2003. This altered system of records will become effective at the later
date of--(1) the expiration of the 40-day period for OMB review on July
30, 2003, or (2) July 28, 2003, unless the system of records needs to
be changed as a result of public comment or OMB review.
ADDRESSES: Address all comments about this altered system of records to
the Assistant Inspector General for Investigation Services, Office of
Inspector General, U.S. Department of Education, 400 Maryland Avenue,
SW., room 4132, Mary E. Switzer Building, Washington, DC 20202-1510. If
you prefer to send your comments through the Internet, use the
following address: comments@ed.gov
You must include the term ``OIG Investigative Files'' in the
subject line of your electronic message.
During and after the comment period, you may inspect all public
comments about this notice in room 4022, Mary E. Switzer Building, 330
C Street, SW., Washington, DC, between the hours of 8 a.m. and 4:30
p.m., Eastern time, Monday through Friday of each week except Federal
holidays.
Assistance to Individuals With Disabilities in Reviewing the Rulemaking
Record
On request we will supply an appropriate aid, such as a reader or
print magnifier, to an individual with a disability who needs
assistance to review the comments or other documents in the public
rulemaking record for this notice. If you want to schedule an
appointment for this type of aid, please contact the person listed
under FOR FURTHER INFORMATION CONTACT.
FOR FURTHER INFORMATION CONTACT: Shelley Shepherd, Assistant Counsel to
the Inspector General, 400 Maryland Avenue, SW., MES Building, room
4020, Washington, DC 20202-1510. Telephone: (202) 205-5606. If you use
a telecommunications device for the deaf (TDD), you may call the
Federal Information Relay Service (FIRS) at 1-800-877-8339.
Individuals with disabilities may obtain this document in an
alternative format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the contact person listed in the preceding
paragraph.
SUPPLEMENTARY INFORMATION:
Introduction
The Privacy Act requires the Department to publish in the Federal
Register this notice of an altered system of records (5 U.S.C.
552a(e)(4) and (11)). The Department's regulations implementing the
Privacy Act are contained in the Code of Federal Regulations (CFR) in
34 CFR part 5b.
The Privacy Act applies to a record about an individual that
contains individually identifiable information that is retrieved by a
unique identifier associated with each individual, such as a name or
social security number. The information about each individual is called
a ``record'' and the system, whether manual or computer-based, is
called a ``system of records.'' The Privacy Act requires each agency to
publish notices of systems of records in the Federal Register and to
prepare reports to OMB whenever the agency publishes a new or altered
system of records.
A system of records is considered ``altered'' whenever an agency
expands the types or categories of information maintained,
significantly expands the types or categories of individuals about whom
records are maintained, changes the purpose for which the information
is used, changes the equipment configuration in a way that creates
substantially greater access to the records, adds an exemption pursuant
to subsections (j) or (k) of the Privacy Act, or adds a routine uses
disclosure to the system. Since the last amendment to this system of
records, which was published in the Federal Register on January 30,
2002, (67 FR 4415), a number of technical changes are needed to update
and accurately describe the current system of records. This notice
expands the type of information maintained in the system, clarifies the
categories of individuals, adds two new routine use disclosures, and
changes the equipment configuration used to store the information in
order to create greater access to the records by OIG employees through
the use of a Web-based computer system.
Under the Inspector General Act of 1978, as amended, 5 U.S.C.
Appendix, Inspectors General, including the Department's Inspector
General, are responsible for conducting, supervising, and coordinating
investigations relating to programs and operations of the Federal
agency for which their office is established. This system of records
facilitates the OIG's performance of this statutory duty. The changes
proposed in the attached notice are intended to expand the information
maintained in the system, change the equipment configuration used to
store the information in order to create greater access to the records
by OIG staff, and add routine uses to make statutorily required
disclosures of information contained in the system. Collectively, these
revisions will enhance the ability of the OIG to combat fraud, waste,
and abuse in the Department's programs and operations, as required by
the Inspector General Act.
This system includes records on individuals who are the subject of
open or closed OIG investigations. The records contain evidence
compiled by OIG investigators, investigative reports, referrals to the
Department and to other investigative or prosecutorial authorities, and
records of disposition of cases. These records include, but are not
limited to, electronic information including names, addresses, social
security numbers, dates of birth, and
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aliases for subjects, targets, witnesses, and victims associated with
investigations; reports of interviews; 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 investigative work
products, as well as all investigation results and other tracking
information needed to identify trends, patterns, and other indicators
of fraud and abuse within the Department's programs and operations.
The information in this system of records will be used for purposes
of--(1) conducting and documenting investigations by the OIG or other
investigative agencies regarding the Department's 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 to other Department components for
their use in operating and evaluating their programs or operations, and
in the imposition of civil or administrative sanctions; (5) maintaining
a record of complaints and allegations received relative to Department
programs and operations and documenting the outcome of OIG reviews 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; (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 the activities of the Inspector General to the President's
Council on Integrity and Efficiency; and (9) participating in the
investigative qualitative assessment review process requirements of the
Homeland Security Act of 2002 (Pub. L. 107-296.)
Electronic Access To This Document
You may view this document, as well as all other Department of
Education documents published in the Federal Register in text or Adobe
Portable Document Format (PDF) on the Internet at the following site:
http://www.ed.gov/legislation/FedRegister.
To use PDF you must have Adobe Acrobat Reader, which is available
free at this site. If you have questions about using PDF, call the U.S.
Government Printing Office (GPO), toll-free, at 1-888-293-6498; or in
the Washington, DC, area at (202) 512-1530.
Note: The official version of this document is the document
published in the Federal Register. Free Internet access to the
official edition of the Federal Register and the Code of Federal
Regulations is available on GPO Access at: http://www.access.gpo.gov/nara/index.html
.
Due to the extensive revisions in this notice, it is being
published in its entirety.
Dated: June 9, 2003.
John P. Higgins, Jr.,
Inspector General.
For the reasons discussed in the preamble, the Inspector General of
the U.S. Department of Education publishes a notice of an altered
system of records to read as follows:
18-10-01
SYSTEM NAME:
Investigative Files of the Inspector General.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION(S):
Office of the Inspector General, Investigation Services (AIGI),
U.S. Department of Education, 330 C Street, SW., Mary E. Switzer
Building, Room 4132, Washington, DC 20202. See the Appendix at the end
of this notice for additional system locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories include subjects, targets, witnesses, victims, current
and former employees of the U.S. Department of Education (Department),
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.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories include investigation files pertaining to violations of
criminal laws, fraud, waste, and abuse with respect to the
administration of Department of Education programs and operations, and
violations of employee Standards of Conduct in 34 CFR part 73. These
investigation 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;
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 and other tracking information needed to identify trends,
patterns, and other indicators of fraud and abuse within the Department
of Education programs and operations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Inspector General Act of 1978, as amended, (5 U.S.C. Appendix).
PURPOSE(S):
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 of Education 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 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; (5) maintaining a record of complaints and
allegations received relative to Department of Education programs and
operations and documenting the outcome of OIG reviews 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; (7) acting as a repository and source for
information necessary to fulfill the reporting
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requirements of the Inspector General Act, 5 U.S.C. Appendix; (8)
reporting on the activities of the Inspectors General to the
President's Council on Integrity and Efficiency (PCIE); and (9)
participating in the investigative qualitative assessment review
process requirements of the Homeland Security Act of 2002 (Pub. L. 107-
296.)
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE 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 without the consent of the individual if the disclosure is
compatible with the purposes for which the record was collected. The
OIG may make these disclosures on a case-by-case basis or, if the OIG
has met the requirements of the Computer Matching and Privacy
Protection Act, under a computer matching agreement.
(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, or foreign agency or other public
authority responsible for enforcing, investigating, or prosecuting
violations of administrative, civil, or criminal law or regulations if
that information is relevant to any enforcement, regulatory,
investigative, or prosecutorial responsibility 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 information from this system of records as a routine use to
public or private sources to the extent necessary to obtain information
from those sources relevant to an OIG investigation, audit, inspection,
or other inquiry.
(3) Disclosure for Use in Employment, Employee Benefit, Security
Clearance, and Contracting Decisions.
(a) For Decisions by the Department. The OIG 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.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The OIG may disclose information from this system of
records as a routine use 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.
(4) Disclosure to Public and Private Sources in Connection with the
Higher Education Act of 1965, as Amended (HEA). The OIG may disclose
information from this system of records as a routine use to any
accrediting agency that is or was recognized by the Secretary of
Education pursuant to the 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 Disclosure.
(a) Disclosure to the Department of Justice. If the disclosure of
certain records to the Department of Justice (DOJ) is relevant and
necessary to litigation and is compatible with the purpose for which
the records were collected, the OIG may disclose those records as a
routine use to the Department of Justice. The OIG may make such a
disclosure in the event that one of the following parties is involved
in the litigation or has an interest in the litigation:
(i) The Department or any component of the Department;
(ii) Any employee of the Department in his or her official
capacity;
(iii) Any employee of the Department in his or her individual
capacity if the DOJ has agreed to represent the employee or in
connection with a request for that representation; or
(iv) The United States, if the Department determines that the
litigation is likely to affect the Department or any of its components.
(b) Other Litigation Disclosure. If 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, party, or potential witness is relevant and necessary
to litigation and is compatible with the purpose for which the records
were collected, the OIG may disclose those records as a routine use to
the court, adjudicative body, individual or entity, counsel or other
representative, party, or potential witness. The OIG may make such a
disclosure in the event that one of the following parties is involved
in the litigation or has an interest in the litigation:
(i) The Department or any component of the Department;
(ii) Any employee of the Department in his or her official
capacity;
(iii) Any employee of the Department in his or her individual
capacity if the Department has agreed to represent the employee; or
(iv) The United States, if the Department determines that the
litigation is likely to affect the Department or any of its components.
(6) Disclosure to Contractors and Consultants. The OIG may disclose
information from this system of records as a routine use to the
employees of any entity or individual with whom or with which the
Department contracts for the purpose of performing any functions or
analyses that facilitate or are relevant to an OIG investigation,
audit, inspection, or other inquiry. Before entering into such a
contract, the Department shall require the contractor to maintain
Privacy Act safeguards, as required under 5 U.S.C. 552a(m) with respect
to the records in the system.
(7) Debarment and Suspension Disclosure. The OIG may disclose
information from this system of records as a routine use 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. 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 of Education programs or operations.
(9) Congressional Member Disclosure. The OIG may disclose
information from this system of 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.
(10) Benefit Program Disclosure. The OIG may disclose records as a
routine
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use to any Federal, State, local, or foreign agency, 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 as a
routine use 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 President's Council on Integrity and
Efficiency. The OIG may disclose records as a routine use to members
and employees of the PCIE 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 as a routine use to members of the PCIE, 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 Department of Education, Office of Inspector General
to ensure that adequate internal safeguards and management procedures
are maintained.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Electronic records are stored on a Web-based computer system. Hard-
copy records are stored in bar-lock file cabinets.
RETRIEVABILITY:
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.
SAFEGUARDS:
Electronic records are maintained on computer databases that are
kept on a secured server in combination-locked rooms. 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 bar-lock file cabinets with
manipulation-proof combination locks.
RETENTION AND DISPOSAL:
Investigative files are retained and disposed of in accordance with
the Department's Records Disposition Schedules (ED/RDS), as approved by
the National Archives and Records Administration. You may obtain a copy
of the ED/RDS by writing to the System Manager at the following
address.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for Investigation Services, Office of
Inspector General, U.S. Department of Education, 400 Maryland Avenue,
SW., Room 4200, Mary E. Switzer Building, Washington, DC 20202-1510.
NOTIFICATION PROCEDURE:
See ``SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT.'' As
provided in 34 CFR 5b.11(b)(3) 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.11(b). The notification procedure is applicable to non-criminal
investigative files under the conditions defined by 34 CFR 5b.11(c) and
(f). Under these conditions, it is governed by 34 CFR 5b.5.
RECORD ACCESS PROCEDURES:
See ``SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT.'' As
provided in 34 CFR 5b.11(b)(3) 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.11(b). The record access procedure is applicable to non-criminal
investigative files under the conditions defined by 34 CFR 5b.11(c) and
(f). Under these conditions, it is governed by 34 CFR 5b.5.
CONTESTING RECORD PROCEDURES:
See ``SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT.'' As
provided in 34 CFR 5b.11(b)(3) and (c)(1), the procedure for correction
or amendment of records is not applicable to criminal and non-criminal
investigative files.
RECORD SOURCE CATEGORIES:
Departmental and other Federal, State, and local government
records; interviews of witnesses; and 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) (criminal investigative/enforcement files), the Secretary of
Education has by regulations 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(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 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.
[[Page 38158]]
Appendix to 18-10-01
Additional System Locations
Office of Inspector General, U.S. Department of Education, J.W.
McCormack, P.O. and Courthouse Building, Devonshire Street, Room
504, Boston, MA 02109.
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, 8930
Ward Parkway, Suite 2401, Kansas City, MO 64114-3302.
Office of Inspector General, U.S. Department of Education, 501
W. Ocean Boulevard, Suite 1200, Long Beach, CA 90802.
Office of Inspector General, U.S. Department of Education, 501 I
Street, Suite 9-200, Sacramento, CA 95814.
Office of Inspector General, U.S. Department of Education,
Jacaranda Executive Court, 7890 Peters Road, Suite G-100,
Plantation, FL 33324.
Office of Inspector General, U.S. Department of Education,
Federal Building and Courthouse, 150 Carlos Chardon Avenue, Room
747, Box 772, Hato Rey, PR 00918-1721.
[FR Doc. 03-16240 Filed 6-25-03; 8:45 am]
BILLING CODE 4000-01-P