80 FR 44372 - Privacy Act of 1974; Department of Homeland Security Office of the Inspector General-002 Investigative Records System of Records

DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary

Federal Register Volume 80, Issue 143 (July 27, 2015)

In accordance with the Privacy Act of 1974 the Department of Homeland Security proposes to update and reissue a current Department of Homeland Security system of records titled, ``Department of Homeland Security/Office of Inspector General-002 Investigative Records System of Records.'' This system of records was previously titled, ``Department of Homeland Security Office of Inspector General-002 Investigations Data Management System of Records.'' As a result of a biennial review of this system and changes to the application software, the Department of Homeland Security is proposing changes to the system name, category of individuals, and category of records in the system. Additionally, this notice includes non-substantive changes to simplify the formatting and text of the previously published notice. There will be no change to the Privacy Act exemptions currently in place for this system of records. This updated system will be included in the Department of Homeland Security's inventory of record systems.

[Federal Register Volume 80, Number 143 (Monday, July 27, 2015)]
[Notices]
[Pages 44372-44375]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-18385]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2015-0040]


Privacy Act of 1974; Department of Homeland Security Office of 
the Inspector General-002 Investigative Records System of Records

AGENCY: Department of Homeland Security, Privacy Office.

ACTION: Notice of Privacy Act System of Records.

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SUMMARY: In accordance with the Privacy Act of 1974 the Department of 
Homeland Security proposes to update and reissue a current Department 
of Homeland Security system of records titled, ``Department of Homeland 
Security/Office of Inspector General-002 Investigative Records System 
of Records.'' This system of records was previously titled, 
``Department of Homeland Security Office of Inspector General-002 
Investigations Data Management System of Records.'' As a result of a 
biennial review of this system and changes to the application software, 
the Department of Homeland Security is proposing changes to the system 
name, category of individuals, and category of records in the system. 
Additionally, this notice includes non-substantive changes to simplify 
the formatting and text of the previously published notice. There will 
be no change to the Privacy Act exemptions currently in place for this 
system of records. This updated system will be included in the 
Department of Homeland Security's inventory of record systems.

DATES: Submit comments on or before August 26, 2015. This updated 
system will be effective August 26, 2015.

ADDRESSES: You may submit comments, identified by Docket Number DHS-
2015-0040, by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Karen L. Neuman, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
    Instructions: All submissions received must include the agency name 
and docket number for this notice. All comments received will be posted 
without change to http://www.regulations.gov, including any personal 
information provided.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions please contact: 
Melinda D. Holliday McDonald, Esq. (202) 254-4284, Department of 
Homeland Security, Office of Inspector General, Mail Stop 2600, 245 
Murray Drive SW., Building 410, Washington, DC 20528; or by facsimile 
(202) 254-4299. For privacy issues please contact: Karen L. Neuman 
(202) 343-1717, Chief Privacy Officer, Privacy Office, Department of 
Homeland Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

[[Page 44373]]

I. Background

    The Department of Homeland Security (DHS) Office of Inspector 
General (OIG) is revising a system of records under the Privacy Act of 
1974 (5 U.S.C. 552a), for its investigative files.
    The DHS Inspector General is responsible for conducting and 
supervising independent and objective audits, inspections, and 
investigations of the programs and operations of DHS. The OIG promotes 
economy, efficiency, and effectiveness within the Department and 
prevents and detects employee corruption, fraud, waste, and abuse in 
its programs and operations. The OIG's Office of Investigations (OI) 
investigates allegations of criminal, civil, and administrative 
misconduct involving DHS employees, contractors, grantees, and 
Departmental programs and activities. These investigations can result 
in criminal prosecutions, fines, civil monetary penalties, and 
administrative sanctions. Additionally, OI provides oversight and 
monitors the investigative activity of DHS's various internal affairs 
offices.
    The DHS/OIG-002 Investigative Records System of Records assists the 
OIG with receiving and processing allegations of violations of criminal 
and civil law as well as administrative policies and regulations 
relating to DHS employees, contractors, grantees, and other individuals 
and entities associated with DHS. The system includes both paper 
complaint and investigation-related files as well as the Enterprise 
Data System (EDS). The OIG uses EDS to: Manage information received 
concerning allegations (i.e., complaints) provided during the course of 
its investigations; create records showing dispositions of allegations; 
audit actions taken by DHS management regarding employee misconduct; 
audit legal actions taken following referrals to the U.S. Department of 
Justice (DOJ) for criminal prosecution or civil action; calculate and 
report statistical information; manage OIG investigators' training; and 
manage Government-issued investigative property and other resources 
used in investigative activities. This system of records notice makes 
several changes to the existing system of records. DHS/OIG is updating 
this system of records notice to: (1) Rename this system of records 
notice ``DHS/OIG-002 Investigative Records System of Records'' and (2) 
include DHS OIG employees as a category of individuals covered by the 
system.
    Consistent with DHS's information sharing mission, information 
stored in the DHS/OIG-002 Investigative Records System of Records may 
be shared with other DHS Components that have a need to know the 
information to carry out their national security, law enforcement, 
immigration, intelligence, or other homeland security functions. In 
addition, information may be shared with appropriate federal, state, 
local, tribal, territorial, foreign, or international government 
agencies consistent with the routine law enforcement related uses set 
forth in this system of records notice.
    In accordance with the Privacy Act of 1974, DHS proposes to revise 
a system of records titled, Department of Homeland Security Office of 
Inspector General-002 Investigations Data Management System of Records 
and rename the system of records DHS/OIG-002 Investigative Records 
System of Records. There will be no change to the Privacy Act 
exemptions currently in place for this system of records. This revised 
system will be included in DHS's inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a 
statutory framework governing the means by which Federal Government 
agencies collect, maintain, use, and disseminate individuals' records. 
The Privacy Act applies to information that is maintained in a ``system 
of records.'' A ``system of records'' is a group of any records under 
the control of an agency from which information is retrieved by the 
name of the individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass United States citizens and lawful 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals when systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors.
    Below is the description of the DHS/OIG-002 Investigative Records 
System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this revised system of records to the Office of Management and Budget 
and to Congress.
System of Records
    Department of Homeland Security (DHS)/Office of the Inspector 
General (OIG)-002

System name:
    DHS/OIG-002 Investigative Records System of Records.

Security classification:
    Classified, sensitive, unclassified.

System location:
    Records are maintained at the OIG Headquarters in Washington, DC 
and in OIG offices nationwide. Generally, OIG maintains electronic 
records in EDS.

Categories of individuals covered by the system:
    Categories of individuals in this system include:
     Individuals filing complaints of criminal, civil, or 
administrative violations, including, employee corruption, fraud, 
waste, or mismanagement;
     Individuals alleged to have been involved in such 
violations;
     Individuals identified as having been adversely affected 
by matters investigated by the OIG;
     Individuals who have been identified as possibly relevant 
to, or who are contacted as part of, an OIG investigation, including:
     Current and former employees of DHS, other federal 
agencies, and DHS contractors, grantees, and persons whose association 
with current and former employees relate to alleged violations under 
investigation; and
     Witnesses, complainants, sources of information, suspects, 
defendants, or parties who have been identified by DHS OIG, other DHS 
Components, other agencies, or members of the general public in 
connection with authorized OIG audits, inspections, and/or 
investigations.

Categories of records in the system:
    Categories of records in this system include:
     Individual's name and aliases;
     Date of birth;
     Social Security number;
     Telephone and cell phone numbers;
     Physical and mailing addresses;
     Electronic mail addresses;
     Physical description;
     Citizenship;
     Biometrics;
     Photographs;
     Education;
     Medical history;
     Travel history including passport information;
     Financial data;
     Criminal history;
     Work experience;
     Relatives and associates;
     Any other personal information relevant to the subject 
matter of an OIG investigation;
     Investigative files containing allegations and complaints; 
witness statements; transcripts of electronic

[[Page 44374]]

monitoring; subpoenas and legal opinions and advice; reports of 
investigation; reports of criminal, civil, and administrative actions 
taken as a result of the investigation; and other relevant evidence;
     Training records and firearms qualification records of 
employees responsible for performing investigative functions; and
     Government owned and issued investigative property 
records.

Authority for maintenance of the system:
    5 U.S.C. 301; 6 U.S.C. 113(b); the Inspector General Act of 1978, 
as amended.

Purpose(s):
    DHS OIG uses records and information collected and maintained in 
this system to receive and adjudicate allegations of violations of 
criminal, civil, and administrative laws and regulations relating to 
DHS programs, operations, and employees, as well as contractors and 
other individuals and entities associated with DHS; monitor complaint 
and investigation assignments, status, disposition, and results; manage 
investigations and information provided during the course of such 
investigations; audit actions taken by DHS management regarding 
employee misconduct and other allegations; audit legal actions taken 
following referrals to DOJ for criminal prosecution or litigation; 
provide information relating to any adverse action or other proceeding 
that may occur as a result of the findings of an investigation; and 
provide a system for calculating and reporting statistical information.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under the 
Privacy Act, all or a portion of the records or information contained 
in this system may be disclosed outside DHS as a routine use pursuant 
to 5 U.S.C. 552a(b)(3) as follows:
    A. To DOJ, including Offices of the U.S. Attorneys, or other 
federal agency conducting litigation or in proceedings before any 
court, adjudicative, or administrative body, when it is relevant or 
necessary to the litigation and one of the following is a party to the 
litigation or has an interest in such litigation:
    1. DHS or any Component thereof;
    2. Any employee or former employee of DHS in his/her official 
capacity;
    3. Any employee or former employee of DHS in his/her individual 
capacity when DOJ or DHS has agreed to represent the employee; or,
    4. the United States or any agency thereof.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration or General 
Services Administration pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    D. To an agency or organization for the purpose of performing audit 
or oversight operations as authorized by law, but only such information 
as is necessary and relevant to such audit or oversight function.
    E. To appropriate agencies, entities, and persons when:
    1. DHS suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    2. The Department has determined that as a result of the suspected 
or confirmed compromise, there is a risk of identity theft or fraud, 
harm to economic or property interests, harm to an individual, or harm 
to the security or integrity of this system or other systems or 
programs (whether maintained by DHS or another agency or entity) that 
rely upon the compromised information; and
    3. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with DHS's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    F. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to DHS officers and employees.
    G. To an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, when a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    H. To a federal, state, or local agency, or other appropriate 
entity or individual, or through established liaison channels to 
selected foreign governments, in order to provide intelligence, 
counterintelligence, or other information for the purposes of 
intelligence, counterintelligence, or antiterrorism activities 
authorized by U.S. law, Executive Order, or other applicable national 
security directive when the security of the borders which DHS is tasked 
with maintaining are at risk of being compromised.
    I. To international and foreign governmental authorities in 
accordance with law and formal or informal international agreements.
    J. To an appropriate federal, state, local, tribal, foreign, or 
international agency, pursuant to a request, if the information is 
relevant and necessary to a requesting agency's decision concerning the 
hiring or retention of an individual or issuance of a security 
clearance, license, contract, grant, or other benefit, or if the 
information is relevant and necessary to a DHS decision concerning the 
hiring or retention of an employee, the issuance of a security 
clearance, the reporting of an investigation of an employee, the 
letting of a contract, or the issuance of a license, grant, or other 
benefit and when disclosure is appropriate to the proper performance of 
the official duties of the person making the request.
    K. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation, provided disclosure is appropriate to the proper 
performance of the official duties of the officer making the 
disclosure.
    L. To the Council of the Inspectors General on Integrity and 
Efficiency (CIGIE) and other federal agencies, as necessary, if the 
records respond to an audit, investigation, or review conducted 
pursuant to an authorizing law, rule, or regulation, and in particular 
those conducted at the request of the CIGIE's Integrity Committee 
pursuant to statute.
    M. To complainants and victims to the extent necessary to provide 
such persons with information and explanations concerning the progress 
or results of the investigation arising from the matters of which they 
complained or of which they were a victim.
    N. To the news media and the public, with the approval of the Chief 
Privacy Officer in consultation with counsel, when there exists a 
legitimate public interest in the disclosure of the

[[Page 44375]]

information or when disclosure is necessary to preserve confidence in 
the integrity of DHS, or is necessary to demonstrate the accountability 
of DHS's officers, employees, or individuals covered by the system, 
except to the extent the Chief Privacy Officer determines that release 
of the specific information in the context of a particular case would 
constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    DHS OIG stores records in this system electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The 
electronic records are stored on magnetic disc, tape, digital media, 
and CD-ROM.

Retrievability:
    DHS OIG retrieves paper media alphabetically by name of subject or 
complainant, by complaint or investigation number, or by investigator's 
name and/or employee identifying number. DHS OIG retrieves electronic 
media by the name or identifying number for a complainant, subject, 
victim, or witness; by case complaint or investigation number; by 
investigator's name or other personal identifier; or by investigating 
office designation.

Safeguards:
    DHS OIG safeguards information in this system in accordance with 
applicable laws, rules, and policies, including all applicable DHS 
automated systems security and access policies. DHS imposes strict 
controls to minimize the risk of compromising the information that is 
being stored. Access to the computer system containing the records in 
this system is limited to those individuals who have a need to know the 
information for the performance of their official duties and who have 
appropriate clearances or permissions.

Retention and disposal:
    Complaint and investigative record files that involve substantive 
information relating to national security or allegations against senior 
DHS officials, that attract national media or congressional attention, 
or that result in substantive changes in DHS policies or procedures are 
permanent and are transferred to the National Archives and Records 
Administration 20 years after completion of the investigation and all 
actions based thereon. All other complaint and investigative record 
files are destroyed 20 years after completion of the investigation and 
all actions based thereon. Government issued investigative property 
records and management reports are destroyed when no longer needed for 
business purposes.

System manager(s) and address:
    The System Manager is the Policy Specialist, Office of 
Investigations, DHS OIG, Mail Stop 2600, 245 Murray Drive SW., Building 
410, Washington, DC 20528.

Notification procedure:
    The Secretary of Homeland Security has exempted this system from 
the notification, access, and amendment procedures of the Privacy Act 
because it is a law enforcement system. However, the Office of 
Inspector General will consider individual requests to determine 
whether or not information may be released. Thus, individuals seeking 
notification of and access to any record contained in this system of 
records, or seeking to contest its content may submit a request in 
writing to the Headquarters or Office of Inspector General's FOIA 
Officer, whose contact information can be found at http://www.dhs.gov/foia under ``Contacts.'' If an individual believes more than one 
component maintains Privacy Act records concerning him or her, the 
individual may submit the request to the Chief Privacy Officer and 
Chief Freedom of Information Act Officer, Department of Homeland 
Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 
20528-0655.
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 6 CFR part 5. You must first 
verify your identity, meaning that you must provide your full name, 
current address, and date and place of birth. You must sign your 
request, and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Chief Privacy 
Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the 
following:
     An explanation of why you believe the Department would 
have information on you;
     Identify which Component(s) of the Department you believe 
may have the information about you;
     Specify when you believe the records would have been 
created; and
     Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records. 
If your request is seeking records pertaining to another living 
individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information the Component(s) may not be able 
to conduct an effective search, and your request may be denied due to 
lack of specificity or lack of compliance with applicable regulations.

Record access procedures:
    See ``Notification Procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Records are obtained from sources including the individual record 
subjects; DHS officials and employees; employees of federal, state, 
local, and foreign agencies; and other persons and entities.

Exemptions claimed for the system:
    The Secretary of Homeland Security, pursuant to 5 U.S.C. 
552a(j)(2), has exempted this system from the following provisions of 
the Privacy Act, subject to the limitations set forth in 5 U.S.C. 
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), 
(e)(5), and (e)(8); (f); and (g). Additionally, the Secretary of 
Homeland Security, pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5), 
has exempted this system from the following provisions of the Privacy 
Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3); (d); 
(e)(1), (e)(4)(G), (e)(4)(H); and (f).

    Dated: July 10, 2015.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2015-18385 Filed 7-24-15; 8:45 am]
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