81 FR 14427 - Privacy Act of 1974; System of Records

DEPARTMENT OF DEFENSE
Office of the Secretary

Federal Register Volume 81, Issue 52 (March 17, 2016)

The Office of Inspector General proposes to alter a system of records, CIG-16, Defense Case Activity Tracking System (D-CATS) to carry out its responsibilities pursuant to the Inspector General Act of 1978, as amended. The OIG is statutorily directed to conduct and supervise investigations relating to the programs and operations of the Department of Defense, to promote economy, efficiency, and effectiveness in the administration of such programs and operations, and to prevent and detect fraud, waste, and abuse in such programs and operations. Accordingly, the records in this system are used in the course of investigating individuals suspected of administrative or criminal misconduct. This system is also used for case management, case tracking, information storage, to respond to requests for information, and to fulfill mandatory reporting requirements. It fulfills these purposes by enabling users to record complaints, allegations of wrongdoing, and requests for assistance; to document inquiries; to store investigative case records; to compile statistical information; to provide prompt, responsive and accurate information regarding the status of ongoing cases; to provide a record of complaint disposition; and to record actions taken and notifications of interested parties and agencies.

[Federal Register Volume 81, Number 52 (Thursday, March 17, 2016)]
[Notices]
[Pages 14427-14429]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-06056]


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DEPARTMENT OF DEFENSE

Office of the Secretary

[Docket ID: DOD-2016-OS-0021]


Privacy Act of 1974; System of Records

AGENCY: Office of the Inspector General, DoD.

ACTION: Notice to alter a System of Records.

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SUMMARY: The Office of Inspector General proposes to alter a system of 
records, CIG-16, Defense Case Activity Tracking System (D-CATS) to 
carry out its responsibilities pursuant to the Inspector General Act of 
1978, as amended. The OIG is statutorily directed to conduct and 
supervise investigations relating to the programs and operations of the 
Department of Defense, to promote economy, efficiency, and 
effectiveness in the administration of such programs and operations, 
and to prevent and detect fraud, waste, and abuse in such programs and 
operations. Accordingly, the records in this system are used in the 
course of investigating individuals suspected of administrative or 
criminal misconduct.
    This system is also used for case management, case tracking, 
information storage, to respond to requests for information, and to 
fulfill mandatory reporting requirements. It fulfills these purposes by 
enabling users to record complaints, allegations of wrongdoing, and 
requests for assistance; to document inquiries; to store investigative 
case records; to compile statistical information; to provide prompt, 
responsive and accurate information regarding the status of ongoing 
cases; to provide a record of complaint disposition; and to record 
actions taken and notifications of interested parties and agencies.

DATES: Comments will be accepted on or before April 18, 2016. This 
proposed action will be effective the date following the end of the 
comment period unless comments are received which result in a contrary 
determination.

ADDRESSES: You may submit comments, identified by docket number and 
title, by any of the following methods:
    * Federal Rulemaking Portal: http://www.regulations.gov. Follow the 
instructions for submitting comments.
    * Mail: Department of Defense, Office of the Deputy Chief 
Management Officer, Directorate of Oversight and Compliance, Regulatory 
and Audit Matters Office, 9010 Defense Pentagon, Washington, DC 20301-
9010.

[[Page 14428]]

    Instructions: All submissions received must include the agency name 
and docket number for this Federal Register document. The general 
policy for comments and other submissions from members of the public is 
to make these submissions available for public viewing on the Internet 
at http://www.regulations.gov as they are received without change, 
including any personal identifiers or contact information.

FOR FURTHER INFORMATION CONTACT: Mark Dorgan, DoD IG FOIA/Privacy 
Office, Department of Defense, Office of Inspector General, 4800 Mark 
Center Drive, Alexandria, VA 22350-1500 or telephone: (703) 699-5680.

SUPPLEMENTARY INFORMATION: The Office of Inspector General notices for 
systems of records subject to the Privacy Act of 1974 (5 U.S.C. 552a), 
as amended, have been published in the Federal Register and are 
available from the address in FOR FURTHER INFORMATION CONTACT or from 
the Defense Privacy and Civil Liberties Web site at http://dpcld.defense.gov/.
    The proposed systems reports, as required by 5 U.S.C. 552a(r) of 
the Privacy Act, as amended, were submitted on March 7, 2016, to the 
House Committee on Oversight and Government Reform, the Senate 
Committee on Homeland Security and Governmental Affairs, and the Office 
of Management and Budget (OMB) pursuant to paragraph 4c of Appendix I 
to OMB Circular No. A-130, ``Federal Agency Responsibilities for 
Maintaining Records About Individuals,'' dated February 8, 1996 
(February 20, 1996, 61 FR 6427).

    Dated: March 14, 2016.
Aaron Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
CIG-16

System name:
    Defense Case Activity Tracking System (D-CATS) (July 26, 2013, 78 
FR 45185)

Changes:
* * * * *

System location:
    Delete entry and replace with ``Office of the Deputy Inspector 
General for Administrative Investigations, Office of Inspector General 
Department of Defense (DoD), 4800 Mark Center Drive, Alexandria, VA 
22350-1500.''

Categories of individuals covered by the system:
    Delete entry and replace with ``DoD employees, military personnel, 
members of the general public, and contractors who file hotline 
complaints; individuals alleged to have been involved in administrative 
or criminal misconduct including but not limited to fraud, waste, 
mismanagement, or whistleblower reprisal; individuals involved in 
matters investigated by the Office of Inspector General; and 
individuals identified as having been adversely affected by matters 
being investigated by the Office of Inspector General.''

Categories of records in the system:
    Delete entry and replace with ``Records resulting from the referral 
of, and inquiry into, hotline complaints, whistleblower reprisal 
investigations, improper mental health evaluations, and senior official 
investigations, including the allegations submitted to the DoD 
Inspector General, referral documents to DoD components, investigative 
reports, information received from witnesses, information gathered by 
investigators, records of action taken, disposition of the case, and 
supporting documentation. Data points include names, case numbers, home 
and work addresses, email addresses, duty positions, phone numbers 
(work, mobile).''
* * * * *

Purpose(s):
    Delete entry and replace with ``The OIG maintains this system of 
records in order to carry out its responsibilities pursuant to the 
Inspector General Act of 1978, as amended. The OIG is statutorily 
directed to conduct and supervise investigations relating to the 
programs and operations of the Department of Defense, to promote 
economy, efficiency, and effectiveness in the administration of such 
programs and operations, and to prevent and detect fraud, waste, and 
abuse in such programs and operations. Accordingly, the records in this 
system are used in the course of investigating individuals suspected of 
administrative or criminal misconduct.
    This system is also used for case management, case tracking, 
information storage, to respond to requests for information, and to 
fulfill mandatory reporting requirements. It fulfills these purposes by 
enabling users to record complaints, allegations of wrongdoing, and 
requests for assistance; to document inquiries; to store investigative 
case records; to compile statistical information; to provide prompt, 
responsive and accurate information regarding the status of ongoing 
cases; to provide a record of complaint disposition; and to record 
actions taken and notifications of interested parties and agencies.
    Complaints appearing to involve criminal wrongdoing are referred to 
the Defense Criminal Investigative Service or other criminal 
investigative units of DoD components.''

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Delete entry and replace with ``In addition to those disclosures 
generally permitted under 5 U.S.C. 552a(b) of the Privacy Act of 1974, 
as amended, the records contained therein may specifically be disclosed 
outside the DoD as a routine use pursuant to 5 U.S.C. 552a(b)(3) as 
follows:
    To appropriate officials and employees of a federal agency or 
entity to which information may be relevant to a decision concerning 
the hiring, appointment, or retention of an individual; the issuance, 
renewal, suspension, or revocation of a security clearance; the 
execution of a security or suitability investigation; the letting of a 
contract; or the issuance or revocation of a grant or benefit.
    To the news media and the public, unless it is determined that 
release of the specific information in the context of a particular case 
would constitute an unwarranted invasion of personal privacy.
    To complainants, to the extent necessary to provide such persons 
with information and explanations concerning the progress and/or 
results of the investigation or case arising from the matters of which 
they complained.
    The DoD Blanket Routine Uses set forth at the beginning of the 
Office of the Inspector General compilation of systems of records 
notices may apply to this system. The complete list of DoD Blanket 
Routine Uses can be found online at: http://dpcld.defense.gov/Privacy/SORNsIndex/BlanketRoutineUses.aspx.''
* * * * *

Retrievability:
    Delete entry and replace with ``By complainant's name, subject's 
name, or case number.''

Safeguards:
    Delete entry and replace with ``Full access is limited to 
Administrative Investigations staff. Read only access is provided to 
authorized DoD IG personnel consistent with their official duties. 
Paper and electronic records are

[[Page 14429]]

stored in rooms protected by cipher lock, common access card RFID, and 
PIN. Necessary government and contractor IT staff also have full access 
to the electronic system, but not paper records. Regular back-ups of 
the electronic data are performed and stored at the Mark Center and at 
an off-site location, for the purpose of providing continuity of 
operations.''
* * * * *

System manager(s) and address:
    Delete entry and replace with ``Deputy Inspector General for 
Administrative Investigations, Office of Inspector General, Department 
of Defense, 4800 Mark Center Drive, Alexandria, VA 22350-1500.''

Notification procedure:
    Delete entry and replace with ``Individuals seeking to determine 
whether information about themselves is contained in this system should 
address written inquiries to the Chief, Freedom of Information Act 
Requester Service Center/Privacy Act Office, Office of General Counsel, 
Office of Inspector General, DoD, 4800 Mark Center Drive, Alexandria, 
VA 22350-1500.
    For verification purposes, individuals shall provide their full 
name, address, any details which may assist in locating records of the 
individual, and their signature.
    In addition, the requester must provide a notarized statement or a 
signed declaration made in accordance with 28 U.S.C. 1746, in the 
following format:
    If executed outside the United States: `I declare under penalty of 
perjury under the laws of the United States of America that the 
foregoing is true and correct. Executed on (date).' (Signature).
    If executed within the United States, its territories, possessions, 
or commonwealths: `I declare under penalty of perjury that the 
foregoing is true and correct. Executed on (date).' (Signature).''

Record access procedures:
    Delete entry and replace with ``Individuals seeking access to 
information about themselves contained in this system, should address 
written inquiries to the Chief, Freedom of Information Act Requester 
Service Center/Privacy Act Office, Office of General Counsel, Office of 
Inspector General, DoD, 4800 Mark Center Drive, Alexandria, VA 22350-
1500.
    For verification purposes, individuals shall provide their full 
name, address, any details which may assist in locating records of the 
individual, and their signature.
    In addition, the requester must provide a notarized statement or a 
signed declaration made in accordance with 28 U.S.C. 1746, in the 
following format:
    If executed outside the United States: `I declare under penalty of 
perjury under the laws of the United States of America that the 
foregoing is true and correct. Executed on (date).' (Signature).
    If executed within the United States, its territories, possessions, 
or commonwealths: `I declare under penalty of perjury that the 
foregoing is true and correct. Executed on (date).' (Signature).''
* * * * *

Record source categories:
    Delete entry and replace with: ``Complainants, sources, subjects, 
witnesses, all levels of government, private businesses, and nonprofit 
organizations, internet Web sites, DoD Global Directory Service, DoD 
white-pages.''

Exemptions claimed for the system:
    Delete entry and replace with ``Parts of this system may be exempt 
pursuant to 5 U.S.C. 552a(j)(2), if the information is compiled and 
maintained by a component of the agency which performs as it principal 
function any activity pertaining to the enforcement of criminal laws.
    Investigatory material compiled for law enforcement purposes, other 
than material within the scope of subsection 5 U.S.C. 552a(j)(2), may 
be exempt pursuant to 5 U.S.C. 552a(k)(2). However, if an individual is 
denied any right, privilege, or benefit for which he would otherwise be 
entitled by Federal law or for which he would otherwise be eligible, as 
a result of the maintenance of the information, the individual will be 
provided access to the information exempt to the extent that disclosure 
would reveal the identity of a confidential source.
    Investigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access to 
classified information may be exempt pursuant to 5 U.S.C. 552a(k)(5), 
but only to the extent that such material would reveal the identity of 
a confidential source.
    An exemption rule for this record system has been promulgated in 
accordance with the requirements of 5 U.S.C. 553(b)(1), (2), and (3), 
(c) and (e) and published in 32 CFR part 312.''

[FR Doc. 2016-06056 Filed 3-16-16; 8:45 am]
 BILLING CODE 5001-06-P