Office of Inspector General; Privacy Act of 1974; Systems of Records, 20154-20156 [05-7703]

Agencies

• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 70, Number 73 (Monday, April 18, 2005)]
[Notices]
[Pages 20154-20156]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-7703]


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DEPARTMENT OF HOMELAND SECURITY

[DHS2005-0024]


Office of Inspector General; Privacy Act of 1974; Systems of 
Records

AGENCY: Office of Information Technology and Office of Audits, Office 
of Inspector General, Department of Homeland Security.

ACTION: Notice of Privacy Act systems of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security Office of Inspector General is giving notice that it 
proposes to establish a new system of records titled, ``Audit Training 
Tracking System.''

DATES: Comments must be received on or before May 18, 2005.

ADDRESSES: You may submit comments, identified by Docket Number DHS-
OIG-2005-0024, by one of the following methods:
     EPA Federal Partner EDOCKET Web site: https://www.epa.gov/
feddocket. Follow instructions for submitting comments on the Web site. 
DHS has joined the Environmental Protection Agency (EPA) online public 
docket and comment system on its Partner Electronic Docket System 
(Partner EDOCKET).
     Federal eRulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: (202) 254-4285 (This is not a toll-free number).
     Mail: Richard N. Reback, DHS, Office of Inspector General/
STOP 2600, 245 Murray Drive, SW., Building 410, Washington, DC 20528.
     Hand Delivery / Courier: Richard N. Reback, DHS, Office of 
Inspector General/STOP 2600, 245 Murray Drive, S.W., Building 410, 
Washington, D.C. 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 https://www.epa.gov/feddocket, including any personal 
information provided.
    Docket: For access to the docket to read background documents or 
comments received, go to https://www.epa.gov/feddocket. You may also 
access the Federal eRulemaking Portal at https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Richard N. Reback, Department of 
Homeland Security, Office of Inspector General/STOP 2600, 245 Murray 
Drive, SW., Building 410, Washington, DC 20528 by telephone (202) 254-
4100 or facsimile (202) 254-4285; Nuala O'Connor Kelly, Chief Privacy 
Officer, Department of Homeland Security, 245 Murray Drive, SW., 
Building 410, Washington, DC 20528 by telephone (202) 772-9848 or 
facsimile (202) 772-5036.

SUPPLEMENTARY INFORMATION: The Department of Homeland Security (DHS), 
Office of Inspector General (OIG) is establishing a new system of 
records within OIG Headquarters under the Privacy Act of 1974 (5 U.S.C. 
552a).
    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the United States Government 
collects, maintains, uses and disseminates personally identifiable 
information. 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. 
Individuals may request their own records that are maintained in a 
system of records in the possession or under the control of DHS-OIG by 
complying with DHS Privacy Act regulations, 6 CFR part 5.
    The Privacy Act requires each agency to publish in the Federal 
Register a description denoting the type and character of each system 
of records that the agency maintains, and the routine uses that are 
contained in each system in order to make agency recordkeeping 
practices transparent, to notify individuals regarding the uses to 
which personally identifiable information is put, and to assist the 
individual to more easily find such files within the Agency.
    OIG is therefore publishing this system of records to cover 
training records relating to OIG auditors'

[[Page 20155]]

continuing professional education. The system is maintained for the 
purpose of tracking training completed by OIG auditors to ensure that 
OIG has met the requirements for continuing professional education 
under the Government Accountability Office, Government Auditing 
Standards, section 3.45, at 55 (2003)(GAO-03-673G; the ``Yellow 
Book''). The Yellow Book standards require auditors performing work 
under generally accepted government auditing standards (GAGAS) to 
maintain their professional competence through continuing professional 
education (CPE). The system of records being published today will allow 
OIG to track training information and ensure these standards are met.
    In accordance with 5 U.S.C. 552a(r), OIG has provided a report of 
this new system of records to the Office of Management and Budget (OMB) 
and to the Congress.
DHS-OIG-001

System name:
    Department of Homeland Security (DHS) Office of Inspector General 
(OIG) Audit Training Tracking System

Security classification:
    Unclassified.

System location:
    This system of records is located in the OIG Office of Audits and 
Office of Information Technology, 1120 Vermont Avenue, NW., Washington, 
DC 20528.

Categories of individuals covered by the system:
    OIG auditors who are required to complete and track continuing 
education courses.

Categories of records in the system:
    Records received, created, and compiled that document training 
requested and received by OIG auditors for purposes of continuing 
professional education. Types of information in the records include 
training registration and verification forms; course syllabi and 
materials; Standard Forms 182 (Request, Authorization, and 
Certification of Training); auditors' names and Social Security 
Numbers; auditors' office addresses and telephone numbers; hours of 
training completed; and names of training courses completed along with 
dates, cost (including travel costs), hours, and location of training.

Authority for maintenance of the system:
    5 U.S.C. 301; 5 U.S.C. App. 3, section 4(b); Government Auditing 
Standards at section 3.45 (2003 Revision), GAO-03-673G, June 2003.

Purpose(s):
    The system is maintained for the purpose of tracking training 
completed by OIG auditors to ensure that OIG has met the requirements 
for continuing professional education under the Government 
Accountability Office, Government Auditing Standards, section 3.45, at 
55 (2003)(GAO-03-673G; the ``Yellow Book''). OIG will use this system 
of records to track training and ensure that the Yellow Book standards 
are met.

Routine uses of these records:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of 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:
    (1) To contractors, grantees, experts, consultants, students, and 
others performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for the Federal Government, when 
necessary to accomplish an agency function related to this system of 
records.
    (2) To a Federal, State, territorial, tribal, local, international, 
or foreign agency or entity for the purpose of consulting with that 
agency or entity (a) to assist in making a determination regarding 
access to or amendment of information, or (b) for the purpose of 
verifying the identity of an individual or the accuracy of information 
submitted by an individual who has requested access to or amendment of 
information.
    (3) To the Department of Justice (DOJ) or other Federal agency 
conducting litigation or in proceedings before any court, adjudicative 
or administrative body, when: (a) DHS, or (b) any employee of DHS in 
his/her official capacity, or (c) any employee of DHS in his/her 
individual capacity where DOJ or DHS has agreed to represent the 
employee, or (d) the United States or any agency thereof, is a party to 
the litigation or has an interest in such litigation.
    (4) 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.
    (5) To the National Archives and Records Administration or other 
Federal Government agencies pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    (6) To a Federal, State, or local government entity or professional 
licensing authority for purposes of responding to an official inquiry 
relating to professional licensing or certification requirements. 
Referral of information to State boards of accountancy will be made 
only after the auditor has been notified that the OIG is contemplating 
disclosing the information to an appropriate State board of 
accountancy, and the auditor has been provided with an opportunity to 
respond in writing to the OIG's findings.
    (7) To appropriate persons engaged in conducting and reviewing 
internal and external peer reviews of the OIG to ensure adequate 
internal safeguards and management procedures exist or to ensure 
auditing standards applicable to Government audits are applied and 
followed.
    (8) To the President's Council on Integrity and Efficiency (PCIE) 
and other Federal agencies, as necessary, if the records respond to an 
audit, investigation or review which is conducted pursuant to an 
authorizing law, rule or regulation, and in particular those conducted 
at the request of the PCIE pursuant to Executive Order No. 12993.
    (9) To educational institutions for purposes of enrollment and 
verification of employee attendance and performance.
    (10) To an appropriate Federal, State, territorial, tribal, local, 
international, or foreign agency law enforcement agency or other 
appropriate authority charged with investigating or prosecuting such a 
violation or enforcing or implementing such law, where a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law (i.e. criminal, civil, 
administrative, or regulatory).

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records in this system are stored on paper media and in digital or 
other electronic form in a secure Local Area Network (LAN)-server and/
or Wide Area Network (WAN) environment.

Retrievability:
    Records are retrieved by an identification number assigned by 
computer, by the name of the OIG auditor, by course, and by audit 
division.

Safeguards:
    Information in this system is safeguarded in accordance with

[[Page 20156]]

applicable laws, rules and policies, including the DHS Information 
Technology Security Program Handbook. All records are protected from 
unauthorized access through appropriate administrative, physical, and 
technical safeguards. These safeguards include restricting access to 
authorized personnel who have a need-to-know, and using locks and 
password protection identification features. OIG file areas are locked 
after normal duty hours and facilities are protected from the outside 
by security personnel.

Retention and disposal:
    Records are retained and disposed of in accordance with the 
National Archives and Records Administration General Records Schedule 
1, Item 29, Transmittal No. 12 (July 2004). Files may be retained for 
up to five years. For requests that result in litigation, the files 
related to that litigation will be retained for three years after final 
court adjudication.

System manager(s) and addresses:
    The System Managers are System Manager/OIG Office of Technology and 
System Manager/OIG Office of Audits, 1120 Vermont Avenue, NW., 
Washington, DC 20528.

Notification procedures:
    To determine whether this system contains records relating to you, 
write to the System Manager identified above.

Record access procedures:
    A request for access to records in this system may be made by 
writing to the System Manager identified above, in conformance with 6 
CFR part 5, subpart B, which provides the rules for requesting access 
to Privacy Act records maintained by DHS agencies.

Contesting record procedures:
    Same as ``Record Access Procedures,'' above.

Record source categories:
    Information contained in this system is obtained from OIG auditors 
and government and non-government entities conducting continuing 
professional education courses and conferences.

Exemptions claimed for the system:
    None.

    Dated: April 7, 2005.
Nuala O'Connor Kelly,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 05-7703 Filed 4-15-05; 8:45 am]
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