Privacy Act of 1974, as Amended; System of Records Notices, 31348-31351 [E7-10849]

Agencies

• National Archives and Records Administration

[Federal Register Volume 72, Number 108 (Wednesday, June 6, 2007)]
[Notices]
[Pages 31348-31351]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-10849]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION


Privacy Act of 1974, as Amended; System of Records Notices

AGENCY: National Archives and Records Administration (NARA).

ACTION: Notice to revise an existing system of records.

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SUMMARY: The National Archives and Records Administration (NARA) is 
amending a system of records notice in its existing inventory of record 
systems subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended. 
NARA also proposes to revise its routine uses (found in Appendix A) to 
incorporate routine use language recommended by the President's Task 
Force on Identity Theft. In this notice, NARA publishes a revision to 
NARA 23, Office of Inspector General Investigative Case Files, for 
comment.

DATES: Effective Dates: The establishment of the revised system NARA 23 
and the revised Appendix A will become effective without further notice 
on July 6, 2007, unless comments received on or before that date cause 
a contrary decision. If changes are made based on NARA's review of 
comments received, a new final notice will be published.

ADDRESSES: NARA invites interested persons to submit comments on this 
system notice. Comments may be submitted by any of the following 
methods:
     Mail: Send comments to: Privacy Act Officer, Office of 
General Counsel (NGC), Room 3110, National Archives and Records 
Administration, 8601 Adelphi Road, College Park, MD, 20740-6001.
     Fax: Submit comments by facsimile transmission to: 301-
837-0293.
     E-Mail: Send comments to ramona.oliver@nara.gov.

FOR FURTHER INFORMATION CONTACT: Ramona Branch Oliver, Privacy Act 
Officer, 301-837-2024 (voice) or 301-837-0293 (fax).

SUPPLEMENTARY INFORMATION: The NARA system of records notices subject 
to the Privacy Act of 1974 (5 U.S.C. 552a), as amended, have been 
published in the Federal Register. They are available on the Internet 
at https://www.archives.gov/foia/privacy-program/inventory.html or from 
the Privacy Act Officer, Office of General Counsel (NGC), Room 3110, 
National Archives and Records Administration, 8601 Adelphi Road, 
College Park, MD, 20740-6001.
    The notice for NARA 23 is being revised in the following areas:
     Name of System: The name of the system has changed from 
Investigative Case Files to Office of Inspector General Investigative 
Case Files.
     Security Classification: The reference to the prevailing 
Executive Order on national security classification is updated to read 
EO 12958, as amended.
     Authority for Maintenance of the System: References to 44 
U.S.C. 2104(h) and Executive Orders 10450, 11246, and 11478 are 
removed.
     Routine Uses of Records Maintained in the System: The 
routine use statements specific to NARA 23 have been completely 
revised.
    Appendix A is amended by adding new routine use H--Data Breach 
incorporating the suggested language from the President's Identity Task 
Force.
    One of the purposes of the Privacy Act, as stated in section 
2(b)(4) of the Act, is to provide certain safeguards for an individual 
against an invasion of personal privacy by requiring Federal agencies 
to disseminate any record of identifiable personal information in a 
manner that assures that such action is for a necessary and lawful 
purpose, that information is current and accurate for its intended use, 
and that adequate safeguards are provided to prevent misuse of such 
information. NARA

[[Page 31349]]

intends to follow these principles in transferring information to 
another agency or individual as a ``routine use'', including assurance 
that the information is relevant for the purposes for which it is 
transferred.
    The NARA 23 system notice and the inventory of routine uses, as 
amended, are published at the end of this notice.

    Dated: May 29, 2007.
Allen Weinstein,
Archivist of the United States.

    1. NARA 23 is revised to read as follows:
NARA 23

SYSTEM NAME:
    Office of Inspector General Investigative Case Files.

SECURITY CLASSIFICATION:
    Some of the material contained in this system of records has been 
classified in the interests of national security pursuant to Executive 
Orders 12958, as amended, and 13142.

SYSTEM LOCATION:
    Investigative case files are located at the Office of Inspector 
General at the National Archives and Records Administration, College 
Park, Maryland.

CATEGORIES OF INDIVIDUALS IN THE SYSTEM:
    Individuals covered by this system of records may include: persons 
who have been the source of a complaint or an allegation that a crime 
has occurred, witnesses having information or evidence concerning an 
investigation, and suspects in criminal, administrative, or civil 
actions. Current and former NARA employees, NARA contract employees, 
members of NARA's Federal advisory committees, and members of the 
public are covered under this system of records when they become 
subjects of or witnesses to authorized investigations.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Investigative case files may include: Statements of alleged 
administrative, ethical, or criminal wrongdoing; reports; related 
correspondence; exhibits; copies of forms and decisions; summaries of 
hearings and meetings; notes; attachments; and other working papers. 
These records may contain some or all of the following information 
about an individual: name; address; correspondence symbol; telephone 
number; birth date; birthplace; citizenship; educational background; 
employment history; medical history; identifying numbers such as social 
security and driver's license numbers; and insurance information.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. App. 3.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    NARA maintains investigative case files on individuals to: examine 
allegations and/or complaints of fraud, waste, abuse, and 
irregularities and violations of laws and regulations; make 
determinations resulting from these authorized investigations; and 
facilitate the preparation of statistical and other reports by the 
Office of Inspector General. The routine use statements A, B, C, D, G, 
and H, described in Appendix A following the NARA Notices, apply to 
this system of records.
    In addition to the routine uses described in Appendix A, 
information in the system may be disclosed as follows:
    1. To qualified individuals or organizations (including, but not 
limited to, members of the President's Council on Integrity and 
Efficiency, the Executive Council on Integrity and Efficiency, and 
authorized officials of the Department of Justice and the Federal 
Bureau of Investigation) in connection with the performance of peer 
reviews, qualitative assessment reviews, or other studies of internal 
safeguards and management procedures employed in the operation of the 
Office of Inspector General.
    2. To a court, magistrate or administrative tribunal in the course 
of presenting evidence, including disclosures to opposing counsel or 
witness in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal law proceedings or in 
response to a subpoena where arguably relevant to a proceeding.
    3. To the Department of Justice for the purpose of litigating an 
action or seeking legal advice, or for the purpose of obtaining its 
advice on Freedom of Information Act matters.
    4. To third parties during the course of an investigation to the 
extent necessary to obtain information pertinent to the investigation.
    5. To a congressional office in response to an inquiry made at the 
request of the individual to whom the record pertains.
    6. To an individual or individuals who are in danger in situations 
involving an imminent danger of death or physical injury.
    7. To independent auditors or other private firms or individuals 
with which the Office of Inspector General has contracted to carry out 
an independent audit, or to provide support for audits, reviews, 
investigations or other inquiries. These contractors will be required 
to maintain Privacy Act safeguards with respect to such records.
    8. To inform complainants, victims, and witnesses of the results of 
an investigation or inquiry.
    9. To a Federal agency responsible for considering debarment or 
suspension action if the record would be relevant to such action.
    10. To the Office of Management and Budget for the purpose of 
obtaining its advice on Privacy Act matters.
    11. To the Office of Government Ethics to comply with agency 
reporting requirements established by the Office of Government Ethics 
in 5 CFR part 2638, subpart F.
    12. To the White House, Office of Management and Budget, and other 
organizations in the Executive Office of the President regarding 
matters inquired of.
    13. To a contractor, subcontractor, or grantee firm or institution, 
to the extent that the disclosure is in NARA's interest and is relevant 
and necessary in order that the contractor, subcontractor, or grantee 
is able to take administrative or corrective action.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records and electronic media.

RETRIEVABILITY:
    Information in investigative case files may be retrieved by case 
number, an individual's name, or social security number.

SAFEGUARDS:
    During business hours, records are maintained in areas accessible 
only to authorized NARA personnel. After business hours, buildings have 
security guards and/or secured doors, and all entrances are monitored 
by electronic surveillance equipment.

RETENTION AND DISPOSAL:
    Nearly all investigative case files are temporary records and are 
destroyed in accordance with the disposition instructions in the NARA 
records schedule contained in FILES 203, the NARA Files Maintenance and 
Records Disposition Manual. However, the retention and disposal of 
significant investigative case files, such as those that result in 
national media attention, congressional investigation, and/or 
substantive changes in agency policy or procedure, are determined on a 
case-by-case basis. Individuals may request a copy of the disposition 
instructions from the NARA Privacy Act Officer.

[[Page 31350]]

SYSTEM MANAGER(S) AND ADDRESS:
    The system manager is the Inspector General, Office of Inspector 
General. The address is listed in Appendix B following the NARA 
Notices.

NOTIFICATION PROCEDURE:
    Individuals interested in inquiring about their records should 
notify the NARA Privacy Act Officer at the address listed in Appendix B 
following the NARA notices.

RECORD ACCESS PROCEDURES:
    Individuals who wish to gain access to their records should submit 
their request in writing to the NARA Privacy Act Officer at the address 
listed in Appendix B.

CONTESTING RECORD PROCEDURES:
    NARA rules for contesting the contents and appealing initial 
determinations are found in 36 CFR part 1202.

RECORD SOURCE CATEGORIES:
    Information in investigative case files may be obtained from 
current and former NARA employees, NARA contract employees, members of 
NARA's Federal advisory committees, researchers, law enforcement 
agencies, other Government agencies, informants, and educational 
institutions, and from individuals' employers, references, coworkers, 
and neighbors.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    In accordance with 5 U.S.C. 552a(j)(2), this system of records, to 
the extent it pertains to the enforcement of criminal laws, is exempted 
from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, except 
subsections (b), (c)(1) and (c)(2), (e)(4)(A) through (F), (e)(6), (7), 
(9), (10), and (11), and (i). This exemption applies to those records 
and information contained in the system of records pertaining to the 
enforcement of criminal laws.
    In accordance with 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5), this 
system of records is exempt from subsections (c)(3); (d); (e)(1); 
(e)(4)(G) and (H); and (f) of the Privacy Act of 1974 if the system of 
records is: (1) Subject to the provisions of section 552(b)(1) of this 
title; (2) investigatory material compiled for law enforcement 
purposes; however, if any individual is denied any right, privilege, or 
benefit to which the individual would otherwise be entitled by Federal 
law or otherwise eligible as a result of the maintenance of such 
material, such material shall be provided to such individual, except to 
the extent that the disclosure of such material would reveal the 
identity of a source who furnished information to the Government under 
an express promise that the identity of the source would be held in 
confidence, or, prior to the effective date of the Act, under an 
implied promise that the identity of the source would be held in 
confidence; and (3) 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 material, but only to the extent that the 
disclosure of such material would reveal the identity of a source who 
furnished information to the Government under an express promise that 
the identity of the source would be held in confidence, or, prior to 
the effective date of the Act, under an implied promise that the 
identity of the source would be held in confidence.
    2. Appendix A is amended as follows:

Appendix A: Routine Uses

* * * * *

    The following routine use statements will apply to National 
Archives and Records Administration notices where indicated:
    A. Routine Use-Law Enforcement: In the event that a system of 
records maintained by this agency to carry out its functions 
indicates a violation or potential violation of law, whether civil, 
criminal or regulatory in nature, and whether arising by general 
statute or particular program statute, or by regulation, rule or 
order issued pursuant thereto, the relevant records in the system of 
records, may be referred, as a routine use, to the appropriate 
agency, whether Federal, State, local, or foreign, charged with the 
responsibility of investigating or prosecuting such violation or 
charged with enforcing or implementing the statute, or rule, 
regulation or order issued pursuant thereto.
    B. Routine Use-Disclosure When Requesting Information: A record 
from this system of records may be disclosed as a routine use to a 
Federal, State, or local agency maintaining civil, criminal or other 
relevant enforcement information or other pertinent information, 
such as current licenses, if necessary, to obtain information 
relevant to an agency decision concerning the hiring or retention of 
an employee, the issuance of a security clearance, the letting of a 
contract, or the issuance of a license, grant, or other benefit.
    C. Routine Use-Disclosure of Requested Information: A record 
from this system of records may be disclosed to a Federal agency, in 
response to its request, in connection with the hiring or retention 
of an employee, the issuance of a security clearance, conducting a 
security or suitability investigation, classifying a job, the 
reporting of an investigation of an employee, the letting of a 
contract, or the issuance of a license, grant, or other benefit by 
the requesting agency, to the extent that the information is 
relevant and necessary to the requesting agency's decision on the 
matter.
    D. Routine Use-Grievance, Complaint, Appeal: A record from this 
system of records may be disclosed to an authorized appeal or 
grievance examiner, formal complaints examiner, equal employment 
opportunity investigator, arbitrator, or other duly authorized 
official engaged in investigation or settlement of a grievance, 
complaint, or appeal filed by an employee. A record from this system 
of records may be disclosed to the United States Office of Personnel 
Management, the Merit Systems Protection Board, Federal Labor 
Relations Authority, or the Equal Employment Opportunity Commission 
when requested in the performance of their authorized duties. To the 
extent that official personnel records in the custody of NARA are 
covered within the system of records published by the Office of 
Personnel Management as Government wide records, those records will 
be considered as a part of that Government wide system. Other 
records covered by notices published by NARA and considered to be 
separate systems of records may be transferred to the Office of 
Personnel Management in accordance with official personnel programs 
and activities as a routine use.
    E. Routine Use-Congressional Inquiries: A record from this 
system of records may be disclosed as a routine use to a Member of 
Congress or to a Congressional staff member in response to an 
inquiry of the Congressional office made at the request of the 
individual about whom the record is maintained.
    F. Routine Use-NARA Agents: A record from this system of records 
may be disclosed as a routine use to an expert, consultant, agent, 
or a contractor of NARA to the extent necessary for them to assist 
NARA in the performance of its duties. Agents include, but are not 
limited to, GSA or other entities supporting NARA's payroll, 
finance, and personnel responsibilities.
    G. Routine Use-Department of Justice/Courts: A record from this 
system of records may be disclosed to the Department of Justice or 
in a proceeding before a court or adjudicative body before which 
NARA is authorized to appear, when: (a) NARA, or any component 
thereof; or, (b) any employee of NARA in his or her official 
capacity; or, (c) any employee of NARA in his or her individual 
capacity where the Department of Justice or NARA has agreed to 
represent the employee; or (d) the United States, where NARA 
determines that litigation is likely to affect the agency or any of 
its components, is a party to litigation or has an interest in such 
litigation, and the use of such records by the Department of Justice 
or by NARA before a court or adjudicative body is deemed by NARA to 
be relevant and necessary to the litigation, provided, however, that 
in each case, NARA determines that disclosure of the records is a 
use of the information contained in the records that is compatible 
with the purpose for which the records were collected.
    H. Routine Use--Data breach: A record from this system of 
records may be disclosed to appropriate agencies, entities, and 
persons when (1) It is suspected or confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;

[[Page 31351]]

(2) NARA has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harem to the security or 
integrity of this system or other systems or programs (whether 
maintained by NARA of another agency or entity) that rely upon the 
compromised information; and (3) the disclosure is made to such 
agencies, entities, and persons who are reasonably necessary to 
assist in connection with NARA's efforts to respond to the suspected 
or confirmed compromise and prevent, minimize, or remedy such harm.

[FR Doc. E7-10849 Filed 6-5-07; 8:45 am]
BILLING CODE 7515-01-P