Privacy Act of 1974; Department of Homeland Security Internal Affairs System of Records, 67529-67532 [E8-27091]

Agencies

• Office of the Secretary
• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 73, Number 221 (Friday, November 14, 2008)]
[Notices]
[Pages 67529-67532]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-27091]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2008-0084]


Privacy Act of 1974; Department of Homeland Security Internal 
Affairs System of Records

AGENCY: Privacy Office; DHS.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, and as part of the 
Department of Homeland Security's ongoing effort to review and update 
legacy system of records notices, the Department of Homeland Security 
proposes to consolidate two legacy record systems titled, Treasury/
CS.127 Internal Affairs Records System, and Justice/INS.002 INS Office 
of Internal Audit Investigations Index and Records into one Department 
of Homeland Security-wide system of records notice titled Internal 
Affairs. This system will allow the Department of Homeland Security to 
collect and maintain records on applicants, past and present employees, 
contractors, and contractor applicants relating to investigations 
conducted by Department of Homeland Security Headquarters or its 
components with the exception of investigations conducted by the Office 
of the Inspector General, which are covered by DHS/OIG-002 
Investigations Data Management System. Categories of individuals, 
categories of records, and the routine uses of these legacy system of 
records notices have been consolidated and updated to better reflect 
the Department's internal affairs record systems. Additionally, DHS is 
issuing a Notice of Proposed Rulemaking (NPRM) concurrent with this 
SORN elsewhere in the Federal Register. The exemptions for the legacy 
system of records notices will continue to be applicable until the 
final rule for this SORN has been completed. This consolidated system 
will be included in the Department of Homeland Security's inventory of 
record systems.

DATES: Submit comments on or before December 15, 2008. This new system 
will be effective December 15, 2008.

ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0084 by one of the following methods:
     Federal e-Rulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 1-866-466-5370.
     Mail: Hugo Teufel III, 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 rulemaking. All comments 
received will be posted without change and may be read at

[[Page 67530]]

https://www.regulations.gov, including any personal information 
provided.
     Docket: For access to the docket to read background 
documents or comments received, go to https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions and privacy 
issues please contact: Hugo Teufel III (703-235-0780), Chief Privacy 
Officer, Privacy Office, Department of Homeland Security, Washington, 
DC 20528.

SUPPLEMENTARY INFORMATION: 

I. Background

    Pursuant to the savings clause in the Homeland Security Act of 
2002, Public Law 107-296, Section 1512, 116 Stat. 2310 (November 25, 
2002), the Department of Homeland Security (DHS) and its components and 
offices have relied on preexisting Privacy Act systems of records 
notices for the collection and maintenance of records that concern 
internal affairs records.
    As part of its efforts to streamline and consolidate its Privacy 
Act record systems, DHS is establishing a new agency-wide system of 
records under the Privacy Act (5 U.S.C. 552a) for DHS internal affairs 
records. This will ensure that all components of DHS follow the same 
privacy rules for collecting and handling internal affairs records. DHS 
will use this system to collect and maintain internal affairs records 
submitted by DHS personnel and others.
    In accordance with the Privacy Act of 1974, and as part of DHS's 
ongoing effort to review and update legacy system of records notices, 
DHS proposes to consolidate two legacy record systems titled, Treasury/
CS.127 Internal Affairs Records System (66 FR 52984 October 18, 2001) 
and Justice/INS.002 INS Office of Internal Audit Investigations Index 
and Records (67 FR 64136 January 3, 2002), into one DHS-wide system of 
records notice titled Internal Affairs. This system will allow DHS to 
collect and maintain records on applicants, past and present employees, 
contractors, and contractor applicants relating to investigations 
conducted by DHS Headquarters or its components with the exception of 
investigations conducted by the Office of the Inspector General (OIG), 
which are covered by DHS/OIG-002 Investigations Data Management System. 
Categories of individuals, categories of records, and the routine uses 
of these legacy system of records notices have been consolidated and 
updated to better reflect the Department's internal affairs record 
systems. Additionally, DHS is issuing a Notice of Proposed Rulemaking 
(NPRM) concurrent with this SORN elsewhere in the Federal Register. The 
exemptions for the legacy system of records notices will continue to be 
applicable until the final rule for this SORN has been completed. This 
consolidated system will be included in DHS's inventory of record 
systems.

II. Privacy Act

    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 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 
an 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 legal 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals where systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors. Individuals may request access to their own records that are 
maintained in a system of records in the possession or under the 
control of DHS 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 record keeping 
practices transparent, to notify individuals regarding the uses of 
their records, and to assist individuals to more easily find such files 
within the agency. Below is the description of the Internal Affairs 
System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this new system of records to the Office of Management and Budget (OMB) 
and to Congress.
SYSTEM OF RECORDS:
    DHS/ALL-020.

System name:
    Department of Homeland Security Internal Affairs Records.

Security classification:
    Unclassified.

System location:
    Records are maintained at several Headquarters locations and in 
component offices of DHS, in both Washington, DC, and field locations.

Categories of individuals covered by the system:
    Any applicants for Federal employment, past and present employees, 
contractors, and contractor applicants, or any other individual who is 
subject to, or involved in, an integrity or disciplinary inquiry or 
investigation not handled by OIG.

Categories of records in the system:
    Categories of records in this system include:
     Individual identifying data, which may include some or all 
of the following: full name, date of birth, social security number, 
addresses, duty station, grade, job series, and entrance on duty date;
     Allegations received and method received;
     Relevant information from background investigations;
     Integrity investigations;
     Investigation files;
     Incident location;
     Case agent/officer or supervisor;
     Case/prosecution status;
     Photographic images, videotapes, voiceprints, DVDs;
     Letters, e-mails, memoranda and reports;
     Exhibits, evidence, statements and affidavits; and
     Any other information gathered in the course of an 
integrity or disciplinary inquiry or investigation.

Authority for maintenance of the system:
    5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Executive 
Order 9397.

Purpose(s):
    The purpose of this system is to collect and maintain records on 
applicants, past and present employees, contractors, and contractor 
applicants relating to integrity or disciplinary inquiries or 
investigations conducted by DHS Headquarters or its components, except 
for those investigations conducted by OIG.
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 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records of 
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 the Department of Justice (including United States Attorney

[[Page 67531]]

Offices) or other Federal agency conducting litigation or in 
proceedings before any court, adjudicative or administrative body when 
it is 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 of DHS in his/her official capacity;
    3. Any employee of DHS in his/her individual capacity where the 
Department of Justice or DHS has agreed to represent the employee; or
    4. The United States or any agency thereof, is a party to the 
litigation or has an interest in such litigation, and DHS determines 
that the records are both relevant and necessary to the litigation and 
the use of such records is compatible with the purpose for which DHS 
collected the records.
    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 other 
Federal government agencies pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    D. To an agency, organization, or individual 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 harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by DHS or another agency or entity) or harm to the 
individual who relies 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, where 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 disclose information to a Federal, State, or local agency, 
maintaining civil, criminal or other relevant enforcement information 
or other pertinent information, which has requested information 
relevant to or necessary to the requesting agency's or the bureau's 
hiring or retention of an individual, or issuance of a security 
clearance, license, contract, grant, or other benefit.
    I. To disclose information to a court, magistrate, or 
administrative tribunal in the course of presenting evidence, including 
disclosures to opposing counsel or witnesses in the course of civil 
discovery, litigation, or settlement negotiations, in response to a 
subpoena from a court of competent jurisdiction.
    J. 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.
    K. 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.
    L. To provide information to unions recognized as exclusive 
bargaining representatives under the Civil Service Reform Act of 1978, 
5 U.S.C. 7111 and 7114, and in circumstances when union officials 
represent employees in investigations and personnel actions.
    M. To a court, prosecutor, and/or defense attorney in satisfaction 
of the agency's obligations under the Giglio, Jenks, or Brady 
decisions;
    N. To management officials at Federal, State or local agencies who 
may be in a position to take disciplinary or other corrective action 
and to boards and panels who may be charged with making recommendations 
or proposals regarding remedial action.
    O. 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 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 
it is determined 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:
    Records in this system are stored electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
are stored on magnetic disc, tape, digital media, and CD-ROM.

Retrievability:
    Records may be retrieved by the individual's name, date of birth, 
or social security number.

Safeguards:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. Strict controls have been imposed 
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:
    The file records are maintained as long as the subject of the 
investigation is employed by DHS, and then one year after the subject 
terminates employment. The files are then transferred to the Federal 
Records Center for a period of 25 years, after which they are 
destroyed.

[[Page 67532]]

System Manager and address:
    For Headquarters and components of DHS, the System Manager is the 
Director of Departmental Disclosure, Department of Homeland Security, 
Washington, DC 20528. For components of DHS, the System Manager can be 
found at https://www.dhs.gov/foia under ``contacts.''

Notification procedure:
    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 component's 
FOIA Officer, whose contact information can be found at https://
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, 
Department of Homeland Security, 245 Murray Drive, SW., Building 410, 
STOP-0550, Washington, DC 20528.
    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 Director, 
Disclosure and FOIA, https://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,
     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:
    Sources of information include: individuals who are the subject of 
the investigation or inquiry, employers, law enforcement organizations, 
members of the public, witnesses, education institutions, government 
agencies, credit bureaus, references, neighborhood checks, confidential 
sources, medical service providers, personal interviews, photographic 
images, military, financial institutions, citizenship, birth and tax 
records, and the applicant's, employee's or contractor's personnel 
history and application forms.

Exemptions claimed for the system:
    The Secretary of Homeland Security has exempted this system from 
subsections (c)(3) and (4); (d); (e)(1), (2), (3), (5), and (8); and 
(g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In additional, 
the Secretary of Homeland Security has exempted this system from 
subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the 
Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (2), (k)(3), and (5).

    Dated: November 6, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
 [FR Doc. E8-27091 Filed 11-13-08; 8:45 am]
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