Privacy Act of 1974; Department of Homeland Security Office of Inspector General-002 Investigative Records System of Records, 55569-55572 [E9-25945]

Agencies

• Office of the Secretary
• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 74, Number 207 (Wednesday, October 28, 2009)]
[Notices]
[Pages 55569-55572]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-25945]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2009-0094]


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

AGENCY: Privacy Office, DHS.

ACTION: Notice of revised 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 revise a system of records titled, 
Department of Homeland Security Office of Inspector General--002 
Investigative Records System of Records, previously titled, Department 
of Homeland Security Office of Inspector General--002 Investigations 
Data Management System of Records. As a result of the biennial review 
of this system and changes to the application software, the Department 
of Homeland Security is proposing changes to the system name, system 
classification, categories of individuals and records in the system, 
authorities for maintenance of the system, routine uses, as well as 
storage, safeguards, retention and disposal, and notification 
procedures. There will be no change to the Privacy Act exemptions 
currently in place for this system of records, however, the Department 
is issuing a Notice of Proposed Rulemaking concurrent with this system 
of records elsewhere in the Federal Register to reflect the system name 
change. This revised system will be included in the Department of 
Homeland Security's inventory of record systems.

DATES: Submit comments on or before November 27, 2009. Changes to this 
system will be effective November 27, 2009.

ADDRESSES: You may submit comments, identified by Docket Number DHS-
2009-0094, by one of the following methods:
     Federal e-Rulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 703-483-2999.
     Mail: Mary Ellen Callahan, 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 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 please contact: 
Doris A. Wojnarowski (202-254-4211), 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: Mary Ellen Callahan (703-235-0780), 
Chief Privacy Officer, Privacy Office, Department of Homeland Security, 
Washington, DC 20528.

SUPPLEMENTARY INFORMATION: 

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 Department is 
updating and reissuing the DHS/OIG-002 Investigations Data Management 
System of Records (IDMS) (70 FR 58448, October 6, 2005) under a new 
name, the DHS/OIG-002 Investigative Records System of Records, to cover 
these and additional records.
    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 fraud, waste, and abuse in its programs and 
operations. The OIG's Office of Investigations 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, the Office of Investigations provides oversight and 
monitors the investigative activity of DHS' various internal affairs 
offices.
    The DHS/OIG-002 Investigative Records System of Records assists the 
OIG with receiving and processing allegations of violation of criminal, 
civil, and administrative laws and regulations relating to DHS 
employees, contractors, grantees, and other individuals and entities 
associated with DHS. The system includes both paper investigative files 
and the Enforcement Data System (EDS), an electronic case management 
and tracking information system which also generates reports. EDS 
allows the OIG to manage information provided during the course of its 
investigations, and, in the process, to facilitate its management of 
investigations and investigative resources. Through EDS, the OIG can 
create a record showing disposition of allegations; track actions taken 
by management regarding misconduct; track legal actions taken following 
referrals to the U.S. Department of Justice for prosecution or civil 
action; provide a system for creating and reporting statistical 
information; and track OIG investigators' qualifications as well as 
government property and other resources used in investigative 
activities.
    This system notice makes several changes to the existing record 
system. It changes the name of the system; adds unclassified 
information to system classification; adds Federal agencies, DHS 
contractors, DHS grantees, DHS components, and DHS OIG employees 
performing investigative functions to categories of individuals covered 
by the system; completely updates categories of records within the 
system; adds new authorities for maintenance of the system to include 6 
U.S.C. 113(b) and the Inspector General Act of 1978, as amended; 
revises the routine uses to conform with the needs of DHS OIG; updates 
storage, safeguards and retention and disposal of the system; and 
outlines notification procedures for 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, as well as appropriate Federal, 
State, local, tribal, foreign, or international government agencies. 
This sharing will only take place after DHS determines that the 
receiving agency has a need to know the information to carry out 
national security, law enforcement, immigration, intelligence, or other 
functions consistent with the routine 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, DHS/OIG-002 Investigative Records System of 
Records, previously titled, DHS/OIG-002 Investigations Data Management 
System of Records (70 FR 58448,

[[Page 55570]]

October 6, 2005). As a result of the biennial review of this system and 
changes to the application software, DHS is proposing changes to the 
system name, system classification, categories of individuals and 
records in the system, authorities for maintenance of the system, 
routine uses, as well as storage, safeguards, retention and disposal, 
and notification procedures. There will be no change to the Privacy Act 
exemptions currently in place for this system of records, however, DHS 
is issuing a Notice of Proposed Rulemaking concurrent with this system 
of records elsewhere in the Federal Register to reflect the system name 
change. This revised 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 
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 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 submitting a request pursuant to 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 to 
which their records are put, and to assist individuals to more easily 
find such files within the agency. Below is the revised 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:
    DHS-OIG-002.

System name:
    Department of Homeland Security Office of Inspector General 
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 field offices nationwide.

Categories of individuals covered by the system:
    Individuals filing complaints of criminal, civil, or administrative 
violations, including, but not limited to, 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: (A) Current and former employees of the DHS, 
other Federal agencies, and DHS contractors, grantees, and persons 
whose association with current and former employees relate to alleged 
violations under investigation; and, (B) witnesses, complainants, 
confidential informants, suspects, defendants, or parties who have been 
identified by the DHS OIG, other DHS components, other agencies, or 
members of the general public in connection with authorized OIG 
functions; and DHS OIG employees performing investigative functions.

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;
     Fingerprints, voiceprints, and other biometric data;
     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 complaints and allegations, 
witness statements; transcripts of electronic 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 and firearms qualification records of employees 
performing investigative functions; and
     Accountable 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):
    The records and information collected and maintained in this system 
are used to receive and process 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 case assignments, 
status, disposition, and results; manage investigations and information 
provided during the course of such investigations; track actions taken 
by management regarding misconduct and other allegations; track legal 
actions taken following referrals to the Department of Justice for 
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; provide a system for creating and reporting 
statistical information; and to provide a system to track firearms 
qualification and training records of OIG employees performing 
investigative functions and accountable property records.

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 the Department of Justice (including United States Attorney 
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

[[Page 55571]]

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 agencies pursuant to records management inspections being 
conducted under the authority of 44 U.S.C. 2904 and Sec.  2906.
    D. To an agency, organization, or individual for the purpose of 
performing audit or oversight operations as authorized by law, 
including peer reviews, 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 
individuals that rely on 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 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.
    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, 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/or victims to the extent necessary to 
provide such persons with information and explanations concerning the 
progress and/or results of the investigation arising from the matters 
of which they complained and/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 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:
    Paper media are retrieved alphabetically by name of subject or 
complainant, by case number, and/or by special agent name and/or 
employee identifying number. Electronic media are retrieved by the name 
or identifying number for a complainant, subject, victim, or witness; 
by case number; by special agent name or other personal identifier; or 
by field office designation.

Safeguards:
    Information in this system is safeguarded in accordance with 
applicable laws, 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:
    Investigative case files that involve substantive information 
relating to national security or allegations against

[[Page 55572]]

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 investigative 
case files are destroyed 20 years after completion of the investigation 
and all actions based thereon. Accountable property records, training 
and firearms qualification records, and management reports are 
destroyed when no longer needed for business purposes.

System manager(s) and address:
    The System Manager is the Assistant Inspector General for 
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 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 and 
Chief Freedom of Information Act 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 Chief Privacy 
Officer and Chief Freedom of Information Act Officer, 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; 
and
     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, but not limited to, 
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 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) pursuant to 5 
U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has 
exempted this system from the following provisions of the Privacy Act, 
subject to the limitations set forth in 5 U.S.C. Sec.  552a(c)(3); (d); 
(e)(1), (e)(4)(G), (e)(4)(H); and (f) pursuant to 5 U.S.C. 552a(k)(1), 
(k)(2) and (k)(5).

    Dated: October 20, 2009.
Mary Ellen Callahan
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E9-25945 Filed 10-27-09; 8:45 am]
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