Privacy Act System of Records, 53454-53457 [2011-21861]

Agencies

• FEDERAL COMMUNICATIONS COMMISSION

[Federal Register Volume 76, Number 166 (Friday, August 26, 2011)]
[Notices]
[Pages 53454-53457]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-21861]


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FEDERAL COMMUNICATIONS COMMISSION


Privacy Act System of Records

AGENCY: Federal Communications Commission (FCC, Commission, or the 
Agency).

ACTION: Notice; one new Privacy Act system of records; two deleted 
systems of records.

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[[Page 53455]]

SUMMARY: Pursuant to subsection (e)(4) of the Privacy Act of 1974, as 
amended (``Privacy Act''), 5 U.S.C. 552a, the FCC proposes to add one 
new, consolidated system of records, FCC/OIG-3, ``Investigative 
Files.'' FCC/OIG-3, ``Investigative Files'' will incorporate the 
information, e.g., personally identifiable information (PII), presently 
covered by two OIG systems of records, FCC/OIG-1, ``Criminal 
Investigative Files,'' and FCC/OIG-2, ``General Investigative Files,'' 
and also add new and updated information that pertains to the mission 
and activities of the FCC's Office of Inspector General (OIG). Upon 
both the approval and deployment of FCC/OIG-3, the Commission will 
cancel FCC/OIG-1 and FCC/OIG-2. The purposes for adding this new system 
of records, FCC/OIG-3, ``Investigative Files,'' are for the OIG to use 
the records in this system of records to pursuant to the Inspector 
General Act of 1978, as amended, for the purposes of:
    Conducting and documenting investigations initiated and/or referred 
by or to OIG or other investigative agencies regarding FCC programs and 
operations and reporting the results of investigations to other Federal 
agencies, other public authorities or professional organizations that 
have the authority to bring criminal prosecutions or civil or 
administrative actions, or to impose other disciplinary sanctions;
    Documenting the outcome of OIG investigations;
    Maintaining a record of the activities that were the subject of 
investigations;
    Reporting investigative findings to the Commission management about 
problems and deficiencies in the FCC's programs and operations or to 
suggest corrective action in reference to identified irregularities, 
problems or deficiencies;
    Maintaining a record of complaints and allegations received 
relative to FCC programs and operations and documenting the outcome of 
OIG reviews of those complaints and allegations;
    Coordinating relationships with other Federal agencies, State and 
local governmental agencies, and nongovernmental entities in matters 
relating to the statutory responsibilities of the OIG; and
    Acting as a repository and source for information necessary to 
fulfill the reporting requirements of the Inspector General Act of 
1978, as amended.
    The new system of records will consolidate the systems of records 
that the OIG currently uses to house all of its criminal and general 
investigative files with PII data in the various OIG information 
systems in a single OIG investigative files system of records.

DATES: In accordance with subsections (e)(4) and (e)(11) of the Privacy 
Act, any interested person may submit written comments concerning the 
proposed new system of records on or before September 26, 2011. The 
Office of Information and Regulatory Affairs (OIRA), Office of 
Management and Budget (OMB), which has oversight responsibility under 
the Privacy Act to review the system of records, and Congress may 
submit comments on or before October 5, 2011. The proposed new system 
of records will become effective on October 5, 2011 unless the FCC 
receives comments that require a contrary determination. The Commission 
will publish a document in the Federal Register notifying the public if 
any changes are necessary. As required by 5 U.S.C. 552a(r) of the 
Privacy Act, the FCC is submitting reports on this proposed new system 
to OMB and Congress.

ADDRESSES: Address comments to Leslie F. Smith, Privacy Analyst, 
Performance Evaluation and Records Management (PERM), Room 1-C216, 
Federal Communications Commission (FCC), 445 12th Street, SW., 
Washington, DC 20554, (202) 418-0217, or via the Internet at 
Leslie.Smith@fcc.gov.

FOR FURTHER INFORMATION CONTACT: Leslie F. Smith, Performance 
Evaluation and Records Management (PERM), Room 1-C216, Federal 
Communications Commission, 445 12th Street, SW., Washington, DC 20554, 
(202) 418-0217 or via the Internet at Leslie.Smith@fcc.gov.

SUPPLEMENTARY INFORMATION: As required by the Privacy Act of 1974, as 
amended, 5 U.S.C. 552a(e)(4) and (e)(11), this document sets forth 
notice of this proposed new system of records maintained by the FCC. 
The FCC previously gave complete notice of the two systems of records, 
FCC/OIG-1, ``Criminal Investigative Files'' and FCC/OIG-2, ``General 
Investigative Files,'' which it intends to cancel upon both the 
approval and deployment of FCC/OIG-3, ``Investigative Files,'' as 
referenced under this Notice by publication in the Federal Register on 
April 5, 2006 (71 FR 17234, 17245 and 17246 respectively). This notice 
is a summary of the more detailed information about the proposed new 
system of records, which may be viewed at the location given above in 
the ADDRESSES section. The purposes for adding this new system of 
records, FCC/OIG-3, ``Investigative Files,'' are for the FCC's Office 
of Inspector General (OIG) to use the records in FCC/OIG-3 pursuant to 
the Inspector General Act of 1978, as amended, for the purposes of:
    1. Conducting and documenting investigations initiated and/or 
referred by or to the OIG or other investigative agencies regarding FCC 
programs and operations and reporting the results of investigations to 
other Federal agencies, other public authorities or professional 
organizations that have the authority to bring criminal prosecutions or 
civil or administrative actions, or to impose other disciplinary 
sanctions;
    2. Documenting the outcome of OIG investigations;
    3. Maintaining a record of the activities that were the subject of 
investigations;
    4. Reporting investigative findings to the Commission management 
about problems and deficiencies in the FCC's programs and operations or 
to suggest corrective action in reference to identified irregularities, 
problems or deficiencies;
    5. Maintaining a record of complaints and allegations received 
relative to FCC programs and operations and documenting the outcome of 
OIG reviews of those complaints and allegations;
    6. Coordinating relationships with other Federal agencies, State 
and local governmental agencies, and nongovernmental entities in 
matters relating to the statutory responsibilities of the OIG; and
    7. Acting as a repository and source for information necessary to 
fulfill the reporting requirements of the Inspector General Act of 
1978, as amended.
    The new system of records will consolidate the separate and 
independent systems of records that the OIG currently uses to house all 
of its criminal and civil investigative files with PII data in the 
various OIG information systems in a single OIG investigative files 
system of records.
    This notice meets the requirement documenting the change to the 
systems of records that the FCC maintains, and provides the public, 
OMB, and Congress with an opportunity to comment.
FCC/OIG-3

SYSTEM NAME:
    Investigative Files.

SECURITY CLASSIFICATION:
    Sensitive, but not Classified.

SYSTEM LOCATION:
    Office of Inspector General (OIG), Federal Communications 
Commission (FCC), 445 12th Street, SW., Washington, DC 20554.

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CATEGORIES OF INDIVIDUALS COVERED BY THIS SYSTEM:
    Included in this system are records on:
    1. Individuals who are or have been the subjects of investigations 
conducted by the OIG; and
    2. Individuals who are: witnesses, complainants, informants, 
suspects, defendants, parties identified by the OIG or by other 
agencies, constituent units of the FCC and members of the general 
public in connection with the authorized functions of the OIG.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The categories of records in this system include:
    1. Files developed during investigations of known or alleged fraud, 
waste, and abuse, or other irregularities or violations of laws and 
regulations;
    2. Files related to programs and operations administered or 
financed by the FCC, including contractors and others doing business 
with the FCC;
    3. Files relating to FCC employees' hotline complaints and other 
miscellaneous complaints; and
    4. Investigative reports and related documents, such as 
correspondence, notes, attachments, and working papers.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Inspector General Act of 1978, as amended.

PURPOSE(S):
    Pursuant to the Inspector General Act of 1978, as amended, the 
system is maintained for the purposes of:
    1. Conducting and documenting investigations initiated and/or 
referred by or to the OIG or other investigative agencies regarding FCC 
programs and operations and reporting the results of investigations to 
other Federal agencies, other public authorities or professional 
organizations that have the authority to bring criminal prosecutions or 
civil or administrative actions, or to impose other disciplinary 
sanctions;
    2. Documenting the outcome of OIG investigations;
    3. Maintaining a record of the activities that were the subject of 
investigations;
    4. Reporting investigative findings to the Commission management 
about problems and deficiencies in the FCC's programs and operations or 
to suggest corrective action in reference to identified irregularities, 
problems or deficiencies;
    5. Maintaining a record of complaints and allegations received 
relative to FCC programs and operations and documenting the outcome of 
OIG reviews of those complaints and allegations;
    6. Coordinating relationships with other Federal agencies, State 
and local governmental agencies, and nongovernmental entities in 
matters relating to the statutory responsibilities of the OIG; and
    7. Acting as a repository and source for information necessary to 
fulfill the reporting requirements of the Inspector General Act of 
1978, as amended.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The OIG may disclose information contained in a record in this 
system of records under the routine uses listed in this system of 
records without the consent of the individual if the disclosure is 
compatible with the purposes for which the record was collected:
    1. Law Enforcement and Investigation--The OIG may disclose 
information from this system of records to any Federal, State, local, 
Tribal, or foreign agency or other public authority or professional 
organization responsible for administering, enforcing, investigating, 
or prosecuting violations of administrative, civil, or criminal law or 
regulations if that information is relevant to any remedial, 
enforcement, regulatory, investigative, or prosecutorial responsibility 
of the receiving entity;
    2. Disclosure to Public and Private Entities to Obtain Information 
Relevant to FCC Functions and Duties--The OIG may disclose information 
from this system to public or private sources to the extent necessary 
to obtain information from those sources relevant to an OIG 
investigation or inspection;
    3. Adjudication and Litigation--The OIG may disclose a record from 
this system to the United States Department of Justice (DOJ), or other 
Federal, state, local or other authorities responsible for litigation 
or adjudication if relevant and necessary to litigation or adjudication 
and disclosure is compatible with the purpose for which the records 
were collected. The OIG may make such a disclosure in the event that 
the one of the following parties is involved in the litigation or 
adjudication or has an interest in the litigation:
    (a) The FCC or any component or program of the FCC;
    (b) Any employee or agent of the FCC in his or her official 
capacity;
    (c) Any employee of the FCC in his or her individual capacity if 
the DOJ has agreed to represent the employee or in connection with a 
request for that representation; or
    (d) The United States, if the OIG determines that the litigation or 
adjudication is likely to affect the FCC;
    4. Disclosure to Contractors and Consultants--The OIG may disclose 
a record from this system to the employees of any entity or individual 
with whom or with which the FCC contracts for the purpose of performing 
any functions or analyses that facilitate or are relevant to an OIG 
investigation, audit, inspection, or other inquiry. Before entering 
into such a contract, the OIG shall require the contractor to maintain 
Privacy Act safeguards, as required under the Federal Acquisition 
Regulations (FAR) Privacy Act provisions (Subparts 24.1 and 24.2) and 
include the specified contract clauses (Parts 52.224-1 and 52.224-2), 
as appropriate, to ensure that personal information by contractors who 
work on FCC-owned systems of records and the system data are protected 
as mandated;
    5. Debarment and Suspension Disclosure--The OIG may disclose 
information from this system to the FCC or another Federal agency 
considering suspension or debarment action if the information is 
relevant to the suspension or debarment action. The OIG also may 
disclose information to the FCC or another agency to gain information 
in support of the FCC's own debarment and suspension actions.
    6. Government-Wide Program Management and Oversight--The OIG may 
disclose a record from this system to the National Archives and Records 
Administration (NARA) for the purpose of records management inspections 
conducted under authority of 44 U.S.C. 2904 and 2906; when the U.S. 
Department of Justice (DOJ) is contacted in order to obtain that 
department's advice regarding disclosure obligations under the Freedom 
of Information Act or any other matter relevant to the FCC's programs 
or operations; or when the Office of Management and Budget (OMB) is 
contacted in order to obtain that office's advice regarding obligations 
under the Privacy Act.
    7. Benefit Program Disclosure--The OIG may disclose a record from 
this system to any Federal, State, local, or other public authority, if 
relevant to the prevention or detection of fraud and abuse in benefit 
programs administered by any agency or public authority.
    8. Financial Obligations Under the Debt Collection Acts--The OIG 
may disclose a record from this system to: other Federal agencies for 
the purpose of collecting and reporting on delinquent debts as 
authorized by the Debt Collection Act of 1982 or the Debt Collection 
Improvement Act of 1996; any Federal, state, or local agency to

[[Page 53457]]

conduct an authorized computer matching program in compliance with the 
Privacy Act of 1974, as amended, to identify and locate individuals who 
are delinquent in their repayment of certain debts owed to the U.S. 
Government; prepare information on items considered income for taxation 
purposes to be disclosed to Federal, state, and local governments; or 
any Federal, State, local, or foreign agency, or other public 
authority, if relevant to the collection of other debts and 
overpayments owed to any agency or public authority.
    9. Disclosure to the President's Council on Integrity and 
Efficiency (PCIE)--The OIG may disclose a record from this system to 
members and employees of the PCIE for the preparation of reports to the 
President and Congress on the activities of the Inspectors General;
    10. Disclosure for Qualitative Assessment Reviews--The OIG may 
disclose a record from this system to members of the PCIE, the DOJ, the 
U.S. Marshals Service, or any Federal agency for the purpose of 
conducting qualitative assessment reviews of the investigative 
operations of the OIG to ensure that adequate internal safeguards and 
management procedures are maintained;
    11. Breach of Federal Data--The OIG may disclose a record from this 
system to appropriate agencies, entities, and persons when (1) the OIG 
suspects or has confirmed that the security or confidentiality of 
information in the system of records has been compromised; (2) the OIG 
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 the FCC or 
another agency or entity) that rely upon the compromised information; 
and (3) the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the OIG's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm; and
    In each of these cases, the OIG will determine whether disclosure 
of the records is compatible with the purpose(s) for which the records 
were collected, i.e., the OIG may make these disclosures on a case-by-
case basis or, if the OIG has met the requirements of the Computer 
Matching and Privacy Protection Act, under a computer matching 
agreement.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Information in this information system consists of paper records, 
documents, and files in file folders and electronic records, files, and 
data that are stored in the OIG databases that are part of the FCC's 
computer network.

RETRIEVABILITY:
    Records, including both paper documents and files and electronic 
files and data, are filed alphabetically by name of the subject of the 
investigation or by a unique file number assigned to each 
investigation.

SAFEGUARDS:
    The paper, diskette, and records contained in other media are kept 
in locked storage that is further secured at the end of each business 
day. Limited access to these records is permitted by those persons 
whose official duties require such access; thus, unauthorized 
examination during business hours would be easily detected.
    The electronic records, files, and data are maintained in the FCC 
computer network databases. Access to the electronic files is 
restricted to authorized OIG supervisors and staff. Authorized OIG 
staff and OIG contractors and authorized staff and contractors in the 
FCC's Information Technology Center (ITC) have access to the electronic 
files on an ``as needed'' basis. The FCC's computer network databases 
are protected by the FCC's security protocols, which include controlled 
access, passwords, and other security features to prevent unauthorized 
users from gaining access to the data and system resources. Backup 
tapes are stored on-site and at a secured, off-site location.

RETENTION AND DISPOSAL:
    Investigative and other files are retained and disposed of in 
accordance with OIG's Records Retention Policy.

SYSTEM MANAGER(S) AND ADDRESS:
    Office of Inspector General (OIG), Federal Communications 
Commission (FCC), 445 12th Street, SW., Washington, DC 20554.

NOTIFICATION PROCEDURE:
    Under the authority granted to heads of agencies by 5 U.S.C. 
552a(k), the FCC has determined (47 CFR 0.561) that this system of 
records is exempt from the notification procedure for this system of 
records.

RECORD ACCESS PROCEDURES:
    Under the authority granted to heads of agencies by 5 U.S.C. 
552a(k), the FCC has determined (47 CFR 0.561) that this system of 
records is exempt from disclosing its record access procedures for this 
system of records.

CONTESTING RECORD PROCEDURE:
    Under the authority granted to heads of agencies by 5 U.S.C. 
552a(k), the FCC has determined (47 CFR 0.561) that this system of 
records is exempt from disclosing its contesting record procedures for 
this system of records.

RECORD SOURCE CATEGORIES:
    Under the authority granted to heads of agencies by 5 U.S.C. 
552a(k), the FCC has determined (47 CFR 0.561) that this system of 
records is exempt from disclosing its record sources for this system of 
records.

EXEMPTION FROM CERTAIN PROVISIONS OF THE ACT:
    This system of records is exempt from sections (c)(3), (d), 
(e)(4)(G), (e)(4)(H), and (e)(4)(I), and (f) of the Privacy Act of 
1974, 5 U.S.C. 552a, and from 47 CFR 0.554-0.557 of the Commission's 
rules. These provisions concern the notification, record access, and 
contesting procedures described above, and also the publication of 
record sources. The system is exempt from these provisions because it 
contains the types of materials described in section (k) of the Privacy 
Act.

Federal Communications Commission.
Marlene H. Dortch,
Secretary, Office of the Secretary, Office of Managing Director.
[FR Doc. 2011-21861 Filed 8-25-11; 8:45 am]
BILLING CODE 6712-01-P