Office of Inspector General; Privacy Act of 1974; Systems of Records, 26755-26758 [2012-10897]

Agencies

• Export-Import Bank of the United States

[Federal Register Volume 77, Number 88 (Monday, May 7, 2012)]
[Notices]
[Pages 26755-26758]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-10897]


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EXPORT-IMPORT BANK OF THE UNITED STATES

[EXIM-OIG-2011-0010]


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

AGENCY: The Export-Import Bank of the United States, Office of 
Inspector General.

ACTION: Notice of New Privacy Act System of Records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Export-Import 
Bank of the United States (hereafter known as ``Ex-Im Bank''), Office 
of Inspector General (hereafter known as ``OIG'' or ``Ex-Im Bank OIG'') 
is giving notice of a new system of records entitled, ``EIB-35-Office 
of Inspector General Investigative Records.'' The information in the 
new system of records will be used by the Ex-Im Bank OIG to conduct 
criminal, civil, and administrative investigations, and will contain 
identifying information about potential subjects, sources, and other 
individuals related to these investigations.

DATES: Effective Date: This system of records will become effective on 
June 15, 2012.
    Comment Date: Comments should be received on or before June 6, 2012 
to be assured of consideration.

ADDRESSES: You may submit comments, identified by Docket Number EIB-
2011-0010 by one of the following methods:
    1. Electronically through the eRulemaking Portal at https://www.regulations.gov. Please search for EIB--2011-0010.
    2. By Mail/Hand Delivery/Courier: Alberto Rivera-Fournier, Ex-Im 
Bank, Office of Inspector General/811 Vermont Avenue NW., Rm. 976, 
Washington, DC 20571. Please allow sufficient time for mailed comments 
to be received before the close of the comment period.
    All comments received before the end of the comment period will be 
posted on https://www.regulations.gov for public viewing. Hard copies of 
comments may also be obtained by writing to Counsel to the Inspector 
General, Ex-Im Bank, Office of Inspector General/811 Vermont Avenue 
NW., Rm. 976, Washington, DC 20571.

FOR FURTHER INFORMATION CONTACT: Alberto Rivera-Fournier, Ex-Im Bank, 
Office of Inspector General, 811 Vermont Avenue NW, Rm. 976, 
Washington, DC 20571 or by telephone (202) 565-3908 or facsimile (202) 
565-3988.

SUPPLEMENTARY INFORMATION: Ex-Im Bank OIG is establishing a new system

[[Page 26756]]

of records entitled ``EIB-35-Office of Inspector General Investigative 
Records''. The system of records is necessary for Ex-Im Bank OIG to 
carry out its investigative responsibilities pursuant to the Inspector 
General Act of 1978, as amended.
    The Ex-Im Bank OIG was statutorily created in 2002 and organized in 
2007. Ex-Im Bank OIG is statutorily directed to conduct and supervise 
investigations relating to programs and operations of Ex-Im Bank and to 
prevent and detect fraud, waste, and abuse in such programs and 
operations. Accordingly, the records in this system are used in the 
course of investigating individuals and entities suspected of having 
committed illegal or unethical acts and in conducting related criminal 
prosecutions, civil proceedings, and administrative actions. The 
records may contain information about civil, criminal, or 
administrative wrongdoing, or about fraud, waste, mismanagement, or 
other violations of law or regulation. This information could be the 
basis for referrals to appropriate prosecutorial authorities for 
consideration of criminal or civil prosecution or Ex-Im Bank management 
for administrative action.
    The collection and maintenance of records subject to this system is 
based on paper records and an electronic records management system, the 
``Inspector General Information System'' (IGIS). IGIS allows the 
retrieval of records by name or other personal identifier. In 
accordance with 5 U.S.C. 552a(r), a report of this system of records 
has been provided to the Office of Management and Budget (OMB) and to 
the Congress. Concurrent with this system of records notice, Ex-Im Bank 
is proposing a rule to exempt portions of this system of records from 
one or more provisions of the Privacy Act because of criminal, civil, 
and administrative enforcement requirements. In addition, Ex-Im Bank 
OIG is publishing a Privacy Impact Assessment of IGIS.

SYSTEM NAME:
    EIB-35-Office of Inspector General Investigative Records.

SECURITY CLASSIFICATION:
    The vast majority of the information in the system is Controlled 
Unclassified Information.

SYSTEM LOCATION:
    This system of records is located in the Ex-Im Bank OIG, 811 
Vermont Avenue NW., Washington, DC 20571.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    1. Persons who are named individuals in investigations conducted by 
the Ex-Im Bank OIG.
    2. Complainants and subjects of complaints collected through the 
Ex-Im Bank OIG Hotline or other sources.
    3. Other individuals who have been identified as possibly relevant 
to, or who are contacted as part of an OIG investigation, including 
witnesses, confidential or non-confidential informants, and members of 
the general public who are named individuals in connection with 
investigations conducted by the Ex-Im Bank OIG.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system contains records related to complaints, and 
administrative, civil, and criminal investigations. These records 
include: (a) Letters, memoranda, emails, and other documents citing 
complaints or alleged criminal, civil, or administrative misconduct. 
(b) Investigative files which include reports of investigation with 
related exhibits, statements, affidavits, or records obtained during 
the investigation, information from subjects, targets, witnesses; 
material from governmental investigatory or law enforcement 
organizations (federal, state, local or international) and intelligence 
information; information of criminal, civil, or administrative 
referrals and/or results of investigations; public source materials; 
and reports and associated materials filed with Ex-Im Bank or other 
government agencies from, for example, exporters, lenders and other 
financial institutions, brokers, shippers, contractors, employers or 
other financial service providers.
    Personal data in the system may consist of names, addresses, Social 
Security Numbers, fingerprints, physical identifying data, individual 
personnel and payroll information, and other evidence and background 
material existing in any form (i.e., photographs, reports, criminal 
histories, etc.).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Inspector General Act of 1978, as amended, 5 U.S.C. App. 3; 5 
U.S.C. 301; 44 U.S.C. 3101.

PURPOSE(S):
    This system of records is established under the Inspector General 
Act of 1978, as amended, to maintain information and document OIG work 
related to investigations of criminal, civil, or administrative 
matters.

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 Ex-Im 
Bank OIG as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    (A) To an appropriate Federal, State, territorial, tribal, local, 
or foreign law enforcement agency, licensing entity, or other 
appropriate authority charged with investigating, enforcing, 
prosecuting, or implementing a law (criminal, civil, administrative, or 
regulatory), where Ex-Im Bank OIG becomes aware of an indication of a 
violation or potential violation of such law or where required in 
response to compulsory legal process.
    (B) To Federal intelligence community agencies and other Federal 
agencies to further the mission of those agencies relating to persons 
who may pose a risk to homeland security.
    (C) To international governmental authorities in accordance with 
law and formal or informal international agreement;
    (D) To any individual or entity when necessary to elicit 
information that will assist an OIG investigation, inspection, or 
audit.
    (E) 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 or criminal discovery or 
proceedings, litigation, and settlement negotiations.
    (F) To Federal, State, local, or foreign government entities or 
professional licensing authorities responsible for investigating or 
prosecuting the violations of, or for enforcing or implementing, a 
statute, rule, regulation, order, or license, or where Ex-Im Bank OIG 
becomes aware of an indication of a violation or potential violation of 
civil or criminal law or regulation, or where Ex-Im Bank OIG has 
received a request for information that is relevant or necessary to the 
requesting entity's hiring or retention of an employee, or the issuance 
of a security clearance, license, contract, grant, or other benefit.
    (G) 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.
    (H) To the United States Department of Justice or other Federal 
agency conducting litigation or in proceedings before any court, 
adjudicative or administrative body, when: (i) Ex-Im Bank; (ii) any 
employee of Ex-Im Bank

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in his/her official capacity; (iii) any employee of Ex-Im Bank in his/
her individual capacity where the Department of Justice or Ex-Im Bank 
has agreed to represent the employee; or, (iv) the United States or any 
agency thereof, is a party to the litigation or has an interest in such 
litigation.
    (I) To third parties during the course of an investigation to the 
extent necessary to obtain information pertinent to the investigation.
    (J) To a Member of Congress, or staff acting upon the Member's 
behalf, when the Member or staff requests the information on behalf of, 
and at the request of, the individual who is the subject of the record.
    (K) To an actual or potential party to litigation or the party's 
authorized representative for the purpose of negotiation or discussion 
of such matters as settlement, plea bargaining, or in informal 
discovery proceedings.
    (L) To the news media and the public, including disclosures 
pursuant to 28 CFR 50.2, unless it is determined that release of the 
specific information in the context of a particular case would 
constitute an unwarranted invasion of personal privacy.
    (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 or case arising from the 
matters of which they complained and/or of which they were a victim.
    (N) 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 OIG 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.
    (O) 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.
    (P) To appropriate persons engaged in conducting and reviewing 
internal and external peer reviews of the Ex-Im Bank OIG to ensure 
adequate internal safeguards and management procedures exist or to 
ensure that auditing standards applicable to Government audits are 
applied and followed.
    (Q) To the Council of Inspectors General on Integrity and 
Efficiency (``CIGIE'') and other Offices of Inspectors General, 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 CIGIE pursuant 
to 5 U.S.C. App. 3, Sec.  11.
    (R) In an appropriate proceeding before a court, grand jury, or an 
administrative or adjudicative body, when the OIG determines that the 
records are arguably relevant to the proceeding; or in an appropriate 
proceeding before an administrative or adjudicative body when the 
adjudicator determines the records to be relevant to the proceeding.
    (S) To appropriate officials and employees of a federal agency or 
entity which requires information relevant to a decision concerning the 
hiring, appointment, or retention of an individual; the issuance, 
renewal, suspension, or revocation of a security clearance; the 
execution of a security or suitability investigation; the letting of a 
contract; or the issuance or revocation of a grant or other benefit.
    (T) To federal, state, local, tribal, foreign, or international 
licensing agencies or associations which require information concerning 
the suitability or eligibility of an individual for a license or 
permit.
    (U) To such recipients and under such circumstances and procedures 
as are mandated by federal statute or treaty.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The records in this system are maintained in a variety of media, 
including paper, digital media (hard drives and magnetic tapes or 
discs), and an automated database. The records are maintained in 
limited access areas during duty hours and in locked offices at all 
other times.

RETRIEVABILITY:
    Paper media are retrieved numerically by investigation number. 
Electronic media are retrieved numerically by investigation number, by 
the name or identifying number for a complainant, subject, victim, or 
witness; by case number; by special agent, or other personal 
identifier.

SAFEGUARDS:
    All paper and electronic records are protected from unauthorized 
access through appropriate administrative, physical, and technical 
safeguards. Ex-Im Bank facilities are protected from the outside by 
security personnel. Direct access to investigative records is 
restricted to authorized staff members of the OIG. Paper records, 
computers, and computer storage media are located in controlled-access 
areas under supervision of program personnel. Manual records are in 
locked cabinets or in safes and can be accessed by key or combination 
formula only. Electronic records are protected by computer-logon 
identifications and password protection.

RETENTION AND DISPOSAL:
    OIG is in the process of developing a records retention schedule in 
conjunction with the National Archives and Records Administration 
(NARA). Closed files relating to a specific investigation are destroyed 
after ten years. Closed files containing information of an 
investigative nature but not relating to a specific investigation are 
destroyed after five years. Records existing on computer storage media 
are destroyed according to applicable OIG media sanitization practice.

SYSTEM MANAGER(S) AND ADDRESSES:
    The System Manager is the Inspector General, Ex-Im Bank OIG, 811 
Vermont Avenue NW., Rm. 976, Washington, DC 20571.

NOTIFICATION PROCEDURES:
    Pursuant to a concurrent notice of proposed rulemaking by Ex-Im 
Bank, this system of records will be generally exempt from the notice, 
access, and contest requirements of the Privacy Act. However, the Ex-Im 
Bank OIG will entertain written requests to the systems manager on a 
case-by-case basis for notification regarding whether this system of 
records contains information about an individual. Individuals seeking 
notification of any record contained in this system of records may 
submit a request in writing to the System Manager identified above. 
Individuals requesting notification must comply with the Ex-Im Bank 
Privacy Act regulations (12 CFR 404.4).

RECORD ACCESS PROCEDURES:
    Same as ``Notification Procedures''' above.

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CONTESTING RECORD PROCEDURES:
    See ``Notification procedures'' and ``Record access procedures'' 
stated above.

RECORD SOURCE CATEGORIES:
    The information in this system of records is obtained from sources 
including, but not limited to, the individual record subjects; Ex-Im 
Bank officials and employees; employees of Federal, State, local, and 
foreign agencies; and other persons and entities; and public source 
materials.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    In general, the exemptions claimed are necessary in order to 
accomplish the law enforcement function of the OIG, to prevent subjects 
of investigations from frustrating the investigatory process, to 
prevent the disclosure of investigative techniques, to fulfill 
commitments made to protect the confidentiality of sources, to maintain 
access to sources of information, and to avoid endangering these 
sources and law enforcement personnel.
    A. Pursuant to 5 U.S.C. 552a(j)(2) and a proposed rulemaking by Ex-
Im Bank, this system is proposed to be exempt from the following 
provisions of the Privacy Act: 5 U.S.C. 552a (c)(3) and (4); (d)(1) 
through (4); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and 
(e)(8); (f); and (g). The reasons for asserting such exemptions are the 
following:
    (i) Disclosure to the individual named in the record pursuant to 
subsections (c)(3), (c)(4), or (d)(1) through (4) could seriously 
impede or compromise the investigation by alerting the target(s), 
subjecting a potential witness or witnesses to intimidation or improper 
influence, and leading to destruction of evidence. Disclosure could 
enable suspects to take action to prevent detection of criminal 
activities, conceal evidence, or escape prosecution.
    (ii) Application of subsection (e)(1) is impractical because the 
relevance of specific information might be established only after 
considerable analysis and as the investigation progresses. Effective 
law enforcement requires the OIG to keep information that may not be 
relevant to a specific OIG investigation, but which may provide leads 
for appropriate law enforcement and to establish patterns of activity 
that might relate to the jurisdiction of the OIG and/or other agencies.
    (iii) Application of subsection (e)(2) would be counterproductive 
to the performance of a criminal investigation because it would alert 
the individual to the existence of an investigation. In any 
investigation, it is necessary to obtain evidence from a variety of 
sources other than the subject of the investigation in order to verify 
the evidence necessary for successful litigation.
    (iv) Application of subsection (e)(3) could discourage the free 
flow of information in a criminal law enforcement inquiry.
    (v) Applications of subsections (e)(4)(G) and (H), and (f) would be 
counterproductive to the performance of a criminal investigation. To 
notify an individual at the individual's request of the existence of 
records in an investigative file pertaining to such individual, or to 
grant access to an investigative file could interfere with 
investigative and enforcement proceedings, deprive co-defendants of a 
right to a fair trial or other impartial adjudication, constitute an 
unwarranted invasion of personal privacy of others, disclose the 
identity or confidential sources, reveal confidential information 
supplied by these sources and disclose investigative techniques and 
procedures. Nevertheless, Ex-Im Bank OIG has published notice of its 
notification, access, and contest procedures because access may be 
appropriate in some cases.
    (vi) Although the Office of Inspector General endeavors to maintain 
accurate records, application of subsection (e)(5) is impractical 
because maintaining only those records that are accurate, relevant, 
timely, and complete and that assure fairness in determination is 
contrary to established investigative techniques. Information that may 
initially appear inaccurate, irrelevant, untimely, or incomplete may, 
when collated and analyzed with other available information, become 
more pertinent as an investigation progresses.
    (vii) Application of subsection (e)(8) could prematurely reveal an 
ongoing criminal investigation to the subject of the investigation.
    (viii) The provisions of subsection (g) do not apply to this system 
if an exemption otherwise applies.
    B. Pursuant to 5 U.S.C. 552a (k)(2) and a proposed rulemaking by 
Ex-Im Bank, this system is proposed to be exempt from the following 
provisions of the Privacy Act, subject to the limitations set forth in 
those subsections: 5 U.S.C. 552a (c)(3), (d)(1) through (4), (e)(1), 
(e)(4)(G), (e)(4)(H), and (f). These exemptions are claimed for the 
same reasons as stated in paragraph (a)(2) of this section, that is, 
because the system contains investigatory material compiled for law 
enforcement purposes other than material within the scope of subsection 
552a(j)(2). In addition, the reasons for asserting this exemption are 
because the disclosure and other requirements of the Privacy Act could 
substantially compromise the efficacy and integrity of the OIG 
operations. Disclosure could invade the privacy of other individuals 
and disclose their identity when they were expressly promised 
confidentiality. Disclosure could interfere with the integrity of 
information which would otherwise be subject to privileges (see, e.g., 
5 U.S.C. 552(b)(5)), and which could interfere with other important law 
enforcement concerns (see, e.g., 5 U.S.C. 552(b)(7)).
    C. Pursuant to 5 U.S.C. 552a(k)(5) and a proposed rulemaking by Ex-
Im Bank, this system is proposed to be exempt from the following 
provisions of the Privacy Act: 5 U.S.C. 552a(c)(3), (d)(1) through (4), 
(e)(1), (e)(4)(G) and (H), and (f). The reason for asserting this 
exemption is because the system contains investigatory material 
compiled for the purpose of determining eligibility or qualifications 
for federal civilian or contract employment.

    Dated: May 1, 2012.
Osvaldo L. Gratacos,
Inspector General.
Sharon A. Whitt,
Agency Clearance Officer.
[FR Doc. 2012-10897 Filed 5-4-12; 8:45 am]
BILLING CODE 6690-01-P