Privacy Act of 1974; Department of Homeland Security-DHS/ALL 020 Internal Affairs System of Records, 23361-23367 [2014-09471]

Agencies

• DEPARTMENT OF HOMELAND SECURITY
• Office of the Secretary

[Federal Register Volume 79, Number 81 (Monday, April 28, 2014)]
[Notices]
[Pages 23361-23367]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-09471]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2014-0019]


Privacy Act of 1974; Department of Homeland Security--DHS/ALL 020 
Internal Affairs System of Records

AGENCY: Privacy Office, Department of Homeland Security.

ACTION: Notice of 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 update and reissue a current Department 
of Homeland Security department-wide system of records notice titled 
``Department of Homeland Security/ALL-020 Department of Homeland 
Security Internal Affairs System of Records.'' This system collects and 
maintains records relating to investigations, including allegations of 
misconduct, resultant investigations conducted by Department of 
Homeland Security (DHS) Headquarters or its components, and any of the 
individuals involved in such investigations with the exception of 
records of investigations conducted by the Office of the Inspector 
General. This revised notice includes several changes necessitated by 
the issuance of a final rule entitled Standards To Prevent, Detect, and 
Respond to Sexual Abuse and Assault in Confinement Facilities (6 CFR 
part 115) and to better reflect the DHS's internal affairs records 
systems, including changes to: (1) The categories of individuals first, 
by removing applicants for DHS employment and second, by adding any 
individual who is subject to or involved in an internal integrity or 
disciplinary inquiry, or an internal review, inspection, or 
investigation not handled by the DHS Office of the Inspector General 
(OIG); (2) the categories of records, by adding two new categories; (3) 
the purpose of the system, by adding internal integrity or disciplinary 
inquiries, and internal reviews, inspections, or investigations DHS 
Headquarters or its components conduct, except any of the above that 
the DHS OIG conducts; (4) the routine

[[Page 23362]]

uses, by adding new routine uses (K), (O), (P), (Q), (R), (S), (T), 
(U), and (V), and (5) the retention periods, by adding new retention 
periods for review files and sexual abuse and assault files. In 
addition, this notice includes non-substantive changes to simplify the 
formatting and text of the previously published notice. The exemptions 
claimed in this system of records notice also reflect updates necessary 
for consistency with the Final Rule for Privacy Act Exemptions, 74 Fed. 
Reg. 42575 (Aug. 24, 2009). This system is still included in the 
Department of Homeland Security's inventory of record systems. In 
addition to the changes above, this notice communicates DHS's intention 
to retire a different system of records from its inventory, because the 
Transportation Security Administration no longer requires the DHS/TSA 
005 Internal Investigation Record System, 69 FR 71828 (Dec. 10, 2004).

DATES: Submit comments on or before May 28, 2014. This new system will 
be effective May 28, 2014.

ADDRESSES: You may submit comments, identified by docket number DHS-
2013-XXXX by one of the following methods:
     Federal e-Rulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Karen L. Neuman, 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 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: Karen L. Neuman (202) 343-1717, Chief Privacy 
Officer, Privacy Office, Department of Homeland Security, Washington, 
DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS) proposes to update and reissue 
the current DHS system of records titled, ``DHS/ALL-020 Department of 
Homeland Security Internal Affairs System of Records,'' last published 
at 73 FR 221 (Nov. 14, 2008). The existing Internal Affairs System of 
Records Notice specifies that DHS collects and maintains records of 
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 
OIG that are covered by DHS/OIG-002 Investigations Data Management 
System of Records.
    In addition, this update will provide notice that DHS intends to 
retire a different system of records from its inventory because the 
Transportation Security Administration (TSA) no longer requires the 
system. The system DHS is retiring is DHS/TSA 005 Internal 
Investigation Record System, 69 FR 71828 (Dec. 10, 2004).
    To better reflect the Department's internal affairs records system 
and to support the issuance of the final rule entitled Standards To 
Prevent, Detect, and Respond to Sexual Abuse and Assault in Confinement 
Facilities (6 CFR Part 115), 79 FR 13100 (Mar. 7, 2014), DHS is 
updating the Department of Homeland Security Internal Affairs System of 
Records Notice to add a new category of individuals, new categories of 
records, an additional purpose for the system, new routine uses, and 
new record retention periods.

DHS Standards To Prevent, Detect, and Respond to Sexual Abuse and 
Assault in Confinement Facilities

    Consistent with the Prison Rape Elimination Act of 2003 (PREA) (42 
U.S.C. Sec.  15601 et seq.) and the Violence Against Women 
Reauthorization Act of 2013 (Pub. L. 113-4), DHS issued a final rule 
titled DHS Standards To Prevent, Detect, and Respond to Sexual Abuse 
and Assault in Confinement Facilities, (hereinafter, DHS PREA rule). 
The DHS PREA rule establishes standards to prevent, detect, and respond 
to sexual abuse and assault in DHS confinement facilities. The rule 
includes separate sets of standards tailored to two different types of 
confinement facilities used by DHS: (1) Immigration detention 
facilities, which Immigration and Customs Enforcement (ICE) oversees 
and uses for longer-term detention of individuals subject to 
immigration removal processes; and (2) holding facilities, which ICE 
and U.S. Customs and Border Protection (CBP) use for temporary 
detention of individuals pending release from custody or transfer to a 
court, jail, prison, another agency, or another unit of the facility or 
agency.
    The DHS PREA rule addresses mechanisms for individuals in DHS 
immigration detention or holding facilities to report to DHS incidents 
of sexual assault and abuse committed by DHS staff or other individuals 
in facilities. It also standardizes the collection and maintenance of 
information about known or alleged incidents of sexual assault and 
abuse. For additional information on the DHS PREA rule, see 6 CFR Part 
115. The DHS/ALL-020 Internal Affairs SORN is being updated to provide 
coverage for records that will be generated by DHS in fulfilling its 
responsibilities under this new regulation.

Joint Integrity Case Management System

    The Joint Integrity Case Management System (JICMS) is a customized 
application that CBP Office of Internal Affairs (IA), CBP Labor and 
Employee Relations (LER), ICE Office of Professional Responsibility 
(OPR), and ICE Employee and Labor Relations (ELR) use. ICE and CBP 
developed it for joint use to record misconduct, to conduct criminal 
and administrative investigations, and to track disciplinary actions. 
JICMS allows for a streamlined, integrated allegation and discipline 
tracking system for designated users. JICMS records continue to be 
included in this system of records and are covered by the DHS/ALL-020 
Internal Affairs SORN.

ICE OPR Inspections

    ICE's OPR inspects and reviews ICE offices, operations, and 
processes to provide ICE executive management with an independent 
review of the agency's organizational health, as well as an assessment 
of how effectively and efficiently ICE carries out its mission. This 
includes evaluating detention facilities' compliance with ICE's 
detention standards. OPR conducts investigations of events in detention 
facilities, such as detainee deaths, allegations involving violations 
of civil rights and civil liberties, or non-compliance with detention 
standards. Records of these functions are currently covered by the DHS/
ALL-020 Internal Affairs SORN to the extent information is retrieved by 
name or personal identifier, but the category of records has been 
revised to make this more explicit.

Changes to the Purpose Statement, Categories of Records, and Categories 
of Individuals

    As described above, DHS is updating this SORN to address new 
records created by implementation of the DHS PREA rule and records 
created by ICE OPR and CBP IA when executing their oversight 
responsibilities. The purpose statement of this SORN also adds ICE OPR 
inspections and reviews (described

[[Page 23363]]

above) to the types of internal affairs matters covered and accordingly 
is now broader to cover a range of internal affairs matters, such as 
internal compliance with laws, regulations, and policies about the 
overall purpose of internal affairs functions within DHS.
    There are other changes in the category of records to provide 
clarity and completeness, such as specifically listing Alien 
Registration Numbers as a record category and revising the description 
of ``investigative reports'' to the more specific ``investigative 
records of a criminal, civil, or administrative nature.''
    DHS is modifying the category of individuals section to provide a 
more comprehensive list of the types of individuals who may be subject 
to or involved in internal affairs matters. These include individuals 
held by DHS in confinement or detention facilities as well as 
individuals encountered, arrested, or detained by DHS or held in DHS 
custody pending removal or removal proceedings under the Immigration 
and Nationality Act (INA) (Pub. L. 82-414). The system also includes 
the personally identifiable information (PII) of individuals who make 
allegations of sexual assault and abuse in DHS confinement facilities 
and individuals whose PII is provided in such allegations or over the 
course of any resulting investigation, including witnesses to the 
alleged incident or alleged abusers.

Changes to Routine Uses

    DHS is revising the routine uses to improve clarity, and adding 
several new routine uses, including routine use U, which authorizes DHS 
to notify a victim following an investigation into an allegation of 
sexual abuse or assault of the result of the investigation, in 
accordance with the DHS PREA rule. Below is a general summary of all 
new routine uses and their corresponding letters. The actual routine 
uses appear in the notice.
    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 against DHS, its employees, 
contractors, offices, or Components.
    O. To federal, state, local, tribal, territorial, foreign, or 
international agencies concerning the hiring or retention of an 
individual, or issuance of a security clearance, license, contract, 
grant, or other benefit when failure to disclose the information is 
likely to create a risk to public safety or to other specified 
interests;
    P. To the Office of Personnel Management (OPM) to refer an 
individual who has applied for federal employment when there is 
falsification, deception, or fraud in the application process; or when 
suitability evaluation indicates a government-wide debarment should be 
imposed pursuant to 5 CFR Part 731;
    Q. To a former employee of DHS for purposes of responding to an 
official inquiry or facilitating communications with a former employee 
that may be relevant for personnel-related or other official purposes;
    R. To federal, state, local, tribal, territorial, international, or 
foreign government agencies to assist in making a determination 
regarding a complaint or other form of redress; to verify the identity 
of an individual seeking redress; or to verify the accuracy of 
information submitted by an individual on behalf of another individual;
    S. To third parties, but only that information relevant and 
necessary, to effectuate or to carry out a particular redress result by 
that third party; and
    T. To notify a victim, pursuant to 6 CFR Section 115.73, following 
an investigation into an allegation of sexual abuse or assault, of the 
result of the investigation and of any responsive actions taken.
    U. To notify or provide a victim or complainant of the progress or 
results of an investigation relating to an integrity, disciplinary 
inquiry, review, or inspection complaint relating to an integrity, 
disciplinary inquiry, review, or inspection complaint.
    V. To federal, state, local, tribal, territorial, foreign, 
international agencies or transportation operators, when relevant or 
necessary to: (1) Ensure safety and security; (2) enforce safety and 
security-related regulations and requirements to assess and distribute 
intelligence or law enforcement information related to security; (3) 
assess and respond to threats; (4) oversee the implementation and 
ensure the adequacy of security measures at facilities; (5) plan and 
coordinate any actions or activities that may affect safety, security, 
or the operations of facilities; or (6) issue, maintain, or review a 
license, certificate, contract, grant, or other benefit.
    Information stored in the DHS/ALL-020 Internal Affairs system of 
records may be shared with DHS components that have a need to know the 
information to carry out their national security, law enforcement, 
immigration, intelligence, or other homeland security functions. In 
addition, consistent with DHS's information sharing mission, 
information may be shared with appropriate federal, state, local, 
tribal, territorial, foreign, or international government agencies 
consistent with the routine uses set forth in this system of records 
notice.

Changes to Record Retention

    Changes to the retention period for the Department's internal 
affairs record systems are pending review and approval. DHS proposes 
that investigative, inspection, and allegation-related files be 
maintained for five years after the related case is closed. Records 
would then be transferred to the Federal Records Center (FRC) and 
destroyed 25 years after the date of closure for investigative files 
and 10 years after the date of closure for inspection and allegation-
related files. Review files would be maintained for 10 years after the 
related case is closed, and then be transferred to the FRC and retained 
permanently. Sexual abuse and assault files and reports would be 
maintained in a secure location for 10 years after the end of the 
fiscal year in which the related case closed. Records then would be 
transferred to the FRC and destroyed 20 years after the end of the 
fiscal year in which the case closed.
    During the course of adjudicating a complaint, records or 
information from other systems of records may become part of, merged 
with, or recompiled within this system. This system may contain records 
or information compiled from or based on information contained in other 
systems of records that are exempt from certain provisions of the 
Privacy Act. To the extent this occurs, DHS will claim the same 
exemptions as were claimed for the original systems from which the 
recompiled records, material, or information were obtained. Such exempt 
records or information are likely to include law enforcement or 
investigation records, law enforcement encounter records, or possibly 
intelligence-related information or terrorist screening records. These 
could come from various DHS systems, such as TECS (DHS/CBP-011--U.S. 
Customs and Border Protection TECS, 73 FR 77778 (Dec. 19, 2008)) or 
from other agency systems. Such records adhere to the protections 
described in the underlying system and are safeguarded accordingly. The 
originating agency consults with OPR prior to further disclosure of any 
such information.

II. Privacy Act

    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the United States Government

[[Page 23364]]

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 when 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 contained in 
each system in order to make agency recordkeeping 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 DHS 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:
    DHS/ALL-020 Department of Homeland Security Internal Affairs.

Security classification:
    Unclassified.

System location:
    Records are maintained at several Headquarters locations and in 
component offices of the Department of Homeland Security (DHS), in both 
Washington, DC, and field locations.

Categories of individuals covered by the system:
    Any individual who is subject to or involved in an internal 
integrity or disciplinary inquiry, or an internal review, inspection, 
or investigation not handled by the DHS Office of the Inspector General 
(OIG). These individuals may be current or former DHS employees and 
contractors; contractor applicants; individuals serving in an advisory 
role; individuals held by DHS in confinement or detention facilities; 
individuals encountered, arrested, or detained by DHS or held in DHS 
custody pending removal or removal proceedings under the Immigration 
and Nationality Act (INA); individuals whose information is relevant to 
the investigation of alleged misconduct, including complainants, 
witnesses, or alleged perpetrators of sexual abuse or assault; or any 
other persons subject to or involved with the internal inquiries, 
reviews, inspections, or investigations described above.

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, 
Alien Registration number, addresses, contact information, duty 
station, grade, job series, and entrance on duty date;
     Allegations received and method received;
     Relevant information from background investigations;
     Relevant information from inspections, reviews, and 
inquiries, including records collected in response to an allegation of 
sexual abuse and assault;
     Integrity investigations records;
     Investigative records of a criminal, civil, or 
administrative nature;
     Incident location;
     Case agent/officer or supervisor;
     Case/prosecution status;
     Photographic images, videotapes, voiceprints, DVDs;
     Letters, emails, memoranda and reports;
     Exhibits, evidence, statements, and affidavits; and
     Any other information gathered in the course of or 
relating to an integrity or disciplinary inquiry, review, inspection, 
or investigation of a criminal, civil, or administrative nature, 
including reports generated on incidents of sexual abuse and assault.

Authority for maintenance of the system:
    5 U.S.C. Sec.  301; the Federal Records Act, 44 U.S.C. Sec.  3101; 
Executive Order 9397, as amended by Executive Order 13478.

Purpose(s):
    The purpose of this system is to collect and maintain records 
concerning internal affairs matters, specifically internal integrity or 
disciplinary inquiries, as well as internal reviews, inspections, or 
investigations conducted by DHS Headquarters or its components, except 
those conducted by OIG. This SORN is intended to support and protect 
the integrity of Departmental operations; to ensure compliance with 
applicable laws, regulations, and policies; and to ensure the integrity 
of DHS employees' conduct and those acting on behalf of DHS.

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. 
Sec.  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 (DOJ) (including Office of the 
United States Attorneys) 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 when DOJ or 
DHS has agreed to represent the employee; or
    4. The United States Government or any agency thereof.
    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 (NARA), the 
General Services Administration (GSA), or any other federal 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. DHS has determined that as a result of the suspected or 
confirmed compromise, there is a risk of identity theft or fraud, harm 
to economic or property interests, harm to an individual, or harm to 
the security or

[[Page 23365]]

integrity of this system or other systems or programs (whether 
maintained by DHS 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 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, when 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 federal, state, local, tribal, territorial, foreign, or 
international agencies if the information is relevant and necessary to 
a requesting agency's decision concerning the hiring or retention of an 
individual, or the issuance, grant, renewal, suspension, or revocation 
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.
    I. 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 against DHS, its employees, 
contractors, offices, or components.
    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 Jencks Act (18 U.S. 3500); Giglio 
v. United States, 405 U.S. 150 (1972); or Brady v. Maryland, 373 U.S. 
83 (1963) decisions.
    N. To management officials at federal, state, local, tribal, 
territorial, foreign, or international 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 federal, state, local, tribal, territorial, foreign, or 
international agencies if DHS determines: (1) The information is 
relevant and necessary to that agency's decision concerning the hiring 
or retention of an individual, or issuance of a security clearance, 
license, contract, grant, or other benefit, and (2) failure to disclose 
the information is likely to create a risk to government facilities, 
equipment, or personnel; sensitive information; critical 
infrastructure; or the public safety.
    P. To the Office of Personnel Management (OPM) to refer an 
individual who has applied for federal employment in cases when there 
is material, intentional falsification, deception, or fraud in the 
initial application or examination process; or when suitability 
evaluation indicates a government-wide debarment should be imposed 
pursuant to 5 CFR Part 731.
    Q. To a former employee of DHS for purposes of responding to an 
official inquiry by federal, state, local, tribal, or territorial 
government agencies or professional licensing authorities; or 
facilitating communications with a former employee that may be relevant 
and necessary for personnel-related or other official purposes when DHS 
requires information or consultation assistance from the former 
employee regarding a matter within that person's former area of 
responsibility.
    R. To federal, state, local, tribal, territorial, foreign or 
international government agencies, or entities for the purpose of 
consulting with that agency or entity: (1) To assist in making a 
determination regarding a complaint or other form of redress for an 
individual in connection with the operations of DHS employees, 
contractors, components, or programs; (2) to verify the identity of an 
individual seeking redress in connection with the operations of a DHS 
component or program; or (3) to verify the accuracy of information 
submitted by an individual who has requested such redress on behalf of 
another individual.
    S. To third parties lawfully authorized in connection with a 
federal government program, which is authorized by law, regulation, or 
rule, but only the information necessary and relevant to effectuate or 
to carry out a particular redress result for an individual and 
disclosure is appropriate to enable these third parties to carry out 
their responsibilities related to the federal government program.
    T. To notify a victim, pursuant to 6 CFR Section 115.73, following 
an investigation into an allegation of sexual abuse or assault, of the 
result of the investigation and of any responsive actions taken.
    U. To notify or provide a victim or complainant of information 
gathered on the progress or results of an investigation relating to an 
integrity, disciplinary inquiry, review, or inspection complaint.
    V. To federal, state, local, tribal, territorial, foreign, 
international agencies, or transportation operators, when relevant or 
necessary to: (1) Ensure safety and security; (2) enforce safety and 
security-related regulations and requirements to assess and distribute 
intelligence or law enforcement information related to security; (3) 
assess and respond to threats; (4) oversee the implementation and 
ensure the adequacy of security measures at facilities; (5) plan and 
coordinate any actions or activities that may affect safety, security, 
or the operations of facilities; or (6) issue, maintain, or review a 
license, certificate, contract, grant, or other benefit.
    W. To a federal agency or entity that furnished a record or 
information for the purpose of permitting that agency or entity to make 
a decision regarding access to or correction of the record or 
information.
    X. To a federal agency or entity that has information relevant to 
an allegation or investigation for purposes of obtaining guidance, 
additional information, or advice from such federal

[[Page 23366]]

agency or entity regarding the handling of this investigation, or to a 
federal agency or entity that was consulted during the processing of 
the allegation or investigation but that did not ultimately have 
relevant information.
    Y. 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 
may be stored on magnetic disc, tape, digital media, and CD-ROM.

Retrievability:
    Records may be retrieved by the individual's name, date of birth, 
Alien Registration Number, Social Security number, or other unique 
identifier.

Safeguards:
    DHS safeguards records in this system in accordance with applicable 
rules and policies, including all applicable DHS automated systems 
security and access policies. DHS imposes strict controls to minimize 
the risk of compromising the information that is being stored. DHS 
limits access to the records in this system 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:
    DHS is drafting a proposed records retention schedule for its 
internal affairs records. DHS proposes that investigative, inspection, 
and allegation-related files be maintained for five years after the 
related case is closed. Records would then be transferred to the 
Federal Records Center (FRC) and destroyed 25 years after the date of 
closure for investigative files and ten years after the date of closure 
for inspection and allegation-related files. Review files will be 
maintained for ten years after the related case is closed. Records 
would then be transferred to the FRC and retained permanently. Sexual 
abuse and assault files and reports would be maintained in a secure 
location for ten years after the end of the fiscal year in which the 
related case is closed. Records then would be transferred to the FRC 
and destroyed 20 years after the end of the fiscal year in which the 
case was closed.

System Manager and address:
    For Headquarters, the System Manager is the Chief Security Officer, 
Department of Homeland Security, Washington, DC 20528. For Components 
of DHS, the Chief Security Officer or component equivalent can be found 
at https://www.dhs.gov/department-components.

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 and 
Chief Freedom of Information Act Officer, Department of Homeland 
Security, 245 Murray Lane SW., Building 410, Mail Stop 0655, 
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. Sec.  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/foia or 1-866-431-0486. In addition you should provide the 
following:
     Explain 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 individuals who are the subject of the 
investigation or inquiry, employers, law enforcement organizations, 
detention facilities, members of the public, witnesses, educational 
institutions, government agencies, nongovernmental organizations, 
credit bureaus, references, neighborhood checks, confidential sources, 
medical service providers, personal interviews, photographic images, 
military, financial institutions, citizenship, and the personnel 
history and application forms of agency applicants, employees or 
contractors.

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)(4)(I), (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. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and 
(f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), and (k)(5).
    During the course of adjudicating a complaint, records or 
information from other systems of records may become part of, merged 
with, or recompiled within this system. This system may contain records 
or information compiled from or based on information contained

[[Page 23367]]

in other systems of records that are exempt from certain provisions of 
the Privacy Act. To the extent this occurs, DHS will claim the same 
exemptions as were claimed in the original systems from which the 
recompiled records, material, or information were obtained.

    Dated: April 2, 2014.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2014-09471 Filed 4-25-14; 8:45 am]
BILLING CODE 4410-11-P