[Federal Register Volume 70, Number 193 (Thursday, October 6, 2005)]
[Notices]
[Pages 58448-58451]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-20038]
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DEPARTMENT OF HOMELAND SECURITY
[DHS-2005-0066]
Office of Inspector General; Privacy Act of 1974; Systems of
Records
AGENCY: Office of Investigations, Office of Inspector General,
Department of Homeland Security.
ACTION: Notice of revised Privacy Act systems of records.
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SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Homeland Security Office of Inspector General is giving notice of a
revised and updated system of records titled, ``Investigations Data
Management System (IDMS).''
DATES: Comments must be received on or before November 7, 2005.
ADDRESSES: You may submit comments, identified by Docket Number DHS-
2005-0066, by one of the following methods:
EPA Federal Partner EDOCKET Web site: http://www.epa.gov/feddocket.
Follow instructions for submitting comments on the Web site. DHS has
joined the Environmental Protection Agency (EPA) online public docket
and comment system on its Partner Electronic Docket System (Partner
EDOCKET).
Federal eRulemaking Portal: http://www.regulations.gov. Follow the
instructions for submitting comments.
Fax: (202) 254-4285 (This is not a toll-free number).
Mail: Richard N. Reback, DHS, Office of Inspector General/STOP
2600, 245 Murray Drive, SW., Building 410, Washington, DC 20528.
Hand Delivery/Courier: Richard N. Reback, DHS, Office of Inspector
General/STOP 2600, 245 Murray Drive, SW., Building 410, 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 http://www.epa.gov/feddocket, including any personal
information provided.
Docket: For access to the docket to read background documents or
comments received, go to http://www.epa.gov/feddocket. You may also
access the Federal eRulemaking Portal at http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: Richard N. Reback, Department of
Homeland Security, Office of Inspector General/STOP 2600, 245 Murray
Drive, SW., Building 410, Washington, DC 20528 by telephone (202) 254-
4100 or facsimile (202) 254-4285; Nuala O'Connor Kelly, Chief Privacy
Officer, Department of Homeland Security, 601 S. 12th Street,
Arlington, VA 22202-4202 by telephone (571) 227-3813 or facsimile (571)
227-4171.
SUPPLEMENTARY INFORMATION:
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 personally identifiable
information. 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. 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
personally identifiable information is put, and to assist the
individual in finding such files within the agency.
The Department of Homeland Security (DHS), Office of Inspector
[[Page 58449]]
General (OIG) is updating and republishing a Privacy Act system of
records within OIG Headquarters for its investigative files. Pursuant
to the savings clause in the Homeland Security Act of 2002, Public Law
107-296, sec. 1512, 116 Stat. 2310 (Nov. 25, 2002) (6 U.S.C. 552), DHS
components and offices could continue to rely on completed
administrative actions after creation of the Department until those
actions were amended, modified, superseded, terminated, set aside, or
revoked. Two system notices previously supported the collection of
investigation information by the DHS OIG, FEMA/IG-1 (General
Investigative Files) and Treasury/DO .190 (Investigation Data
Management System). The DHS OIG is now updating and republishing under
its own nomenclature a system notice the Investigations Data Management
System to cover the same records previously covered by these legacy
system notices.
The DHS Inspector General is responsible for conducting and
supervising audits, investigations, and inspections relating to the
programs and operations of the Department. The OIG examines, evaluates
and, where necessary, critiques these operations and activities,
recommending ways for the Department to carry out its responsibilities
in the most effective, efficient, and economical manner possible.
The Investigations Data Management System (IDMS) allows the OIG to
receive and process allegations of violations of criminal, civil, or
administrative laws and regulations relating to DHS employees,
contractors and other individuals and entities associated with the DHS.
IDMS also allows the OIG to manage information provided during the
course of such investigations and, in the process, to facilitate its
management of investigations. Through the IDMS, the OIG can create a
record showing the disposition of allegations; track actions taken by
DHS management regarding misconduct; track legal actions taken after
referrals to the United States Department of Justice for prosecution;
provide a system for creating reporting statistical information; and
track OIG investigators' firearms qualification records and government
property records.
This system notice makes several changes to the existing record
systems on which DHS had been relying. It changes the address of the
system location, revises the routine uses to conform them more closely
to the needs and requirements of DHS, and more fully describes the
categories of individuals and of records that are maintained in IDMS.
In accordance with 5 U.S.C. 552a(r), a report of this revised
system of records has been provided to the Office of Management and
Budget (OMB) and to the Congress.
DHS-OIG-002
System name:
Department of Homeland Security (DHS) Office of Inspector General
(OIG) Investigations Data Management System (IDMS).
Security classification:
Classified, sensitive.
System location:
This system of records is located in the OIG Office of
Investigations 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 DHS;
United States Department of the Treasury, United States Department of
Justice, and Federal Emergency Management Administration legacy
employees; and persons whose association with current and former
employees relate to alleged violations which affect the integrity or
facilities of the DHS; and, (B) witnesses, complainants, confidential
or non-confidential informants, suspects, defendants, or parties who
have been identified by the DHS OIG, other DHS units, other agencies,
or members of the general public in connection with authorized OIG
functions; and DHS OIG Office of Investigations employees who are
required to qualify with firearms and receive government property.
Categories of records in the system:
Records include: (A) letters, memoranda, and other documents citing
complaints of alleged criminal or administrative misconduct; (B)
investigative files, which include: (1) Reports of investigation
resulting from allegations of misconduct or violations of law with
related exhibits, statements, affidavits, records or other pertinent
documents (including those obtained from other sources, such as
Federal, State, local, or foreign investigative or law enforcement
agencies and other government agencies) obtained during investigations;
(2) transcripts and documentation concerning requests and approval for
consensual (telephone and non-telephone) monitoring; (3) reports from
or to other law enforcement bodies; (4) prior criminal or non-criminal
records of individuals as they relate to investigations; (5) subpoenas
issued pursuant to OIG investigations and legal opinions, advice, and
other legal documents provided by agency counsel; (6) reports of
actions taken by management personnel regarding misconduct allegations
and reports of legal actions, including actions resulting from
violations of statutes referred to the United States Department of
Justice for prosecution; (7) records involving the disposition of
investigations and resulting agency actions (e.g., criminal
prosecutions, civil proceedings, administrative action); and (8) other
documentation and materials created during the course of or arising out
of OIG investigations; and (C) property records and Firearms and
Training qualification records for all OIG Office of Investigations
employees;
Records contain the name and/or other personal identifying
information for OIG Office of Investigations employees; names and other
personal identifying information for individuals who are investigated
or involved as complainants, witnesses, informants, or otherwise in OIG
investigations; and details relating to investigations and complaints,
such as the date of the complaint; case number(s); name of the
complainant; matters alleged; referral documents; research materials;
and other documentation.
Authority for maintenance of the system:
5 U.S.C.A. App. 3; 5 U.S.C. 301; 6 U.S.C. 101, 113(b), 555.
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 the DHS; monitor case
assignments, disposition, status, 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
United States Department of Justice
[[Page 58450]]
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; retrieve investigation results performed
on individuals covered in this system; provide a system for creating
and reporting statistical information; and to provide a system to track
OIG investigator's firearms qualification records and property records.
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 DHS 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 DHS becomes aware of an indication of a violation or
potential violation of such law or where required in response to a
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 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.
(E) 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 DHS OIG becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation or where DHS 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.
(F) 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.
(G) To the United States Department of Justice or other Federal
agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when: (a) DHS; (b) any employee of
DHS in his/her official capacity; (c) any employee of DHS in his/her
individual capacity where the Department of Justice or DHS has agreed
to represent the employee; or, (d) the United States or any agency
thereof, is a party to the litigation or has an interest in such
litigation.
(H) To third parties during the course of an investigation to the
extent necessary to obtain information pertinent to the investigation.
(I) 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.
(J) 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.
(K) To appropriate persons engaged in conducting and reviewing
internal and external peer reviews of the OIG to ensure adequate
internal safeguards and management procedures exist or to ensure that
auditing standards applicable to Government audits are applied and
followed.
(L) To the President's Council on Integrity and Efficiency (PCIE)
and other Federal agencies, 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 PCIE pursuant to Executive Order No. 12993.
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 on paper media and in digital or
other electronic form in a secure Local Area Network (LAN) server and/
or Wide Area Network (WAN) environment.
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 regional office designation.
SAFEGUARDS:
Information in this system is safeguarded in accordance with
applicable laws, rules and policies, including the DHS Information
Technology Security Program Handbook. All records are protected from
unauthorized access through appropriate administrative, physical, and
technical safeguards. These safeguards include restricting access to
authorized personnel who have a need-to-know and using locks and
password protection identification features. IDMS file areas are locked
at all times, and facilities are protected from the outside by security
personnel.
RETENTION AND DISPOSAL:
Investigative files are stored at OIG's Office of Investigations in
Washington, DC, and in OIG field offices. OIG is in the process of
developing a records retention schedule in conjunction with the
National Archives and Records Administration (NARA).
SYSTEM MANAGER(S) AND ADDRESSES:
The System Manager is the Assistant Inspector General for
Investigations, OIG Office of Investigations/STOP 2600, 245 Murray
Drive, SW., Building 410, Washington, DC 20528.
NOTIFICATION PROCEDURES:
To determine whether this system contains records relating to you,
write to the System Manager identified above.
RECORD ACCESS PROCEDURES:
Same as ``Notification Procedures'' above. Provide your full name
and a description of information that you seek, including the time
frame during which the record(s) may have been generated. Individuals
requesting access must comply with the Department of Homeland
Security's Privacy Act regulations on verification of identity (6 CFR
5.21(d)).
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; DHS
officials
[[Page 58451]]
and employees; employees of Federal, State, local, and foreign
agencies; and other persons and entities.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(j)(2) this system is exempt from the
following provisions of the Privacy Act: 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)(2) through (5); and (g). Pursuant to 5 U.S.C. 552a (k)(1), (k)(2)
and (k)(5), this system is 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), (e)(1), (e)(4)(G), (e)(4)(H), and (f).
Dated: September 26, 2005.
Nuala O'Connor Kelly,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 05-20038 Filed 10-5-05; 8:45 am]
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