Notice2021-22836
Privacy Act of 1974; System of Records
Primary source
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Published
October 21, 2021
Effective
November 22, 2021
Issuing agencies
Homeland Security Department
Abstract
In accordance with the Privacy Act of 1974, the U.S. Department of Homeland Security (DHS), Office of Inspector General (OIG), proposes to modify and reissue a current DHS system of records titled, "DHS/OIG-002 Investigative Records System of Records." This system of records allows DHS OIG to collect and maintain records related to alleged violations of criminal, civil, and administrative laws and regulations pertaining to DHS programs, operations, and employees, as well as contractors and other individuals and entities associated with DHS; monitor complaint and investigation assignments, status, disposition, and results; manage investigations and information provided during the course of such investigations; audit actions taken by DHS management regarding employee misconduct and other allegations; audit legal actions taken following referrals to the U.S. Department of Justice (DOJ) for criminal 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; and provide a system for calculating and reporting statistical information. DHS OIG is updating this system of records notice to provide notice of changes to the Authorities, Categories of Records, Record Source Categories, and Routine Uses. Additionally, DHS is issuing an updated Notice of Proposed Rulemaking to exempt this system of records from certain provisions of the Privacy Act, elsewhere in the Federal Register. This modified system will be included in DHS's inventory of record systems.
Full Text
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<title>Federal Register, Volume 86 Issue 201 (Thursday, October 21, 2021)</title>
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[Federal Register Volume 86, Number 201 (Thursday, October 21, 2021)]
[Notices]
[Pages 58292-58296]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-22836]
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DEPARTMENT OF HOMELAND SECURITY
[Docket No. DHS-2021-0041]
Privacy Act of 1974; System of Records
AGENCY: Office of Inspector General, U.S. Department of Homeland
Security.
ACTION: Notice of a modified Privacy Act system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, the U.S.
Department of Homeland Security (DHS), Office of Inspector General
(OIG), proposes to modify and reissue a current DHS system of records
titled, ``DHS/OIG-002 Investigative Records System of Records.'' This
system of records allows DHS OIG to collect and maintain records
related to alleged violations of criminal, civil, and administrative
laws and regulations pertaining to DHS programs, operations, and
employees, as well as contractors and other individuals and entities
associated with DHS; monitor complaint and investigation assignments,
status, disposition, and results; manage investigations and information
provided during the course of such investigations; audit actions taken
by DHS management regarding employee misconduct and other allegations;
audit legal actions taken following referrals to the U.S. Department of
Justice (DOJ) for criminal 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; and provide a
system for calculating and reporting statistical information. DHS OIG
is updating this system of records notice to provide notice of changes
to the Authorities, Categories of Records, Record Source Categories,
and Routine Uses. Additionally, DHS is issuing an updated Notice of
Proposed Rulemaking to exempt this system of records from certain
provisions of the Privacy Act, elsewhere in the Federal Register. This
modified system will be included in DHS's inventory of record systems.
DATES: Submit comments on or before November 22, 2021. This modified
system will be effective upon publication. New or modified routine uses
will be effective November 22, 2021.
ADDRESSES: You may submit comments, identified by docket number DHS-
2021-0041 by one of the following methods:
<bullet> Federal e-Rulemaking Portal: <a href="http://www.regulations.gov">http://www.regulations.gov</a>.
Follow the instructions for submitting comments.
<bullet> Fax: 202-343-4010.
<bullet> Mail: Lynn Parker Dupree, Chief Privacy Officer, Privacy
Office, U.S. Department of Homeland Security, Washington, DC 20528-
0655.
Instructions: All submissions received must include the agency name
and docket number DHS-2021-0041. All comments received will be posted
without change to <a href="http://www.regulations.gov">http://www.regulations.gov</a>, including any personal
information provided.
Docket: For access to the docket to read background documents or
comments received, go to <a href="http://www.regulations.gov">http://www.regulations.gov</a>.
FOR FURTHER INFORMATION CONTACT: For general and privacy questions,
please contact: Lynn Parker Dupree, (202) 343-1717, Chief Privacy
Officer, U.S. Department of Homeland Security, Washington, DC 20528-
0655.
SUPPLEMENTARY INFORMATION:
I. Background
The U.S. Department of Homeland Security (DHS), Office of Inspector
General (OIG), is modifying and reissuing this system of records notice
under the Privacy Act of 1974 (5 U.S.C. 552). DHS OIG is responsible
for a wide range of oversight functions, including to initiate,
conduct, supervise, and coordinate audits, investigations, inspections,
and other reviews relating to the programs and operations of DHS. DHS
OIG promotes economy, efficiency, and effectiveness within DHS and
prevents, detects, and investigates employee corruption, fraud, waste,
and abuse in its programs and operations. DHS OIG is responsible for
investigating allegations of criminal, civil, and administrative
misconduct involving DHS employees, contractors, grantees, and DHS
programs and activities. These investigations can result in criminal
prosecutions, fines, civil monetary penalties, and administrative
sanctions. While DHS OIG is operationally a part of DHS, it operates
independently of DHS and all offices within it.
The DHS/OIG-002 Investigative Records System of Records assists DHS
OIG with receiving and processing allegations of misconduct, including
violations of criminal and civil laws, as well as administrative
policies and regulations pertaining to DHS employees, contractors,
grantees, and other individuals and entities within DHS. The system
includes complaints and investigation-related files. DHS OIG manages
information provided during the course of its investigations to: Create
records showing dispositions of allegations; audit actions taken by DHS
management regarding employee misconduct; audit legal actions taken
following referrals to the U.S. Department of Justice (DOJ) for
criminal prosecution or civil action; calculate and report statistical
information; manage OIG investigators' training; and manage Government-
issued investigative property and other resources used for
investigative activities.
DHS OIG is modifying the DHS/OIG-002 Investigative Records System
of Records to update the Authorities, Categories of Records, Record
Source Categories, and Routine Uses. The Authorities section is being
updated to provide more precise statutes for collection: 6 U.S.C.
113(b); 6 U.S.C. 795; 6 U.S.C. 142; 6 U.S.C. 345; and the Inspector
General Act of 1978, as amended 5 U.S.C. App. Sec. Sec. 1-13. The
Categories of Records are being updated to include: (1) Information
obtained from social media; (2) video and photographic digital images;
(3) case administrative information (e.g., status, reference number,
method complaint received); (4) demographic information (e.g., gender,
race, ethnicity); and (5) other types of credentials (e.g., driver's
license, state ID, passport). The Categories of Records have also been
updated to clarify the types of relevant information from inspections,
reviews, and inquiries that may be collected.
The Record Source Categories has been updated to clarify that
records may be obtained from a variety of sources, to include:
Subjects, witnesses and others associated with investigations; other
DHS Components and Federal, state, local, nongovernmental and foreign
agencies; educational institutions; credit bureaus; medical service
providers; financial institutions; commercial
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sources; and open source or publicly available information.
Routine use (E) is being modified and a new routine use (F) is
being added to conform to Office of Management and Budget Memorandum M-
17-12. Routine use (P) was added to describe sharing required when
testing new technologies, under the approval of the Chief Privacy
Officer. In addition, a redundant routine use has been removed. All
subsequent routine uses have been renumbered to account for these
changes. Additionally, this notice includes non-substantive changes to
simplify the formatting and text of the previously published notice.
Consistent with DHS's information sharing mission, information
stored in the DHS/OIG-002 Investigative Records System of Records may
be shared with other DHS Components 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, DHS OIG may share information 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.
There will be no change to the Privacy Act exemptions currently in
place for this system of records and therefore they remain in effect.
This modified system will be included in DHS's inventory of record
systems.
II. Privacy Act
The Privacy Act codifies fair information practice principles in a
statutory framework governing the means by which Federal Government
agencies collect, maintain, use, and disseminate 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 U.S. citizens and lawful
permanent residents. Additionally, the Judicial Redress Act (JRA)
provides covered persons with a statutory right to make requests for
access and amendment to covered records, as defined by the JRA, along
with judicial review for denials of such requests. In addition, the JRA
prohibits disclosures of covered records, except as otherwise permitted
by the Privacy Act.
Below is the description of the DHS/OIG-002 Investigative Records
System of Records. In accordance with 5 U.S.C. 552a(r), DHS has
provided a report of this system of records to the Office of Management
and Budget and to Congress.
SYSTEM NAME AND NUMBER:
U.S. Department of Homeland Security (DHS)/Office of Inspector
General (OIG)-002 Investigative Records System of Records.
SECURITY CLASSIFICATION:
Classified, sensitive, unclassified.
SYSTEM LOCATION:
Records are maintained at the DHS OIG Headquarters in Washington,
DC and field offices. Generally, OIG maintains electronic records in
the OIG Enterprise Data System (EDS).
SYSTEM MANAGER(S):
Chief System Security Officer, U.S. Department of Homeland
Security, Office of Inspector General, Washington, DC 20528.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
6 U.S.C. 113(b); 6 U.S.C. 795; 6 U.S.C. 142; 6 U.S.C. 345; and the
Inspector General Act of 1978, as amended 5 U.S.C. App. Sec. Sec. 1-
13.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system is to collect and maintain records
concerning DHS OIG investigations, including allegations of misconduct,
violations of criminal, civil, and administrative laws and regulations
pertaining to DHS programs, operations, employees, contractors, and
other individuals or entities associated with DHS. This system of
records is intended to support and protect the integrity of DHS OIG
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.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Any individual filing complaints of or related to criminal, civil,
or administrative violations, including employee misconduct, fraud,
waste, or mismanagement; current or former DHS employees and
contractors; current or former employees of other federal agencies;
contractor applicants; contractors, grantees, and individuals whose
association with current and former employees relate to alleged
violations under investigation; witnesses, complainants, sources of
information, suspects, defendants, or parties who have been identified
by DHS OIG, other DHS Components, other agencies, or members of the
general public in connection with complaints, audits, inspections, and/
or investigations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records in this system include:
<bullet> Full name and aliases;
<bullet> Date of birth;
<bullet> Social Security number;
<bullet> Citizenship status;
<bullet> Driver's license, state ID, passport, or other government-
issued credential information;
<bullet> Demographic information (e.g., gender, race, ethnicity);
<bullet> Addresses;
<bullet> Contact information (e.g., phone numbers, email
addresses);
<bullet> Employment information (e.g., duty station, grade, job
series, entrance on duty date);
<bullet> Relevant information from background investigations;
<bullet> Education/training history;
<bullet> Medical history;
<bullet> Criminal history;
<bullet> Travel history, including passport information;
<bullet> Financial history;
<bullet> Relevant information from inspections, reviews, and
inquiries, including records collected in response to an allegation,
such as;
[cir] Government emails;
[cir] Time and attendance records;
[cir] Government credit card bills;
[cir] Building access logs;
[cir] Government phone bills/records;
[cir] Government property records;
[cir] Government travel records;
[cir] Computer forensic files;
[cir] Open source or publicly available information, such as social
media postings;
[cir] Police reports; and
[cir] 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;
<bullet> Investigative records of a criminal, civil, or
administrative nature;
<bullet> Biometrics;
<bullet> Letters, emails, memoranda, video, photograph and digital
images, and reports;
<bullet> Exhibits, evidence, statements, and affidavits;
<bullet> Relatives and associates;
<bullet> Allegations received and method received;
<bullet> Incident location/date;
<bullet> Case reference numbers;
<bullet> Case status;
<bullet> Case agent/officer or supervisor;
<bullet> Any other personal information relevant to the subject
matter of an OIG investigation; and
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<bullet> Investigative case files containing allegations and
complaints; witness statements; transcripts of electronic monitoring;
subpoenas and legal opinions and advice; reports of investigations
(ROI); and reports of criminal, civil, and administrative actions taken
as a result of the investigation.
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 records, financial institutions, free and for-purchase
commercial records, open source or publicly available information,
citizenship records, and the personnel history and application forms of
agency applicants, employees, or contractors. Records are also
collected from other DHS Components.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
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 the Department of Justice (DOJ), including the U.S. Attorneys
Offices, or other federal agencies conducting litigation or proceedings
before any court, adjudicative, or administrative body, when it is
relevant or 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 or former employee of DHS in his/her official
capacity;
3. Any employee or former employee of DHS in his/her individual
capacity, when DOJ or DHS has agreed to represent the employee; or
4. The United States 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) or
General Services Administration pursuant to records management
inspections being conducted under the authority of 44 U.S.C. secs. 2904
and 2906.
D. To an agency or organization 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 there has been a breach of the system of
records; (2) DHS has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals, DHS (including
its information systems, programs, and operations), the Federal
Government, or national security; 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
breach or to prevent, minimize, or remedy such harm.
F. To another federal agency or federal entity, when DHS determines
that information from this system of records is reasonably necessary to
assist the recipient agency or entity in (1) responding to a suspected
or confirmed breach or (2) preventing, minimizing, or remedying the
risk of harm to individuals, the recipient agency or entity (including
its information systems, programs, and operations), the Federal
Government, or national security, resulting from a suspected or
confirmed breach.
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 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.
I. To a federal, state, or local agency, or other appropriate
entity or individual, or through established liaison channels to
selected foreign governments, in order to provide intelligence,
counterintelligence, or antiterrorism activities authorized by U.S.
law, Executive Order, or other applicable national security directive
when the security of the borders which DHS is tasked with maintaining
are at risk of being compromised.
J. To international and foreign governmental authorities in
accordance with law and formal or informal international agreements.
K. To an appropriate federal, state, local, tribal, foreign, or
international agency, pursuant to a request, if the information is
relevant and necessary to a requesting agency's decision concerning the
hiring or retention of an individual or issues of a security clearance,
license, contract, grant, or other benefit, or if the information is
relevant and necessary to a DHS decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant, or other benefit and
when disclosure is appropriate to the proper performance of the
official duties of the person making the request.
L. 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.
M. To the Council of the Inspectors General on Integrity and
Efficiency (CIGIE) and other federal agencies, as necessary, if the
records respond to an audit, investigation, or review conducted
pursuant to an authorizing law, rule, or regulation, and in particular
those conducted at the request of the CIGIE's Integrity Committee
pursuant to statute.
N. To complainants and victims to the extent necessary to provide
such persons with information and explanations concerning the progress
or results of the investigation arising from the matters of which they
complained or of which they were a victim.
O. To appropriate federal, state, local, tribal, or foreign
governmental agencies or multilateral governmental organizations, with
the approval of the Chief Privacy Officer, when DHS is aware of a need
to use relevant data, that relate to the purpose(s) stated in this
SORN, for purposes of testing new technology.
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P. 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, when
disclosure is necessary to preserve confidence in the integrity of DHS,
or when disclosure is necessary to demonstrate the accountability of
DHS's officers, employees, or individuals covered by the system, except
to the extent the Chief Privacy Officer determines that release of the
specific information in the context of a particular case would
constitute a clearly unwarranted invasion of personal privacy.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
DHS OIG stores records in this system electronically or on paper in
secure facilities in a locked drawer behind a locked door. The records
may be stored on magnetic disc, tape, and digital media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
DHS OIG may retrieve records by the individual's name, date of
birth, Social Security number, or any other unique identifier listed
above.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records will be retained pursuant to DHS OIG National Archives and
Records Administration (NARA) retention schedule N1-563-07-5 (October
11, 2007). Complaint and investigative record files that involve
substantive information relating to national security or allegations
against senior DHS officials, that attract national media or
congressional attention, or that result in substantive changes in DHS
policies or procedures are permanent and are transferred to the NARA 20
years after completion of the investigation and all actions based
thereon. All other complaint and investigative record files are
destroyed 20 years after completion of the investigation and all
actions based thereon. Government issued investigative property records
and management reports are destroyed when no longer needed for business
purposes.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
DHS OIG safeguards records in this system according to applicable
rules and policies, including all applicable DHS automated systems
security and access policies. DHS OIG has imposed strict controls to
minimize the risk of compromising the information that is being stored.
Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information
for the performance of their official duties and who have appropriate
clearances or permissions.
RECORD ACCESS PROCEDURES:
The Secretary of Homeland Security has exempted this system from
certain notification, access, and amendment procedures of the Privacy
Act, and the Judicial Redress Act, if applicable. However, DHS will
consider individual requests to determine whether or not information
may be released. Thus, individuals seeking access to and notification
of any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the OIG Privacy
Officer and OIG Freedom of Information Act Officer, whose contact
information can be found at <a href="http://www.dhs.gov/foia">http://www.dhs.gov/foia</a> under ``Contact
Information.'' 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, U.S. Department of Homeland Security,
Washington, DC 20528-0655. Even if neither the Privacy Act nor the
Judicial Redress Act provide a right of access, certain records about
you may be available under the Freedom of Information Act.
When an individual is seeking records about himself or herself from
this system of records or any other Departmental system of records, the
individual's request must conform with the Privacy Act regulations set
forth in 6 CFR part 5. The individual must first verify his/her
identity, meaning that the individual must provide his/her full name,
current address, and date and place of birth. The individual must sign
the request, and the individual's signature must either be notarized or
submitted under 28 U.S.C. 1746, a law that permits statements to be
made under penalty of perjury as a substitute for notarization. While
no specific form is required, an individual may obtain forms for this
purpose from the Chief Privacy Officer and Chief Freedom of Information
Act Officer, <a href="http://www.dhs.gov/foia">http://www.dhs.gov/foia</a> or 1-866-431-0486. In addition,
the individual should:
<bullet> Explain why he or she believes the Department would have
information being requested;
<bullet> Identify which component(s) of the Department he or she
believes may have the information;
<bullet> Specify when the individual believes the records would
have been created; and
<bullet> Provide any other information that will help the staff
determine which DHS component agency may have responsive records;
If the request is seeking records pertaining to another living
individual, the request must include an authorization from the
individual whose record is being requested, authorizing the release to
the requester.
Without the above information, the component(s) may not be able to
conduct an effective search, and the individual's request may be denied
due to lack of specificity or lack of compliance with applicable
regulations.
CONTESTING RECORD PROCEDURES:
For records covered by the Privacy Act or covered JRA records,
individuals may make a request for amendment or correction of a record
of the Department about the individual by writing directly to the
Department component that maintains the record, unless the record is
not subject to amendment or correction. The request should identify
each particular record in question, state the amendment or correction
desired, and state why the individual believes that the record is not
accurate, relevant, timely, or complete. The individual may submit any
documentation that would be helpful. If the individual believes that
the same record is in more than one system of records, the request
should state that and be addressed to each component that maintains a
system of records containing the record.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
The Secretary of Homeland Security, pursuant to 5 U.S.C.
552a(j)(2), has exempted this system from the following provisions of
the Privacy Act: 5 U.S.C. 552a(c)(3), (c)(4); (d); (e)(1), (e)(2),
(e)(3), (e)(4)(G), (e)(4)(H), e)(4)(I), (e)(5), (e)(8), (f); and
(g)(1). Additionally, the Secretary of Homeland Security, pursuant to 5
U.S.C. 552a(k)(1), (k)(2), and (k)(5), has exempted this system from
the following provisions of the Privacy Act, 5 U.S.C. 552a(c)(3); (d);
(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).
[[Page 58296]]
HISTORY:
80 FR 44372 (July 27, 2015).
Lynn Parker Dupree,
Chief Privacy Officer, U.S. Department of Homeland Security.
[FR Doc. 2021-22836 Filed 10-20-21; 8:45 am]
BILLING CODE P
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.