Notice2022-12565
Privacy Act of 1974; System of Records
Primary source
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Published
June 13, 2022
Issuing agencies
Commerce Department
Abstract
In accordance with the Privacy Act of 1974, as amended (Privacy Act), and the Office of Management and Budget (OMB) Circular A-108, "Federal Agency Responsibilities for Review, Reporting, and Publication under the Privacy Act," the Department of Commerce (the Department) is issuing this notice of its intent to amend the system of records under "COMMERCE/DEPT-12, OIG Investigative Records" to change the system name to "COMMERCE/OIG-1, OIG Investigative Records," and to generally update the system's notice. This system of records is used by the Department's Office of Inspector General (OIG) to carry out its statutory responsibilities under the Inspector General Act of 1978, as amended (Inspector General Act) to conduct and supervise investigations, prevent and detect fraud, waste, mismanagement, and abuse, and promote economy, efficiency, and effectiveness in Department programs and operations. We invite public comment on the system amendments announced in this publication.
Full Text
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<title>Federal Register, Volume 87 Issue 113 (Monday, June 13, 2022)</title>
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[Federal Register Volume 87, Number 113 (Monday, June 13, 2022)]
[Notices]
[Pages 35723-35729]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-12565]
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DEPARTMENT OF COMMERCE
[Docket No. 220324-0077]
Privacy Act of 1974; System of Records
AGENCY: Department of Commerce, Office of Inspector General.
ACTION: Notice of a modified system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, as amended
(Privacy Act), and the Office of Management and Budget (OMB) Circular
A-108, ``Federal Agency Responsibilities for Review, Reporting, and
Publication under the Privacy Act,'' the Department of Commerce (the
Department) is issuing this notice of its intent to amend the system of
records under ``COMMERCE/DEPT-12, OIG Investigative Records'' to change
the system name to ``COMMERCE/OIG-1, OIG Investigative Records,'' and
to generally update the system's notice. This system of records is used
by the Department's Office of Inspector General (OIG) to carry out its
statutory responsibilities under the Inspector General Act of 1978, as
amended (Inspector General Act) to conduct and supervise
investigations, prevent and detect fraud, waste, mismanagement, and
abuse, and promote economy, efficiency, and effectiveness in Department
programs and operations. We invite public comment on the system
amendments announced in this publication.
DATES: This amended system of records will become effective upon
publication, subject to a 30-day comment period in which to comment on
new or amended routine uses. To be considered, written comments must be
submitted on or before July 13, 2022.
ADDRESSES: Please address comments to the Office of Inspector General
Office of Counsel, Room 7896, U.S. Department of Commerce, 1401
Constitution Avenue NW, Washington, DC 20230; by email to
<a href="/cdn-cgi/l/email-protection#a4ebede3e7cbd1cad7c1c8e4cbcdc38ac0cbc78ac3cbd2"><span class="__cf_email__" data-cfemail="d19e989692bea4bfa2b4bd91beb8b6ffb5beb2ffb6bea7">[email protected]</span></a>; or by facsimile to (202) 501-7335.
FOR FURTHER INFORMATION CONTACT: OIG Office of Counsel Phone: (202)
792-3317.
SUPPLEMENTARY INFORMATION: This notice announces several changes to the
system of records for OIG investigative records. The sections of the
system's notice to be updated are: System Name; Security
Classification; System Locations; Categories of Individuals Covered by
the System; Categories of Records in the System; Authority for
Maintenance of the System; Purposes; Routine Uses of Records Maintained
in the System; Storage; Safeguards; Retention and Disposal; System
Manager and Address; Record Access Procedures; Record Source
Categories; and System Exemptions. Newly proposed routine use (RU)
numbers 8 and 25 are being added to permit, respectively, disclosures
to the Office of Government Information Services (OGIS), National
Archives and Records Administration (NARA) in connection with OGIS's
responsibilities under the Freedom of Information Act, 5 U.S.C. 552,
and to public authorities for use in computer matching programs. In
addition, RU 21 is updated, and new RU 22 is added in accordance with
Office of Management and Budget (OMB) Memorandum M-17-12. This
amendment also moves part of existing RU 9 (COMMERCE/DEPT-12) (now RU
10) to a separately numbered new RU 5, with no substantive change, and
makes
[[Page 35724]]
clarifying changes to RUs numbered below as 1, 5, and 23. Throughout
the notice, this amendment makes other minor changes or administrative
edits, including the reordering of sections consistent with OMB
guidance, the deletion of RU 1 (COMMERCE/DEPT-12), which is duplicative
as encompassed by RU 10 (COMMERCE/DEPT-12) (now RU 11), and the
renumbering of RUs as needed to reflect that deletion as well as the
addition of the newly proposed RUs described above.
The changes are needed to ensure that the notice for this system of
records is up-to-date, accurate, and current, as required by the
Privacy Act. OMB Circular A-108 requires agencies to periodically
review systems of records notices for accuracy and completeness, paying
special attention to changes in the manner in which records are
organized, indexed, or retrieved that result in a change in the nature
or scope of these records. When any of the aforementioned changes
occur, the Privacy Act requires agencies to publish in the Federal
Register upon revision of a system of records, a notice that describes
the amendments to the system of records.
The Privacy Act also requires each agency that proposes to
establish a new system of records, or significantly modify an existing
system of records (such as by adding new routine uses), to provide
adequate advance notice of any such proposal to the OMB, the Committee
on Oversight and Reform of the House of Representatives, and the
Committee on Homeland Security and Governmental Affairs of the Senate
(5 U.S.C. 552a(r)). The purpose of providing the advance notice to OMB
and Congress is to permit an evaluation of the potential effect of the
proposal on the privacy and other rights of individuals. The Department
filed a report describing the amended system of records covered by this
notice with the Chair of the Senate Committee on Homeland Security and
Governmental Affairs, the Chair of the House Committee on Oversight and
Reform, and the Deputy Administrator of the Office of Information and
Regulatory Affairs, OMB, on March 29, 2022.
SYSTEM NAME AND NUMBER:
COMMERCE/OIG-1, OIG Investigative Records.
SECURITY CLASSIFICATION:
Controlled Unclassified Information (CUI).
SYSTEM LOCATIONS:
U.S. Department of Commerce, Office of Inspector General, 1401
Constitution Avenue NW, Washington, DC 20230, and U.S. Department of
Commerce, Office of Inspector General, regional and field offices.
SYSTEM MANAGER AND ADDRESS:
Assistant Inspector General for Investigations, Room 7886B, Office
of Inspector General, United States Department of Commerce, 1401
Constitution Ave. NW, Washington, DC 20230.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Inspector General Act of 1978, as amended, 5 U.S.C. App.
(Inspector General Act).
PURPOSE(S) OF THE SYSTEM:
The records contained in this system are used or are available for
use by the Office of Inspector General (OIG) to carry out its statutory
responsibilities under the Inspector General Act to conduct and
supervise investigations, prevent and detect fraud, waste,
mismanagement, and abuse, and promote economy, efficiency, and
effectiveness in the programs and operations of the Department of
Commerce (the Department). The records may be used in the course of
investigating individuals and entities suspected of criminal, civil, or
administrative misconduct and in supporting related judicial and
administrative proceedings or in conducting preliminary inquiries
undertaken to determine whether to commence an investigation.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
In connection with its investigative duties, OIG maintains records
in its records system on the following categories of individuals
insofar as they may be relevant to any investigation or preliminary
inquiry undertaken to determine whether to commence an investigation:
subjects of investigations; complainants; witnesses; confidential and
non-confidential informants; contractors; subcontractors; recipients of
Federal funds and their contractors/subcontractors and employees;
individuals interacting with Department employees or management;
current, former, and prospective Department employees; alleged
violators of Department rules and regulations; union officials;
individuals who are investigated and/or interviewed; persons suspected
of violations of administrative, civil, and/or criminal provisions;
grantees; sub-grantees; lessees; licensees; persons engaged in official
business with the Department; or other persons identified by OIG or by
other agencies, constituent units of the Department, and members of the
general public in connection with the authorized functions of the OIG.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains investigative reports and materials received,
gathered, or created regarding or supporting investigations, or
preliminary inquiries undertaken to determine whether to commence an
investigation, of administrative, civil, and criminal matters by OIG
and/or other Federal, State, local, tribal, territorial, non-
governmental, international, foreign regulatory, or foreign law
enforcement agencies or entities. Categories of records may include:
complaints; requests to investigate; information contained in criminal,
civil, or administrative referrals; statements from subjects and/or
witnesses; affidavits, transcripts, police reports, photographs, and/or
documents relative to a subject's prior criminal record; medical
records; accident reports; materials and intelligence information from
other governmental investigatory or law enforcement organizations;
information relative to the status of a particular complaint or
investigation, including any determination relative to criminal
prosecution, civil, or administrative action; general case management
documentation; subpoenas and evidence obtained in response to
subpoenas; evidence logs; pen registers; correspondence; personal
information, including financial, employment, and biometric data and
Social Security Numbers; forensic computer images; records of
investigation; and other data and evidence received, collected, or
generated by OIG's Office of Investigations while conducting its
official duties. Social Security Numbers are maintained in the system
pursuant to authority under the Inspector General Act and are collected
or received and maintained in the system as necessary by OIG to carry
out its statutory responsibilities under the Inspector General Act.
RECORD SOURCE CATEGORIES:
As described below in ``Exemptions Promulgated for the System,''
the OIG claims an exemption from disclosure of record source categories
under 5 U.S.C. 552a(e)(4)(I). Notwithstanding the foregoing, OIG may
collect information from a wide variety of sources, including
information from the Department and other Federal, State, and local
agencies, subjects, witnesses, complainants, victims, confidential and
non-confidential sources, individuals, and non-governmental entities.
[[Page 35725]]
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), all or a portion of the records or information contained in
this system may be disclosed to authorized individuals and/or entities,
as is determined to be compatible with the purposes for which the
record was collected, as a routine use pursuant to 5 U.S.C. 552a(b)(3)
as follows:
1. In the course of presenting evidence to a court, magistrate, or
administrative tribunal, including disclosures to duly-authorized
investigators or opposing parties in the course of discovery or
settlement negotiations.
2. To a Member of Congress submitting a request involving an
individual when the individual has requested assistance from the Member
with respect to the subject matter of the record.
3. To the Office of Management and Budget (OMB) in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19 at any stage of the legislative coordination and clearance
process as set forth in that Circular.
4. To the Department of Justice (DOJ) or any other Federal agency
that has an interest in the record in connection with determining
whether disclosure thereof is required by the Freedom of Information
Act (5 U.S.C. 552) (FOIA).
5. To DOJ or any other Federal agency, to the extent necessary to
obtain their advice on any matter relevant to an OIG investigation,
including matters concerning the FOIA and the Privacy Act (5 U.S.C.
552a).
6. To the Office of Personnel Management (OPM) for personnel
research purposes; as a data source for management information; for the
production of summary descriptive statistics and analytical studies in
support of the function for which the records are collected and
maintained; or for related manpower studies.
7. To the General Services Administration (GSA) or the National
Archives and Records Administration (NARA) during an inspection of
records conducted by GSA or NARA under the authority of 44 U.S.C. 2904
and 2906. Such disclosure shall be made in accordance with the GSA or
NARA regulations governing inspection of records for this purpose and
any other relevant (i.e., GSA, NARA, or Department) directive. Such
disclosure shall not be used to make determinations about individuals.
8. To the Office of Government Information Services (OGIS), NARA,
to the extent necessary to fulfill its responsibilities in 5 U.S.C.
552(h) to review administrative policies, procedures, and compliance
with the FOIA, and to facilitate OGIS' offering of mediation services
to resolve disputes between persons making FOIA requests and
administrative agencies.
9. To the appropriate agency or entity, whether Federal, State,
local, tribal, territorial, foreign, or international, charged with the
responsibility for investigating or prosecuting a violation of any law,
rule, regulation, or order. Routine use for law enforcement purposes
also includes disclosure to individuals or to agencies, whether
Federal, State, local, tribal, territorial, foreign, or international,
when necessary to further the ends of an investigation.
10. To the DOJ or any other Federal agency that is responsible for
representing Department interests in connection with judicial,
administrative, or other proceedings. This includes circumstances in
which:
(1) the Department or OIG, or any component thereof;
(2) any employee of the Department or OIG in his or her official
capacity;
(3) any employee of the Department or OIG in his or her individual
capacity, where DOJ or any other agency that is responsible for
representing Department interests has agreed to represent or is
considering a request to represent the employee; or
(4) the United States, or any of its components, is a party to a
pending or potential judicial, administrative, or other proceeding or
has an interest in such proceeding; the Department or OIG is likely to
be affected by the proceeding; or the Department or OIG determines that
the use of such records by the DOJ or any other Federal agency that is
responsible for representing Department interests is relevant and
necessary to the proceeding.
11. To any source from which additional information is requested in
order to obtain information relevant to: A decision by either the
Department or OIG concerning the hiring, assignment, or retention of an
individual or other personnel action; the issuance, renewal, retention,
or revocation of a security clearance; the execution of a security or
suitability investigation; the letting of a contract; or the issuance,
retention, or revocation of a license, grant, award, contract, or other
benefit to the extent the information is relevant and necessary to a
decision by the Department or OIG on the matter.
12. To a Federal, State, local, tribal, territorial, foreign,
international, or other public authority in response to its request in
connection with: The hiring, assignment, or retention of an individual;
the issuance, renewal, retention, or revocation of a security
clearance; the reporting of an investigation of an individual; the
execution of a security or suitability investigation; the letting of a
contract; or the issuance, retention, or revocation of a license,
grant, award, contract, or other benefit conferred by that entity to
the extent that the information is relevant and necessary to the
requesting entity's decision on the matter.
13. In the event that a record, either by itself or in combination
with other information, indicates a violation or potential violation of
law or contract, whether civil, criminal or regulatory in nature, and
whether arising by general statute or particular program statute or
contract, or rule, regulation, or order issued pursuant thereto, or the
necessity to protect an interest of the Department or OIG, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency or entity, whether federal, state, local,
tribal, territorial, or foreign, or international, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute or contract, or
rule, regulation or order issued pursuant thereto, or protecting the
interest of the Department or OIG.
14. To any source from which additional information is requested,
either private or governmental, to the extent necessary to solicit
information relevant to any investigation, audit, or evaluation.
15. To a foreign government or international organization pursuant
to an international treaty, convention, implementing legislation, or
executive agreement entered into by the United States.
16. To contractors, grantees, consultants, or volunteers performing
or working on a contract, service, grant, cooperative agreement, job,
or other activity for the Department or OIG, who have a need to access
the information in the performance of their duties or activities. When
appropriate, recipients will be required to comply with the
requirements of the Privacy Act as provided in 5 U.S.C. 552a(m).
17. To representatives of OPM, the Office of Special Counsel, the
Merit Systems Protection Board, the Federal Labor Relations Authority,
the Equal Employment Opportunity Commission, the Office of Government
Ethics, and
[[Page 35726]]
other Federal agencies in connection with their efforts to carry out
their responsibilities to conduct examinations, investigations, and/or
settlement efforts, in connection with administrative grievances,
complaints, claims, or appeals filed by an employee, or as may be
authorized by law.
18. To a grand jury agent pursuant to a Federal or State grand jury
subpoena or to a prosecution request that such record be released for
the purpose of its introduction to a grand jury.
19. To the Departments of the Treasury and Justice in circumstances
in which OIG seeks to obtain, or has in fact obtained, an ex parte
court order to obtain tax return information from the Internal Revenue
Service.
20. To any Federal official charged with the responsibility to
conduct qualitative assessment reviews of internal safeguards and
management procedures employed in investigative operations for purposes
of reporting to the President and Congress on the activities of OIG.
This disclosure category includes other Federal Offices of Inspectors
General and members of the Council of the Inspectors General on
Integrity and Efficiency, and officials and administrative staff within
their investigative chain of command, as well as authorized officials
of DOJ and its component, the Federal Bureau of Investigation.
21. To appropriate agencies, entities, and persons when (1) the
Department or the OIG suspects or has confirmed that there has been a
breach of the system of records; (2) the Department or the OIG has
determined that as a result of the suspected or confirmed breach there
is a risk of harm to individuals, the Department, the OIG (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 the Department's or OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm.
22. To another Federal agency or Federal entity, when the OIG
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.
23. To the public or to the media for release to the public when
(1) the matter under investigation has become public knowledge or the
Inspector General determines that such disclosure is necessary to
preserve confidence in the integrity of the Inspector General audit,
inspection, review, or investigative process, or is necessary to
demonstrate the accountability of Department employees, officers, or
individuals covered by the system; and (2) the Inspector General, after
receipt of a written recommendation from Counsel to the Inspector
General, makes a written determination that the release of the specific
information in the context of a particular case would not constitute an
unwarranted invasion of personal privacy.
24. To Congress, congressional committees, or the staffs thereof,
in order to fulfill the Inspector General's responsibility, as mandated
by the Inspector General Act, to keep the Congress fully and currently
informed concerning fraud and other serious problems, abuses, and
deficiencies concerning the administration of programs and operations
administered or financed by the Department.
25. To a Federal, State, local, or foreign agency, or other public
authority, for use in computer matching programs or similar activities,
as authorized by the Inspector General Act, to prevent and detect
fraud, waste, and abuse and to support civil and criminal law
enforcement activities of any agency or its components.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Paper records and other media (photographs, audio recording,
diskettes, CDs, etc.) are kept in limited-access areas during duty
hours, which are locked during nonduty hours. Electronic records are
maintained on servers, which house OIG's case management system and
electronic discovery tool. Servers are maintained in a secured,
restricted-area facility.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Electronic searches may be performed by search criteria that
include case numbers, names of individuals or organizations, and other
key word search variations. Paper records are retrieved by indices
cross-referenced to file numbers.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are retained and disposed of in accordance with OIG Records
Retention Schedules approved by NARA.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Paper records are kept in limited-access areas during duty hours
and in locked offices during nonduty hours, and are used only by
authorized, screened personnel. Electronic records are stored on
servers maintained in a locked facility that is secured at all times by
security systems and video cameras. Data in the system are encrypted
and password protected. Access to electronic records is restricted to
OIG staff and contractors individually authorized to access the case
management or electronic discovery system. Passwords are changed
periodically, in accordance with OIG policy. Backup tapes are stored in
a locked and controlled room in a secure off-site facility.
RECORD ACCESS PROCEDURES:
The Inspector General has exempted this system from the access
procedures of the Privacy Act.
CONTESTING RECORD PROCEDURES:
The Inspector General has exempted this system from the contest
procedures of the Privacy Act.
NOTIFICATION PROCEDURES:
The Inspector General has exempted this system from the procedures
of the Privacy Act relating to individuals' requests for notification
of the existence of records on themselves.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Under 5 U.S.C. 552a(j)(2), the head of any agency may exempt any
system of records within the agency from certain provisions of the
Privacy Act, if the agency or component that maintains the system
performs as its principal function any activities pertaining to the
enforcement of criminal laws. The Inspector General Act mandates that
the Inspector General recommend policies for, and conduct, supervise
and coordinate activities in the Department and between the Department
and other Federal, State, and local government agencies with respect to
all matters relating to the prevention and detection of fraud in
programs and operations administered or financed by the Department, and
to the identification and prosecution of participants in such fraud.
Under the Inspector General Act, whenever the Inspector General has
reasonable grounds to believe there has been a violation of Federal
criminal law, the Inspector General must report the matter
expeditiously to the Attorney General. In addition to these principal
functions pertaining to the enforcement of criminal laws, the Inspector
General
[[Page 35727]]
may receive and investigate complaints on information from various
sources concerning the possible existence of activities constituting
violations of law, rules, or regulations, or mismanagement, gross waste
of funds, abuses of authority, or substantial and specific danger to
the public health and safety. The provisions of the Privacy Act from
which exemptions are claimed under 5 U.S.C. 552a(j)(2) are as follows:
5 U.S.C. 552a(c)(3) and (4); 5 U.S.C. 552a(d); 5 U.S.C. 552a(e)(1), (2)
and (3); 5 U.S.C. 552a(e)(4)(G), (H), and (I); 5 U.S.C. 552a(e)(5) and
(8); 5 U.S.C. 552a(f); and 5 U.S.C. 552a(g).
To the extent that the exemption under 5 U.S.C. 552a(j)(2) is held
to be invalid, then the exemptions under 5 U.S.C. 552a(k)(1), (k)(2),
and (k)(5) are claimed for all material which meets the criteria of
these three subsections.
The provisions of the Privacy Act from which exemptions are claimed
under 5 U.S.C. 552a(k)(1), (k)(2) and (k)(5) are as follows: 5 U.S.C.
552a(c)(3); 5 U.S.C. 552a(d); 5 U.S.C. 552a(e)(1); 5 U.S.C.
552a(e)(4)(G), (H), and (I); and 5 U.S.C. 552a(f).
Reasons for exemptions: In general, the exemption of this
information and material is necessary to accomplish the law enforcement
function of the Office of Inspector General, 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. Additional details are as follows:
Reasons for exemptions under 5 U.S.C. 552a(j)(2) and (k)(2):
(1) 5 U.S.C. 552a(c)(3) requires that upon request, an agency must
give an individual named in a record an accounting which reflects the
disclosure of the record to other persons or agencies. This accounting
must state the date, nature, and purpose of each disclosure of the
record and the name and address of the recipient. The application of
this provision would alert subjects of an investigation to the
existence of the investigation and that such persons are subjects of
that investigation. Since release of such information to subjects of an
investigation would provide the subjects with significant information
concerning the nature of the investigation, it could result in the
altering or destruction of documentary evidence, improper influencing
of witnesses, and other activities that could impede or compromise the
investigation. More broadly, the application of this provision could
reveal the OIG's investigative interests, which could compromise those
investigative interests. Application of this provision could also
disclose the confidentiality or privacy interests of others.
(2) 5 U.S.C. 552a(c)(4), (d), (e)(4)(G) and (H), (f) and (g) relate
to an individual's right to be notified of the existence of records
pertaining to such individual; requirements for identifying an
individual who requests access to records; the agency procedures
relating to access to records and the contest of information contained
in such records; and the civil remedies available to the individual in
the event of adverse determinations by an agency concerning access to
or amendment of information contained in records systems. This system
is exempt from the foregoing provisions for the reasons set forth in
this paragraph. Notifying an individual at the individual's request of
the existence of investigative records pertaining to such individual,
or granting 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 of confidential sources, reveal confidential information
supplied by these sources, and disclose investigative techniques and
procedures.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the
categories of sources of records in each system of records. The
application of this provision could require disclosure of investigative
techniques and procedures and cause sources to refrain from giving such
information because of fear of reprisal, or fear of breach of promises
of anonymity and confidentiality. This would compromise the ability to
conduct investigations, and to identify, detect, and apprehend
violators.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant and
necessary to accomplish a purpose of the agency required by statute or
Executive Order. An exemption from the foregoing is needed:
a. Because it is not possible to determine relevance or necessity
of specific information in the early stages of a criminal or other
investigation.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violations of laws other than those within
the scope of his or her jurisdiction. In the interest of effective law
enforcement, the Inspector General should retain this information as it
may aid in establishing patterns of criminal activity and provide leads
for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining other forms of evidence
during an investigation, information may be supplied to the
investigator which relates to matters incidental to the main purpose of
the investigation, but which may relate to matters under the
investigative jurisdiction of another agency. Such information cannot
readily be segregated.
(5) 5 U.S.C. 552a(e)(2) requires an agency to collect information
to the greatest extent practicable directly from the subject individual
when the information may result in adverse determinations about an
individual's rights, benefits, and privileges under Federal programs.
The application of the provision would impair investigations of illegal
acts, violations of the rules of conduct, merit system, and any other
misconduct for the following reasons:
a. In certain instances the subject of an investigation cannot be
required to supply information to investigators. In those instances,
information relating to a subject's illegal acts, violations of rules
of conduct, or any other misconduct, etc., must be obtained from other
sources.
b. Most information collected about an individual under
investigation is obtained from third parties such as witnesses and
informers. It is not feasible to rely upon the subject of the
investigation as a source for information regarding his or her
activities.
c. The subject of an investigation will be alerted to the existence
of an investigation if any attempt is made to obtain information from
the subject. This could afford the individual the opportunity to
conceal any criminal activities to avoid apprehension.
d. In any investigation, it is necessary to obtain evidence from a
variety of sources other than the subject of the investigation to
verify the evidence necessary for successful litigation.
(6) 5 U.S.C. 552a(e)(3) requires that an agency must inform an
individual who is asked to supply information of:
a. The authority under which the information is sought and whether
[[Page 35728]]
disclosure of the information is mandatory or voluntary,
b. The purposes for which the information is intended to be used,
c. The routine uses which may be made of the information, and
d. The effects on the individual, if any, of not providing the
requested information. The reasons for exempting this system of records
from the foregoing provision are as follows:
(i) The disclosure to the subject of the investigation as stated in
(b) above would provide the subject with substantial information
relating to the nature of the investigation and could impede or
compromise the investigation.
(ii) If the subject were informed of the information required by
this provision, it could seriously interfere with undercover activities
requiring disclosure of undercover agents' identity and impairing their
safety, as well as impairing the successful conclusion of the
investigation.
(iii) Individuals may be contacted during preliminary information-
gathering in investigations before any individual is identified as the
subject of an investigation. Informing the individual of the matters
required by this provision would hinder or adversely affect any present
or subsequent investigations.
(7) 5 U.S.C. 552a(e)(5) requires that records be maintained with
such accuracy, relevance, timeliness, and completeness as is reasonably
necessary to assure fairness to the individual in making any
determination about an individual. Because the law defines ``maintain''
to include the collection of information, complying with this provision
would prevent the collection of any data not shown to be accurate,
relevant, timely, and complete at the moment of its collection. In
gathering information during the course of an investigation it is not
possible to determine this prior to collection of the information.
Facts are first gathered and then placed into a logical order which
objectively proves or disproves criminal behavior on the part of the
suspect. Material which may seem unrelated, irrelevant, incomplete,
untimely, etc., may take on added meaning as an investigation
progresses. The restrictions in this provision could interfere with the
preparation of a complete investigative report.
(8) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable
efforts to serve notice on an individual when any record of such
individual is made available to any persons under compulsory legal
process when such process becomes a matter of public record. The notice
requirements of this provision could prematurely reveal an ongoing
criminal investigation to the subject of the investigation.
Reasons for exemptions under 5 U.S.C. 552a(k)(1):
(1) 5 U.S.C. 552a(c)(3) requires that upon request, an agency must
give an individual named in a record an accounting which reflects the
disclosure of the record to other persons or agencies. This accounting
must state the date, nature, and purpose of each disclosure of the
record and the name and address of the recipient. The application of
this provision would alert subjects of an investigation to the
existence of the investigation, and that such persons are subjects of
that investigation, information which if known might cause damage to
national defense or foreign policy.
(2) 5 U.S.C. 552a(d), (e)(4)(G) and (H), and (f) relate to an
individual's right to be notified of the existence of records
pertaining to such individual; requirements for identifying an
individual who requests access to records; and the agency procedures
relating to access to records and the contest of information contained
in such records. This system is exempt from the foregoing provisions
for the following reasons: 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 investigations undertaken in connection with national
security; or could disclose the identity of sources kept secret to
protect national defense or foreign policy or reveal confidential
information supplied by these sources.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the
categories of sources of records in each system of records. The
application of this provision could disclose the identity of sources
kept secret to protect national defense or foreign policy.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant and
necessary to accomplish a purpose of the agency required by statute or
Executive Order. An exemption from the foregoing is needed:
a. Because it is not possible to determine relevance or necessity
of specific information in the early stages of an investigation
involving national defense or foreign policy matters.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violations of laws other than those within
the scope of his or her jurisdiction. In the interests of effective law
enforcement, the Inspector General should retain this information as it
may aid in establishing patterns of criminal activity and provide leads
for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining forms of evidence during
an investigation, information may be supplied to the investigator which
relate to matters incidental to the main purpose of the investigation,
but which may relate to matters under the investigative jurisdiction of
another agency. Such information cannot readily be segregated.
Reasons for exemptions under 5 U.S.C. 552a(k)(5):
(1) 5 U.S.C. 552a(c)(3) requires that upon request, an agency must
give an individual named in a record an accounting which reflects the
disclosure of the record to other persons or agencies. This accounting
must state the date, nature, and purpose of each disclosure of the
record and the name and address of the recipient. The application of
this provision would alert subjects of an investigation to the
existence of the investigation and that such persons are subjects of
that investigation. Since release of such information to subjects of an
investigation would provide the subject with significant information
concerning the nature of the investigation, it could result in the
altering or destruction of documentary evidence, improper influencing
of witnesses, and other activities that could impede or compromise the
investigation.
(2) 5 U.S.C. 552a(d), (e)(4)(G) and (H), and (f) relate to an
individual's right to be notified of the existence of records
pertaining to such individual; requirements for identifying an
individual who requests access to records; and the agency procedures
relating to access to records and the contest of information contained
in such records. This system is exempt from the foregoing provisions
for the reasons set forth in this paragraph. Notifying an individual at
the individual's request of the existence of investigative records
pertaining to such individual, or granting access to an investigative
file, could interfere with investigative and enforcement proceedings,
deprive co-defendants of a right to a fair trial or
[[Page 35729]]
other impartial adjudication, constitute an unwarranted invasion of
personal privacy of others, disclose the identity of confidential
sources and reveal confidential information supplied by these sources,
and disclose investigative techniques and procedures.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the
categories of sources of records in each system of records. The
application of this provision could disclose investigative techniques
and procedures and cause sources to refrain from giving such
information because of fear of reprisal, or fear of breach of promises
of anonymity and confidentiality. This would compromise the ability to
conduct investigations, and to make fair and objective decisions on
questions of suitability for Federal employment and related issues.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant and
necessary to accomplish a purpose of the agency required by statute or
Executive Order. An exemption from the foregoing is needed:
a. Because it is not possible to determine relevance or necessity
of specific information in the early stages of an investigation.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after that information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violations of laws other than those within
the scope of his or her jurisdiction. In the interest of effective law
enforcement, the Inspector General should retain this information as it
may aid in establishing patterns of criminal activity and provide leads
for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining other forms of evidence
during an investigation, information may be supplied to the
investigator which relate to matters incidental to the main purpose of
the investigation, but which may relate to matters under investigative
jurisdiction of another agency. Such information cannot readily be
segregated.
HISTORY:
80 FR 34887, June 18, 2015, Effective Date Notice.
80 FR 26217, May 7, 2015, Notice of Proposed Amendment.
77 FR 15038, March 14, 2012, Effective Date Notice.
77 FR 5234, February 2, 2012, Notice of Proposed Amendment.
77 FR 2692, January 19, 2012, Notice of Proposed Amendment.
March 29, 2022, Notice of New System of Record.
Jennifer Goode,
Department of Commerce, Deputy Director and Acting Chief Privacy
Officer, and Director of the Office of Privacy and Open Government.
[FR Doc. 2022-12565 Filed 6-10-22; 8:45 am]
BILLING CODE 3510-22-P
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</html>Indexed from Federal Register on June 13, 2022.
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.