Notice2022-12569
Privacy Act of 1974; System of Records
Primary source
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Published
June 17, 2022
Issuing agencies
Commerce Department
Abstract
This notice announces the Department of Commerce's (the Department) proposal to establish a new system of records entitled "COMMERCE/OIG-2, OIG Data Analytics Records," under the Privacy Act of 1974, as amended, and the Office of Management and Budget (OMB) Circular A-108, "Federal Agency Responsibilities for Review, Reporting, and Publication under the Privacy Act." This system of records will store individually identifying information gathered or created from existing systems of records maintained by the Department, other Department records, and private sources regarding or supporting Department operations. The new system will be used, primarily through data analytics techniques, to identify suspicious or fraudulent activity, internal control weaknesses, or otherwise to assist the Office of Inspector General (OIG) in the performance of its statutory duties under the Inspector General Act of 1978, as amended. We invite public comment on the new system announced in this publication.
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[Federal Register Volume 87, Number 117 (Friday, June 17, 2022)]
[Notices]
[Pages 36455-36460]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-12569]
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DEPARTMENT OF COMMERCE
[Docket No. 2203290081]
Privacy Act of 1974; System of Records
AGENCY: Office of the Inspector General, Department of Commerce.
ACTION: Notice of a new system of records.
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SUMMARY: This notice announces the Department of Commerce's (the
Department) proposal to establish a new system of records entitled
``COMMERCE/OIG-2, OIG Data Analytics Records,'' under the Privacy Act
of 1974, as amended, and the Office of Management and Budget (OMB)
Circular A-108, ``Federal Agency Responsibilities for Review,
Reporting, and Publication under the Privacy Act.'' This system of
records will store individually identifying information gathered or
created from existing systems of records maintained by the Department,
other Department records, and private sources regarding or supporting
Department operations. The new system will be used, primarily through
data analytics techniques, to identify suspicious or fraudulent
activity, internal control weaknesses, or otherwise to assist the
Office of Inspector General (OIG) in the performance of its statutory
duties under the Inspector General Act of 1978, as amended. We invite
public comment on the new system announced in this publication.
DATES: This new system of records will become effective upon
publication, subject to a 30-day comment period in which to comment on
routine uses. To be considered, written comments must be submitted on
or before July 18, 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#602f2927230f150e13050c200f09074e040f034e070f16"><span class="__cf_email__" data-cfemail="410e0806022e342f32242d012e28266f252e226f262e37">[email protected]</span></a>; or by facsimile to (202) 501-7335.
FOR FURTHER INFORMATION CONTACT: E. Wade Green, Jr., OIG Office of
Counsel, email: <a href="/cdn-cgi/l/email-protection#1b54525c58746e75687e775b74727c357f7478357c746d"><span class="__cf_email__" data-cfemail="76393f313519031805131a36191f115812191558111900">[email protected]</span></a>; or Phone: (202) 792-3317.
SUPPLEMENTARY INFORMATION: The Department is creating a new system of
records for OIG Data Analytics, entitled ``COMMERCE/OIG-2, OIG Data
Analytics Records,'' as part of its commitment to ensuring that
collection, use, retention, or dissemination of information about
individuals through the use of any technology, including digitized
archival records, complies with the law.
The Privacy Act requires each agency that proposes to establish a
new system of records 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 new 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 30, 2022.
SYSTEM NAME AND NUMBER:
COMMERCE/OIG-2, OIG Data Analytics Records.
SECURITY CLASSIFICATION:
Controlled Unclassified Information (CUI).
SYSTEM LOCATION:
U.S. Department of Commerce, Office of Inspector General, 1401
Constitution Avenue NW, Washington, DC 20230.
SYSTEM MANAGER(S):
Chief of Staff to the Inspector General, Room 7709, 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 audits, evaluations, inspections, and investigations, to
prevent and detect fraud, waste, mismanagement, and abuse, and to
promote economy, efficiency, and effectiveness in the Department of
Commerce (the Department) programs and operations. The records may be
used in the course of performing audits, evaluations, and inspections;
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 audit, evaluation,
inspection, or investigation.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
OIG maintains records in its records system on the following
categories of individuals: current, former, and prospective Department
employees; contractors; subcontractors; recipients of Federal funds and
their contractors/subcontractors and employees; grantees; sub-grantees;
individuals who work on Department grants (e.g., principal
investigators); 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 materials received, gathered, or created
regarding or supporting Department operations. Categories of records
may include: Commerce Business Systems information, including general
ledger data, trial data, customer data, and vendor data; Department
payroll, fleet card, purchase card, and travel card data; System for
Award Management data; general case management documentation;
correspondence; personally identifiable and business identifiable
information, including financial, employment, time and attendance,
human resources, and biometric data and Social Security Numbers;
information protected by Title 13 of the U.S. Code; trade secrets data
and similar proprietary data; import/export data, including Automated
Export System data; law enforcement data; data containing information
related to Department grants and contracts, and other data and evidence
received, collected, or generated by OIG's Data Analytics group 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.
[[Page 36456]]
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, and non-governmental entities.
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 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, 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.
2. 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.
3. 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.
4. 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.
5. 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 relating to the
individual.
6. 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.
7. 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 (FOIA) (5 U.S.C. 552).
8. 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).
9. 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.
10. 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.
11. 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 (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.
12. 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.
13. To the Department of Justice (DOJ) and any other Federal
agency, to the extent necessary to obtain their advice relevant to an
OIG matter, including matters concerning the FOIA and the Privacy Act
(5 U.S.C. 552a).
14. 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.
15. 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.
16. To the DOJ or any other Federal agency that is responsible for
representing Department interests in connection with judicial,
[[Page 36457]]
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 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 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.
17. 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, evaluation, or
inspection.
18. To a foreign government or international organization pursuant
to an international treaty, convention, implementing legislation, or
executive agreement entered into by the United States.
19. 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 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.
20. 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.
21. 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.
22. To any Federal official charged with the responsibility to
conduct qualitative assessment reviews of internal safeguards and
management procedures 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 chain of command, as well as
authorized officials of DOJ and its component, the Federal Bureau of
Investigation.
23. To the public or to the media for release to the public when
(1) the matter under review has become public knowledge or the
Inspector General determines that such disclosure is necessary to
preserve confidence in the integrity of the OIG audit, evaluation,
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:
Any electronic media (photographs, audio recording, diskettes, CDs,
etc.) are kept in limited-access areas during duty hours and in locked
offices during nonduty hours. Electronic records are maintained on
servers, which house OIG's electronic systems. 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 names of individuals, names of businesses, identifying
particulars, organizations, and other key word search variations.
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:
Any electronic media 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
electronic 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 contesting
record 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,
[[Page 36458]]
whenever the Inspector General has reasonable grounds to believe that
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 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 or inapplicable, then the exemptions under 5 U.S.C.
552a(k)(2) and (k)(5) are claimed for all material which meets the
criteria of these two subsections.
The provisions of the Privacy Act from which exemptions are claimed
under 5 U.S.C. 552a(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 in order to accomplish the law
enforcement function of the OIG, to prevent subjects of investigations
from frustrating the investigatory process, to prevent the disclosure
of investigative techniques, to fulfill commitments made to protect the
confidentiality of sources, to maintain access to sources of
information, and to avoid endangering these sources and law enforcement
personnel. 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 records pertaining to such individual, or granting
access to those records 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 an investigation, audit,
evaluation, inspection, or other review pursuant to the Inspector
General Act.
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. 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.
(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 in order
to verify the evidence necessary for successful litigation.
e. In some cases, such as where information can be collected from
databases, collecting that information
[[Page 36459]]
from individuals would impose significant administrative burdens that
would interfere with the Inspector General's oversight responsibilities
under the Inspector General Act.
(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
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 any 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
supports legal conclusions and Inspector General findings. Material
that 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 complete OIG
reports.
(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 and impede an
ongoing criminal investigation.
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 that 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(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 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 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, audit,
evaluation, inspection, or other review pursuant to the Inspector
General Act.
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:
No history.
[[Page 36460]]
March 31, 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. 2022-12569 Filed 6-16-22; 8:45 am]
BILLING CODE 3510-22-P
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</html>Indexed from Federal Register on June 17, 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.