Notice2023-13512
Privacy Act of 1974; System of Records
Primary source
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Published
June 26, 2023
Effective
June 26, 2023
Issuing agencies
Federal Communications Commission
Abstract
The Federal Communications Commission (FCC, Commission, or Agency) proposes to modify an existing system of records, FCC/OIG-3, Investigative and Audit Files (formerly: FCC/OIG-3, Investigative Files) subject to the Privacy Act of 1974, as amended. This action is necessary to meet the requirements of the Privacy Act to publish in the Federal Register notice of the existence and character of records maintained by the agency. The FCC uses the investigative and audit files contained in the records in this system to carry out its duties and responsibilities under the Inspector General Act of 1978, as amended. This modification changes the scope of this system of records to add new routine uses, to update the exemptions the FCC claims for this system, and to make other changes.
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<title>Federal Register, Volume 88 Issue 121 (Monday, June 26, 2023)</title>
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[Federal Register Volume 88, Number 121 (Monday, June 26, 2023)]
[Notices]
[Pages 41398-41401]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-13512]
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FEDERAL COMMUNICATIONS COMMISSION
[FR ID: 149975]
Privacy Act of 1974; System of Records
AGENCY: Federal Communications Commission.
ACTION: Notice of a modified system of records.
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SUMMARY: The Federal Communications Commission (FCC, Commission, or
Agency) proposes to modify an existing system of records, FCC/OIG-3,
Investigative and Audit Files (formerly: FCC/OIG-3, Investigative
Files) subject to the Privacy Act of 1974, as amended. This action is
necessary to meet the requirements of the Privacy Act to publish in the
Federal Register notice of the existence and character of records
maintained by the agency. The FCC uses the investigative and audit
files contained in the records in this system to carry out its duties
and responsibilities under the Inspector General Act of 1978, as
amended. This modification changes the scope of this system of records
to add new routine uses, to update the exemptions the FCC claims for
this system, and to make other changes.
DATES: This modified system of records will become effective on June
26, 2023. Written comments on the routine uses are due by July 26,
2023. The routine uses will become effective on July 26, 2023, unless
written comments are received that require a contrary determination.
ADDRESSES: Send comments to Katherine C. Clark, Federal Communications
Commission (FCC), 45 L Street NE, Washington, DC 20554.
FOR FURTHER INFORMATION CONTACT: Katherine C. Clark, (202) 418-1773, or
<a href="/cdn-cgi/l/email-protection#1f6f6d76697e7c665f797c7c31787069"><span class="__cf_email__" data-cfemail="1565677c6374766c557376763b727a63">[email protected]</span></a> (and to obtain a copy of the Narrative Statement and
the Supplementary Document, which includes details of the proposed
alterations to this system of records).
SUPPLEMENTARY INFORMATION: As required by the Privacy Act of 1974, as
amended, 5 U.S.C. 552a(e)(4) and (e)(11), this document sets forth
notice of the proposed modification of a system of records maintained
by the FCC. This notice modifies a system of records (FCC/OIG-3)
maintained by the FCC. The FCC previously provided notice of the system
of records FCC/OIG-3, Investigative and Audit Files, by publication in
the Federal Register on August 26, 2011 (76 FR 53454). The FCC Office
of Inspector General (OIG) created this system of records in 2011 by
combining into a single system of records the OIG's criminal and civil
investigative files and its audit files. OIG uses the records in this
system to carry out its duties and responsibilities under the Inspector
General Act of 1978, as amended.
The substantive changes and modifications to the previously
published version of FCC/OIG-3 include:
1. Renaming this SORN as ``Investigative and Audit Files'';
2. Modifying the language in the Categories of Individuals and
Categories of Records to be consistent with the language and phrasing
now used in FCC SORNs;
3. Updating and/or revising language in the following routine uses:
Law Enforcement and Investigation, Adjudication and Litigation,
Disclosure to the Council of Inspectors General on Integrity and
Efficiency (CIGIE), Disclosure for Qualitative Assessment Reviews, and
Breach Notification;
4. Adding four new routine uses: (a) Assistance to Federal Agencies
and Entities Related to Breaches--to assist with other Federal
agencies' data breach situations, which is required by OMB Memorandum
No. M-17-12; (b) Non-Federal Personnel--to allow contractors, grantees,
and volunteers who have been engaged to assist the FCC in the
performance of a contract service, grant, cooperative agreement with
access to information; (c) To provide information to a Congressional
member's office from the record of an individual in response to an
inquiry from that Congressional office made at the request of that
individual; and (d) Congress, congressional committees, or the staffs
thereof--to provide Congress, congressional committees and
congressional staff access to final FCC-OIG reports or management
alerts when the Inspector General (IG) determines that its disclosure
is necessary to fulfill the IG's responsibilities under the IG Act of
1978, as amended;
5. Updating the existing records retention and disposal schedule
with a new National Archives and Records Administration (NARA) Records
Schedule: Office of Inspector General (OIG)--Investigative Files, N1-
173-07-
[[Page 41399]]
002, which was approved by NARA in May 2017;
6. Expanding the scope of the system to expressly include materials
related to OIG audits that may contain information about individuals;
and
7. Updating the reference to the exemptions claimed under
subsections (j) and (k) of the Privacy Act.
The system of records is also updated to reflect various
administrative changes related to the system managers and system
addresses; policies and practices for storage and retrieval of the
information; administrative, technical, and physical safeguards; and
updated notification, records access, and contesting records
procedures.
SYSTEM NAME AND NUMBER:
FCC/OIG-3, Investigative and Audit Files.
SECURITY CLASSIFICATION:
Sensitive, but not Classified.
SYSTEM LOCATION:
OIG, FCC, 45 L Street NE, Washington, DC 20554, and OIG, FCC, 9201
Farm House Lane, Columbia, MD 21046.
SYSTEM MANAGER(S):
Johnny Drake, OIG, FCC, 45 L Street NE, Washington, DC 20554.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Inspector General Act of 1978, as amended. 5 U.S.C. app.
PURPOSE(S) OF THE SYSTEM:
This system will collect, pursuant to the Inspector General Act of
1978:
1. Files and documents for investigations initiated and/or referred
by or to the OIG or other investigative agencies regarding FCC programs
and operations; and reports regarding the results of investigations to
other Federal agencies, other public authorities, or professional
organizations that have the authority to bring criminal prosecutions or
civil or administrative actions, or to impose other disciplinary
sanctions;
2. Files and documents for documenting the outcome of OIG
investigations;
3. Records of the activities that were the subject of
investigations;
4. Reports, files, and documents for investigative findings to the
Commission management about problems and deficiencies in the FCC's
programs and operations or to suggest corrective action in reference to
identified irregularities, problems, or deficiencies;
5. Records of complaints and allegations received relative to FCC
programs and operations and documenting the outcome of OIG reviews of
those complaints and allegations;
6. Files and documents for coordinating relationships with other
Federal agencies, State and local governmental agencies, and
nongovernmental entities in matters relating to the statutory
responsibilities of the OIG;
7. Files and documents providing the information necessary to
fulfill the reporting requirements of the Inspector General Act of
1978;
8. Files and documents for audits, inspections and evaluations, and
surveys conducted by the OIG regarding FCC programs and operations; and
9. Documents for the results of audits, inspections, evaluations
and surveys initiated internally or mandated or requested by Congress
or other regulatory agencies regarding FCC programs and operations and
reporting the results of audits to Congress, Office of Management and
Budget (OMB), Government Accountability Office (GAO), and other
regulatory and oversight agencies.
Collecting and maintaining these types of information is necessary
for key activities discussed in this SORN, including analyzing the
effectiveness and efficiency of FCC programs, informing future
rulemaking and policymaking activity, and improving staff efficiency.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
1. Individuals who are or have been the subjects of investigations
conducted by the OIG;
2. Individuals who are: witnesses, complainants, informants,
suspects, defendants, parties identified by the OIG or by other
agencies, constituent units of the FCC and members of the general
public in connection with the authorized functions of the OIG; and
3. Individuals who provide information during interviews,
walkthroughs, questionnaires, demonstrations, and simulations during
OIG audits, inspections, and evaluations.
CATEGORIES OF RECORDS IN THE SYSTEM:
1. Files developed during investigations of: known or alleged
fraud, waste, and abuse; other irregularities; or violations of laws,
regulations, orders, or requirements;
2. Files related to programs and operations administered or
financed by the FCC, including contractors and others doing business
with the FCC;
3. Files relating to FCC employees' hotline complaints and other
miscellaneous complaints;
4. Investigative reports and related documents, such as
correspondence, notes, attachments, and working papers; and
5. Audit reports and supporting documentation, such as
correspondence, memoranda, transcripts, notes, computations,
flowcharts, illustrations and summaries.
RECORD SOURCE CATEGORIES:
Under the authority granted to heads of agencies by 5 U.S.C.
552a(j)-(k), the FCC has determined that this system of records is
exempt from disclosing the categories of sources of records for this
system of records, 47 CFR 0.561.
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 to authorized
entities, as is determined to be relevant and necessary, outside of the
FCC as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
1. Law Enforcement and Investigation--Where there is an indication
of a violation or potential violation of a statute, regulation, rule,
order, or other requirements, records from this system may be shared
with appropriate Federal, State, Tribal, or local authorities for
purposes of either obtaining additional information relevant to a FCC
decision or referring the record for investigation, enforcement, or
prosecution by another agency.
2. Disclosure to Public and Private Entities to Obtain Information
Relevant to FCC Functions and Duties--The OIG may disclose information
from this system to public or private sources to the extent necessary
to obtain information from those sources relevant to an OIG
investigation, inspection, or audit.
3. Litigation--To disclose records to the Department of Justice
(DOJ) when: (a) the FCC or any component thereof; (b) any employee of
the FCC in his or her official capacity; (c) any employee of the FCC in
his or her individual capacity where the DOJ or the FCC has agreed to
represent the employee; or (d) the United States Government is a party
to litigation or has an interest in such litigation, and by careful
review, the FCC determines that the records are both relevant and
necessary to the litigation, and the use of such records by the
Department of Justice is for a purpose that is compatible with the
[[Page 41400]]
purpose for which the FCC collected the records.
4. Adjudication--To disclose records in a proceeding before a court
or adjudicative body, when: (a) the FCC or any component thereof; or
(b) any employee of the FCC in his or her official capacity; or (c) any
employee of the FCC in his or her individual capacity; or (d) the
United States Government, is a party to litigation or has an interest
in such litigation, and by careful review, the FCC determines that the
records are both relevant and necessary to the litigation, and that the
use of such records is for a purpose that is compatible with the
purpose for which the agency collected the records.
5. Disclosure to Contractors and Consultants--OIG may disclose a
record from this system to the employees of any entity or individual
with whom the FCC contracts for the purpose of performing any functions
or analyses that facilitate or are relevant to an OIG investigation,
audit, inspection, or other inquiry. Before entering into such a
contract, the OIG shall require the contractor to maintain Privacy Act
safeguards, including as required under the Federal Acquisition
Regulations (FAR) Privacy Act provisions (subparts 24.1 and 24.2) and
include the specified contract clauses (parts 52.224-1 and 52.224-2),
as appropriate, to ensure that personal information by contractors who
work on FCC-owned systems of records and the system data are protected
as mandated.
6. Debarment and Suspension Disclosure--The OIG may disclose
information from this system to the FCC or another Federal agency
considering suspension or debarment action if the information is
relevant to the suspension or debarment action. The OIG also may
disclose information to the FCC or another agency to gain information
in support of the FCC's own debarment and suspension actions.
7. Government-Wide Program Management and Oversight--The OIG may
disclose a record from this system to the Department of Justice (DOJ)
to obtain that department's advice regarding disclosure obligations
under the Freedom of Information Act (FOIA); or the OMB to obtain that
office's advice regarding obligations under the Privacy Act.
8. Prevention of Fraud, Waste, and Abuse Disclosure--The OIG may
disclose a record from this system to Federal agencies, non-Federal
entities, their employees, and agents (including contractors, their
agents or employees; employees or contractors of the agents or
designated agents); or contractors, their employees or agents with whom
the FCC has a contract, service agreement, cooperative agreement, or
computer matching agreement for the purpose of: (1) detection,
prevention, and recovery of improper payments; (2) detection and
prevention of fraud, waste, and abuse in Federal programs administered
by a Federal agency or non-Federal entity; (3) detection of fraud,
waste, and abuse by individuals in their operations and programs, but
only to the extent that the information shared is necessary and
relevant to verify pre-award and prepayment requirements prior to the
release of Federal funds, prevent and recover improper payments for
services rendered under programs of the FCC or of those Federal
agencies and non-Federal entities to which the FCC provides information
under this routine use.
9. Disclosure to CIGIE--The OIG may disclose a record from this
system to members and employees of CIGIE for the preparation of reports
to the President and Congress on the activities of the Inspectors
General.
10. Disclosure for Qualitative Assessment Reviews--The OIG may
disclose a record from this system to members of CIGIE, the DOJ, the
U.S. Marshals Service, or any Federal agency for the purpose of
conducting qualitative assessment reviews of the investigative
operations of the OIG to ensure that adequate internal safeguards and
management procedures are maintained.
11. Breach Notification--To appropriate agencies, entities, and
persons when: (a) the Commission suspects or has confirmed that there
has been a breach of PII maintained in the system of records; (b) the
Commission has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to individuals, the
Commission (including its information systems, programs, and
operations), the Federal Government, or national security; and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the Commission's efforts to
respond to the suspected or confirmed breach or to prevent, minimize,
or remedy such harm.
12. Assistance to Federal Agencies and Entities Related to
Breaches--To another Federal agency or Federal entity, when the
Commission determines that information from this system is reasonably
necessary to assist the recipient agency or entity in: (a) responding
to a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, program, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
13. Non-Federal Personnel--To disclose information to non-Federal
personnel, including contractors, grantees, and volunteers who have
been engaged to assist the FCC in the performance of a contract
service, grant, cooperative agreement, or other activity related to
this system of records and who need to have access to the records in
order to perform their activity.
14. To provide information to a Congressional member's office from
the record of an individual in response to an inquiry from that
Congressional office made at the request of that individual.
15. To Congress, congressional committees, or the staffs thereof
once an FCC-OIG report or management alert has become final and the IG
determines that its disclosure is necessary to fulfill the IG's
responsibilities under the IG Act of 1978, as amended.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Information in this system consists of paper records, documents,
and files in file folders and electronic records, files, and data that
are stored in the OIG databases that are part of the FCC's computer
network. Electronic records may also be contained in databases that are
not part of FCC's computer network, and also are stored in removable
drives, computers, and other electronic databases.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records in this system of records can be retrieved by any category
field, e.g., first name or email address, or by a unique file number
assigned to each matter.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
The information in this system is maintained and disposed of in
accordance with the National Archives and Records Administration (NARA)
Records Schedule: Office of Inspector General (OIG)--Investigative
Files, N1-173-07-002, Item 1.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
The paper, diskette, and records contained in other media are
password protected or kept in locked storage that is further secured at
the end of each business day. Limited access to these records is
permitted by those persons whose official duties require such
[[Page 41401]]
access; thus, unauthorized examination during business hours would be
easily detected.
The electronic records, files, and data are maintained in the FCC
computer network databases. Access to the electronic files is
restricted to authorized OIG supervisors and staff. Authorized OIG
staff and OIG contractors and authorized staff and contractors in the
FCC's Information Technology Center (ITC) have access to the electronic
files on an ``as needed'' basis. Backup media are stored on-site and at
a secured, off-site location. The FCC's computer network databases are
protected by the FCC's security protocols, which include controlled
access, passwords, and other security features to prevent unauthorized
users from gaining access to the data and system resources. This
comprehensive and dynamic set of IT safety and security protocols and
features is designed to meet all Federal privacy standards, including
those required by the Federal Information Security Modernization Act of
2014 (FISMA), OMB, and the National Institute of Standards and
Technology (NIST).
RECORD ACCESS PROCEDURES:
Under the authority granted to heads of agencies by 5 U.S.C.
552a(j)-(k), the FCC has determined that this system of records is
exempt from disclosing its record access procedures for this system of
records, 47 CFR 0.561.
CONTESTING RECORD PROCEDURES:
Under the authority granted to heads of agencies by 5 U.S.C.
552a(j)-(k), the FCC has determined that this system of records is
exempt from disclosing its contesting record procedures for this system
of records, 47 CFR 0.561.
NOTIFICATION PROCEDURES:
Under the authority granted to heads of agencies by 5 U.S.C.
552a(j)-(k), the FCC has determined that this system of records is
exempt from the notification procedure for this system of records. 47
CFR 0.561.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to subsection 0.561 of the Commission's rules, 47 CFR
0.561, this system of records is exempt from Sec. Sec. (c)(3), (c)(4),
(d), (e)(1) through(3), (e)(4)(G) through(I), (e)(5), (e)(8), (f), and
(g) of the Privacy Act and from 47 CFR 0.554-0.557 of the Commission's
rules. These provisions concern individuals' rights to access and amend
information about themselves, and an agency's duties to provide notice
about how individuals can access information about themselves. The
system is exempt from these provisions because it contains the types of
materials described in subsections (j)(2) and (k)(1)-(2) of the Privacy
Act.
HISTORY:
The FCC created this system of records (OIG-3) in 2011 by combining
into a single system of records the OIG's criminal and civil
investigative files, 76 FR 53454 (Aug. 26, 2011).
Federal Communications Commission.
Marlene Dortch,
Secretary.
[FR Doc. 2023-13512 Filed 6-23-23; 8:45 am]
BILLING CODE 6712-01-P
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