Notice2024-05536
Privacy Act of 1974; System of Records
Primary source
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Published
March 15, 2024
Issuing agencies
Treasury Department
Abstract
In accordance with the Privacy Act of 1974, the Department of the Treasury ("Treasury" or the "Department"), Departmental Offices proposes to modify a current Treasury system of records titled, "Department of the Treasury, Departmental Offices .190--Office of Inspector General Investigations Management Information System." This system's name is being amended to the "Department of the Treasury, Departmental Offices .190--Office of Inspector General Electronic Case Management System," yet it will still maintain the same records and collected information that provides essential support for activities of the Treasury Office of Inspector General (OIG) relating to Treasury programs, operations, employees, contractors and other individuals or entities associated with the Department. Additionally, the Department proposes to amend this system of records by modifying one existing routine use, adding four new routine uses, and making technical changes and corrections.
Full Text
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<title>Federal Register, Volume 89 Issue 52 (Friday, March 15, 2024)</title>
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[Federal Register Volume 89, Number 52 (Friday, March 15, 2024)]
[Notices]
[Pages 19015-19018]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2024-05536]
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DEPARTMENT OF THE TREASURY
Privacy Act of 1974; System of Records
AGENCY: Departmental Offices, Department of the Treasury.
ACTION: Notice of a modified system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, the Department of
the Treasury (``Treasury'' or the ``Department''), Departmental Offices
proposes to modify a current Treasury system of records titled,
``Department of the Treasury, Departmental Offices .190--Office of
Inspector General Investigations Management Information System.'' This
system's name is being amended to the ``Department of the Treasury,
Departmental Offices .190--Office of Inspector General Electronic Case
Management System,'' yet it will still maintain the same records and
collected information that provides essential support for activities of
the Treasury Office of Inspector General (OIG) relating to Treasury
programs, operations, employees, contractors and other individuals or
entities associated with the Department. Additionally, the Department
proposes to amend this system of records by modifying one existing
routine use, adding four new routine uses, and making technical changes
and corrections.
DATES: Submit comments on or before April 15, 2024. The modification of
the system of records notice will be applicable on April 15, 2024.
ADDRESSES: Written comments on this notice may be submitted
electronically through the Federal government eRulemaking portal at
<a href="http://www.regulations.gov">http://www.regulations.gov</a>. Electronic submission of comments allows
the commenter maximum time to prepare and submit a comment, ensures
timely receipt, and enables the Treasury to make the comments available
to the public. Please note that comments submitted through <a href="https://www.regulations.gov">https://www.regulations.gov</a> will be public and
[[Page 19016]]
can be viewed by members of the public.
In general, Treasury will post all comments to <a href="https://www.regulations.gov">https://www.regulations.gov</a> without change, including any business or personal
information provided, such as names, addresses, email addresses, or
telephone numbers. All comments received, including attachments and
other supporting material, will be part of the public record and
subject to public disclosure. You should only submit the information
that you wish to make publicly available.
FOR FURTHER INFORMATION CONTACT: For general questions, please contact:
Dawn Lay, 202-927-9842 by mail at Office of the Inspector General, 875
15th Street NW, Washington, DC 20005.
For questions about this notice and privacy issues, contact: Ryan
Law, Deputy Assistant Secretary for Privacy, Transparency, & Records,
U.S. Department of the Treasury, 1500 Pennsylvania Avenue NW,
Washington, DC 20220; email: <a href="/cdn-cgi/l/email-protection#c2b2b0abb4a3a1bb82b6b0a7a3b1b7b0bbeca5adb4"><span class="__cf_email__" data-cfemail="7606041f0017150f36020413170503040f58111900">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974,
5 U.S.C. 552a, the Treasury Departmental Offices proposes to modify a
current Treasury system of records titled, ``Department of the
Treasury, Departmental Offices .190--Office of Inspector General
Investigations Management Information System.''
The proposed modification to the system of records makes the
following substantive changes:
System name changed from ``Investigations Management Information
System'' to ``Electronic Case Management System,'' as a more accurate
depiction of the information maintained in the system and signifying
that the system is not exclusively investigative. General
administrative contact information was updated to reflect current
information; the authority for maintenance of the system, the Inspector
General Act of 1978, was updated to reflect the latest citation; the
Department also amended the purpose section to remove regulation
citations and instead describe in plain language how information
collected and maintained in this system is used; and the Department
amended, deleted, and added routine use information.
The routine use amendments, deletions, or additions include:
amended routine use (8) by deleting release to the Bureau of Alcohol,
Tobacco, and Firearms and the Department of Homeland Security OIG
concerning investigations, and adding release to other OIGs in general,
the Council of Inspectors General on Integrity and Efficiency, and to
territorial or Tribal law enforcement or regulatory agencies in
performance of their statutory and regulatory requirements; new routine
use (9) release to foreign law enforcement entities for bona fide law
enforcement purposes where release is not otherwise prohibited by law;
new routine use (10) release to persons performing or working for the
Federal government when accomplishing an agency function; routine use
(11) release to the Merit Systems Protection Board, the Office of
Special Counsel, or the Equal Employment Opportunity Office for
official proceedings; routine use (12) was previously routine use (9);
routine use (13) adds release to Treasury OIG Offices of Audit and
Counsel, and to Treasury Department employees requiring such
information for official purposes; and routine use (14) was previously
routine use (10).
The policies and practices for the: storage of records section was
modified to remove reference to paper and locked drawers; retrieval of
records section has been limited to retrieval by name and case number;
and the retention and disposal of records section was updated to the
current applicable Department records and disposition schedules
covering records in this system.
The notification procedures section was amended to include detailed
instructions on requesting non-exempt information located in the system
and how to contest its content.
Finally, the history section was added and notates this system of
records' last full published date in the Federal Register, and final
rule date.
The Privacy Act of 1974, as amended, embodies fair information
practice principles in a statutory framework governing how Federal
agencies collect, maintain, use, and disseminate individuals' records.
The Privacy Act applies to records about individuals that are
maintained in a ``system of records.'' A ``system of records'' is a
group of any records under the control of an agency from which
information is retrieved by the name of an individual or by some
identifying number, symbol, or other identifying particular assigned to
the individual. The Privacy Act defines an individual as a United
States citizen or lawful permanent resident. In order to minimize the
risk of unauthorized access to the system's contents, the Department
abides by the following procedures: individuals may request access to
their own records that are maintained in a system of records in the
possession or under the control of Treasury by complying with Treasury
Privacy Act regulations at 31 CFR part 1, subpart C, and following the
procedures outlined in the Records Access, Contesting Record, and
Notification Procedures sections of this notice.
Treasury has provided a report of this system of records to the
Committee on Oversight and Government Reform of the House of
Representatives, the Committee on Homeland Security and Governmental
Affairs of the Senate, and the Office of Management and Budget (OMB),
pursuant to 5 U.S.C. 552a(r) and OMB Circular A-108, ``Federal Agency
Responsibilities for Review, Reporting, and Publication under the
Privacy Act,'' dated December 23, 2016.
Ryan Law,
Deputy Assistant Secretary for Privacy, Transparency, and Records.
SYSTEM NAME AND NUMBER:
Department of the Treasury, DO .190--Office of Inspector General
Electronic Case Management System.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of Inspector General (OIG), Assistant Inspector General for
Investigations and Counsel to the Inspector General, 875 15th St. NW,
Washington, DC 20005.
SYSTEM MANAGER(S):
Assistant Inspector General for Investigations, 875 15th St. NW,
Suite 400, Washington, DC 20005 For internal investigations: Counsel to
the Inspector General, 875 15th St. NW, Washington, DC 20005.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Inspector General Act of 1978, 5 U.S.C. Chapter 4.; 5 U.S.C.
301; 31 U.S.C. 321.
PURPOSE(S) OF THE SYSTEM:
The records and information collected and maintained in this system
are used to discharge the duties of the Office of Investigations,
including: (a) receipt and investigation of allegations regarding a
violation of any criminal or civil law, regulation, policy, or standard
applicable to employees of the U.S. Department of the Treasury; (b)
receipt and/or investigation of allegations regarding a violation of
criminal or civil law, regulation, policy, or standard having a nexus
to the U.S. Department of the Treasury, including allegations of fraud
against Treasury programs or operations by any person or entity; and
(c) to conduct inquiries and investigations into allegations of
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wrongdoing, whether criminal, civil, or administrative, made against
Department of the Treasury employees, contractors, grantees, and other
individuals or entities associated with the Department of the Treasury.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(A) Current and former employees of the Department of the Treasury
and persons whose association with current and former employees relate
to the alleged violations of the rules of ethical conduct for employees
of the Executive Branch, the Department's supplemental standards of
ethical conduct, the Department's rules of conduct, merit system
principles, or any other criminal or civil misconduct, which affects
the integrity or facilities of the Department of the Treasury. The
names of individuals and the files in their names may be: (1) Received
by referral; or (2) initiated at the discretion of the Office of
Inspector General in the conduct of assigned duties. Investigations of
allegations against OIG employees are managed by the Assistant
Inspector General for Investigations and the Counsel to the Inspector
General; records are maintained in the electronic case management
system.
(B) Individuals who are: Witnesses; complainants; confidential or
nonconfidential informants; suspects; defendants; parties who have been
identified by the Office of Inspector General, constituent units of the
Department of the Treasury, other agencies, or members of the general
public in connection with the authorized functions of the Inspector
General.
(C) Current and former senior Treasury and bureau officials who are
the subject of investigations initiated and conducted by the Office of
the Inspector General.
CATEGORIES OF RECORDS IN THE SYSTEM:
(A) Letters, memoranda, and other documents citing complaints of
alleged criminal or administrative misconduct.
(B) Investigative files which include: (1) reports of
investigations to resolve allegations of misconduct or violations of
law with related exhibits, statements, affidavits, records or other
pertinent documents obtained during investigations; (2) transcripts and
documentation concerning requests and approval for consensual telephone
and consensual non-telephone monitoring; (3) body worn camera video
footage, (4) reports from or to other law enforcement bodies; (5) prior
criminal or noncriminal records of individuals as they relate to the
investigations; and (6) reports of actions taken by management
personnel regarding misconduct and reports of legal actions resulting
from violations of statutes referred to state, local, foreign agencies,
or the Department of Justice for prosecution.
RECORD SOURCE CATEGORIES:
See ``Categories of Individuals . . .'' above. This system contains
investigatory material for which sources need not be reported.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information may be disclosed:
(1) To the United States Department of Justice (``DOJ''), for the
purpose of representing or providing legal advice to Treasury in a
proceeding before a court, adjudicative body, or other administrative
body before which Treasury is authorized to appear, when such
proceeding involves:
(a) Treasury or any component thereof;
(b) Any employee of Treasury in his or her official capacity;
(c) Any employee of Treasury in his or her individual capacity
where the DOJ or Treasury has agreed to represent the employee; or
(d) The United States, when Treasury determines that litigation is
likely to affect Treasury or any of its components; and the use of such
records by the DOJ is deemed by the DOJ or Treasury to be relevant and
necessary to the litigation provided that the disclosure is compatible
with the purpose for which records were collected;
(2) To appropriate federal, state, local, or foreign agencies
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing a statute, rule, regulation, order, or
license, or where the disclosing agency becomes aware of an indication
of a violation or potential violation of civil or criminal law or
regulation;
(3) To a federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's hiring or retention of an employee, or the
issuance of a security clearance, license, contract, grant, or other
benefit;
(4) To a court, magistrate, or administrative tribunal in the
course of presenting evidence,
including disclosures to opposing counsel or witnesses in the
course of civil discovery, litigation or settlement negotiations in
response to a court order or in connection with criminal law
proceedings;
(5) To a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains;
(6) To the news media in accordance with guidelines contained in 28
CFR 50.2 which relate to an agency's functions relating to civil and
criminal proceedings;
(7) To third parties during the course of an investigation to the
extent necessary to obtain information pertinent to the investigation;
(8) To the Department of Justice, other OIGs, the Council of
Inspectors General on Integrity and Efficiency, the Federal Law
Enforcement Training Center, and to other Federal, State, local,
territorial or Tribal law enforcement or regulatory agencies for use in
meeting their statutory and regulatory requirements;
(9) To foreign law enforcement, investigatory, or administrative
authorities in order to comply with requirements set forth in
international arrangements, such as memoranda of understanding.
(10) To contractors, grantees, volunteers, experts, students, and
others performing or working on a contract, service, grant, cooperative
agreement, or job for the Federal government when necessary to
accomplish an agency function;
(11) To the Merit Systems Protection Board, the Office of Special
Counsel, or the Equal Employment Opportunity Office for official
proceedings, including litigation, administrative proceedings, appeals,
special studies of the civil service and other merit systems.
(12) To other OIGs, the Council of Inspectors General on Integrity
and Efficiency, and the Department of Justice, in connection with their
review of Treasury OIG's exercise of statutory law enforcement
authority, pursuant to section 6(e) of the Inspector General Act of
1978, 5 U.S.C. Chapter 4;
(13) To the Treasury OIG Offices of Audit and Counsel and to
employees within the U.S. Department of the Treasury requiring such
information for official purposes; and
(14) To appropriate agencies, entities, and persons when (a) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the
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Department or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities,
and persons is reasonably necessary to assist in connection with the
Department's efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm.
(15) To another Federal agency or Federal entity, when Treasury
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.
(16) To the National Archives and Records Administration or General
Services Administration pursuant to records management inspections
being conducted under the authority of 44 U.S.C. 2904 and 2906;
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records in this system are stored electronically or on paper per
approved Office of Investigations policy. Electronic records are stored
on magnetic disc, tape, digital media, and CD-ROM.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
By name and by case number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Case information is maintained for the later of: 10 years after the
case is closed, or when no longer needed. Records are destroyed in
accordance with approved Federal and Departmental guidelines.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable Treasury
automated systems security and access policies. Strict controls are
imposed to minimize the risk of compromising the information that is
stored. Access to the computer system containing the records in this
system is limited to those individuals who have a need to know the
information for the performance of their official duties and who have
appropriate clearances or permissions. The records are available to
Office of Inspector General personnel who have an appropriate security
clearance on a need-to-know basis.
RECORD ACCESS PROCEDURES:
See ``Notification Procedures'' below.
CONTESTING RECORD PROCEDURES:
See ``Notification Procedures'' below.
NOTIFICATION PROCEDURES:
This system of records contains records that are exempt from the
notification, access, and contesting records requirements pursuant to 5
U.S.C. 552a(j)(2) and (k)(2). Individuals seeking access to any non-
exempt record contained in this system of records, or seeking to
contest its content, may inquire in writing in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix A. Written
inquiries should be addressed to: Freedom of Information Act Request,
Counsel to the Inspector General, Office of Inspector General,
Department of the Treasury, 875 15th St. NW, Washington, DC 20005.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to
5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
HISTORY:
Notice of this system of records was last published in full in the
Federal Register on November 7, 2016 (81 FR 78298) as the Department of
the Treasury, Departmental Offices .190--Office of Inspector General
Investigations Management Information. Final Rule was published on May
15, 2012 (77 FR 28478).
[FR Doc. 2024-05536 Filed 3-14-24; 8:45 am]
BILLING CODE 4810-AK-P
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