[Federal Register Volume 70, Number 193 (Thursday, October 6, 2005)]
[Notices]
[Pages 58448-58451]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-20038]


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DEPARTMENT OF HOMELAND SECURITY

[DHS-2005-0066]


Office of Inspector General; Privacy Act of 1974; Systems of 
Records

AGENCY: Office of Investigations, Office of Inspector General, 
Department of Homeland Security.

ACTION: Notice of revised Privacy Act systems of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security Office of Inspector General is giving notice of a 
revised and updated system of records titled, ``Investigations Data 
Management System (IDMS).''

DATES: Comments must be received on or before November 7, 2005.

ADDRESSES: You may submit comments, identified by Docket Number DHS-
2005-0066, by one of the following methods:
    EPA Federal Partner EDOCKET Web site: http://www.epa.gov/feddocket. 
Follow instructions for submitting comments on the Web site. DHS has 
joined the Environmental Protection Agency (EPA) online public docket 
and comment system on its Partner Electronic Docket System (Partner 
EDOCKET).
    Federal eRulemaking Portal: http://www.regulations.gov. Follow the 
instructions for submitting comments.
    Fax: (202) 254-4285 (This is not a toll-free number).
    Mail: Richard N. Reback, DHS, Office of Inspector General/STOP 
2600, 245 Murray Drive, SW., Building 410, Washington, DC 20528.
    Hand Delivery/Courier: Richard N. Reback, DHS, Office of Inspector 
General/STOP 2600, 245 Murray Drive, SW., Building 410, Washington, DC 
20528.
    Instructions: All submissions received must include the agency name 
and docket number for this notice. All comments received will be posted 
without change to http://www.epa.gov/feddocket, including any personal 
information provided.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.epa.gov/feddocket. You may also 
access the Federal eRulemaking Portal at http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Richard N. Reback, Department of 
Homeland Security, Office of Inspector General/STOP 2600, 245 Murray 
Drive, SW., Building 410, Washington, DC 20528 by telephone (202) 254-
4100 or facsimile (202) 254-4285; Nuala O'Connor Kelly, Chief Privacy 
Officer, Department of Homeland Security, 601 S. 12th Street, 
Arlington, VA 22202-4202 by telephone (571) 227-3813 or facsimile (571) 
227-4171.

SUPPLEMENTARY INFORMATION:
    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the United States Government 
collects, maintains, uses and disseminates personally identifiable 
information. The Privacy Act applies to information that is maintained 
in a ``system of records.'' A ``system of records'' is a group of any 
records under the control of an agency from which information is 
retrieved by the name of the individual or by some identifying number, 
symbol, or other identifying particular assigned to the individual. The 
Privacy Act requires each agency to publish in the Federal Register a 
description denoting the type and character of each system of records 
that the agency maintains, and the routine uses that are contained in 
each system in order to make agency record keeping practices 
transparent, to notify individuals regarding the uses to which 
personally identifiable information is put, and to assist the 
individual in finding such files within the agency.
    The Department of Homeland Security (DHS), Office of Inspector

[[Page 58449]]

General (OIG) is updating and republishing a Privacy Act system of 
records within OIG Headquarters for its investigative files. Pursuant 
to the savings clause in the Homeland Security Act of 2002, Public Law 
107-296, sec. 1512, 116 Stat. 2310 (Nov. 25, 2002) (6 U.S.C. 552), DHS 
components and offices could continue to rely on completed 
administrative actions after creation of the Department until those 
actions were amended, modified, superseded, terminated, set aside, or 
revoked. Two system notices previously supported the collection of 
investigation information by the DHS OIG, FEMA/IG-1 (General 
Investigative Files) and Treasury/DO .190 (Investigation Data 
Management System). The DHS OIG is now updating and republishing under 
its own nomenclature a system notice the Investigations Data Management 
System to cover the same records previously covered by these legacy 
system notices.
    The DHS Inspector General is responsible for conducting and 
supervising audits, investigations, and inspections relating to the 
programs and operations of the Department. The OIG examines, evaluates 
and, where necessary, critiques these operations and activities, 
recommending ways for the Department to carry out its responsibilities 
in the most effective, efficient, and economical manner possible.
    The Investigations Data Management System (IDMS) allows the OIG to 
receive and process allegations of violations of criminal, civil, or 
administrative laws and regulations relating to DHS employees, 
contractors and other individuals and entities associated with the DHS. 
IDMS also allows the OIG to manage information provided during the 
course of such investigations and, in the process, to facilitate its 
management of investigations. Through the IDMS, the OIG can create a 
record showing the disposition of allegations; track actions taken by 
DHS management regarding misconduct; track legal actions taken after 
referrals to the United States Department of Justice for prosecution; 
provide a system for creating reporting statistical information; and 
track OIG investigators' firearms qualification records and government 
property records.
    This system notice makes several changes to the existing record 
systems on which DHS had been relying. It changes the address of the 
system location, revises the routine uses to conform them more closely 
to the needs and requirements of DHS, and more fully describes the 
categories of individuals and of records that are maintained in IDMS.
    In accordance with 5 U.S.C. 552a(r), a report of this revised 
system of records has been provided to the Office of Management and 
Budget (OMB) and to the Congress.
DHS-OIG-002

System name:
    Department of Homeland Security (DHS) Office of Inspector General 
(OIG) Investigations Data Management System (IDMS).

Security classification:
    Classified, sensitive.

System location:
    This system of records is located in the OIG Office of 
Investigations in Washington, DC and in OIG field offices nationwide.

Categories of individuals covered by the system:
    Individuals filing complaints of criminal, civil, or administrative 
violations, including, but not limited to, fraud, waste, or 
mismanagement; individuals alleged to have been involved in such 
violations; individuals identified as having been adversely affected by 
matters investigated by the OIG; individuals who have been identified 
as possibly relevant to, or who are contacted as part of an OIG 
investigation, including: (A) Current and former employees of DHS; 
United States Department of the Treasury, United States Department of 
Justice, and Federal Emergency Management Administration legacy 
employees; and persons whose association with current and former 
employees relate to alleged violations which affect the integrity or 
facilities of the DHS; and, (B) witnesses, complainants, confidential 
or non-confidential informants, suspects, defendants, or parties who 
have been identified by the DHS OIG, other DHS units, other agencies, 
or members of the general public in connection with authorized OIG 
functions; and DHS OIG Office of Investigations employees who are 
required to qualify with firearms and receive government property.

Categories of records in the system:
    Records include: (A) letters, memoranda, and other documents citing 
complaints of alleged criminal or administrative misconduct; (B) 
investigative files, which include: (1) Reports of investigation 
resulting from allegations of misconduct or violations of law with 
related exhibits, statements, affidavits, records or other pertinent 
documents (including those obtained from other sources, such as 
Federal, State, local, or foreign investigative or law enforcement 
agencies and other government agencies) obtained during investigations; 
(2) transcripts and documentation concerning requests and approval for 
consensual (telephone and non-telephone) monitoring; (3) reports from 
or to other law enforcement bodies; (4) prior criminal or non-criminal 
records of individuals as they relate to investigations; (5) subpoenas 
issued pursuant to OIG investigations and legal opinions, advice, and 
other legal documents provided by agency counsel; (6) reports of 
actions taken by management personnel regarding misconduct allegations 
and reports of legal actions, including actions resulting from 
violations of statutes referred to the United States Department of 
Justice for prosecution; (7) records involving the disposition of 
investigations and resulting agency actions (e.g., criminal 
prosecutions, civil proceedings, administrative action); and (8) other 
documentation and materials created during the course of or arising out 
of OIG investigations; and (C) property records and Firearms and 
Training qualification records for all OIG Office of Investigations 
employees;
    Records contain the name and/or other personal identifying 
information for OIG Office of Investigations employees; names and other 
personal identifying information for individuals who are investigated 
or involved as complainants, witnesses, informants, or otherwise in OIG 
investigations; and details relating to investigations and complaints, 
such as the date of the complaint; case number(s); name of the 
complainant; matters alleged; referral documents; research materials; 
and other documentation.

Authority for maintenance of the system:
    5 U.S.C.A. App. 3; 5 U.S.C. 301; 6 U.S.C. 101, 113(b), 555.

Purpose(s):
    The records and information collected and maintained in this system 
are used to receive and process allegations of violations of criminal, 
civil, and administrative laws and regulations relating to DHS 
programs, operations, and employees, as well as contractors and other 
individuals and entities associated with the DHS; monitor case 
assignments, disposition, status, and results; manage investigations 
and information provided during the course of such investigations; 
track actions taken by management regarding misconduct and other 
allegations; track legal actions taken following referrals to the 
United States Department of Justice

[[Page 58450]]

for prosecution or litigation; provide information relating to any 
adverse action or other proceeding that may occur as a result of the 
findings of an investigation; retrieve investigation results performed 
on individuals covered in this system; provide a system for creating 
and reporting statistical information; and to provide a system to track 
OIG investigator's firearms qualification records and property records.

ROUTINE USES OF THESE RECORDS:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a (b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    (A) To an appropriate Federal, State, territorial, tribal, local, 
or foreign law enforcement agency, licensing entity, or other 
appropriate authority charged with investigating, enforcing, 
prosecuting, or implementing a law (criminal, civil, administrative, or 
regulatory), where DHS becomes aware of an indication of a violation or 
potential violation of such law or where required in response to a 
compulsory legal process.
    (B) To Federal intelligence community agencies and other Federal 
agencies to further the mission of those agencies relating to persons 
who may pose a risk to homeland security.
    (C) To international governmental authorities in accordance with 
law and formal or informal international agreement.
    (D) 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 or criminal discovery or 
proceedings, litigation, and settlement negotiations.
    (E) To Federal, State, local, or foreign government entities or 
professional licensing authorities responsible for investigating or 
prosecuting the violations of, or for enforcing or implementing, a 
statute, rule, regulation, order, or license, or where DHS OIG becomes 
aware of an indication of a violation or potential violation of civil 
or criminal law or regulation or where DHS has received a request for 
information that is relevant or necessary to the requesting entity's 
hiring or retention of an employee, or the issuance of a security 
clearance, license, contract, grant, or other benefit.
    (F) To contractors, grantees, experts, consultants, students, and 
others performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for the Federal Government, when 
necessary to accomplish an agency function related to this system of 
records.
    (G) To the United States Department of Justice or other Federal 
agency conducting litigation or in proceedings before any court, 
adjudicative or administrative body, when: (a) DHS; (b) any employee of 
DHS in his/her official capacity; (c) any employee of DHS in his/her 
individual capacity where the Department of Justice or DHS has agreed 
to represent the employee; or, (d) the United States or any agency 
thereof, is a party to the litigation or has an interest in such 
litigation.
    (H) To third parties during the course of an investigation to the 
extent necessary to obtain information pertinent to the investigation.
    (I) To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    (J) To the National Archives and Records Administration or other 
Federal Government agencies pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    (K) To appropriate persons engaged in conducting and reviewing 
internal and external peer reviews of the OIG to ensure adequate 
internal safeguards and management procedures exist or to ensure that 
auditing standards applicable to Government audits are applied and 
followed.
    (L) To the President's Council on Integrity and Efficiency (PCIE) 
and other Federal agencies, as necessary, if the records respond to an 
audit, investigation or review which is conducted pursuant to an 
authorizing law, rule or regulation, and in particular those conducted 
at the request of the PCIE pursuant to Executive Order No. 12993.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records in this system are stored on paper media and in digital or 
other electronic form in a secure Local Area Network (LAN) server and/
or Wide Area Network (WAN) environment.

RETRIEVABILITY:
    Paper media are retrieved alphabetically by name of subject or 
complainant, by case number, and/or by special agent name and/or 
employee identifying number. Electronic media are retrieved by the name 
or identifying number for a complainant, subject, victim, or witness; 
by case number; by special agent name or other personal identifier; or 
by regional office designation.

SAFEGUARDS:
    Information in this system is safeguarded in accordance with 
applicable laws, rules and policies, including the DHS Information 
Technology Security Program Handbook. All records are protected from 
unauthorized access through appropriate administrative, physical, and 
technical safeguards. These safeguards include restricting access to 
authorized personnel who have a need-to-know and using locks and 
password protection identification features. IDMS file areas are locked 
at all times, and facilities are protected from the outside by security 
personnel.

RETENTION AND DISPOSAL:
    Investigative files are stored at OIG's Office of Investigations in 
Washington, DC, and in OIG field offices. OIG is in the process of 
developing a records retention schedule in conjunction with the 
National Archives and Records Administration (NARA).

SYSTEM MANAGER(S) AND ADDRESSES:
    The System Manager is the Assistant Inspector General for 
Investigations, OIG Office of Investigations/STOP 2600, 245 Murray 
Drive, SW., Building 410, Washington, DC 20528.

NOTIFICATION PROCEDURES:
    To determine whether this system contains records relating to you, 
write to the System Manager identified above.

RECORD ACCESS PROCEDURES:
    Same as ``Notification Procedures'' above. Provide your full name 
and a description of information that you seek, including the time 
frame during which the record(s) may have been generated. Individuals 
requesting access must comply with the Department of Homeland 
Security's Privacy Act regulations on verification of identity (6 CFR 
5.21(d)).

CONTESTING RECORD PROCEDURES:
    See ``Notification procedures'' and ``Record access procedures'' 
stated above.

RECORD SOURCE CATEGORIES:
    The information in this system of records is obtained from sources 
including, but not limited to, the individual record subjects; DHS 
officials

[[Page 58451]]

and employees; employees of Federal, State, local, and foreign 
agencies; and other persons and entities.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Pursuant to 5 U.S.C. 552a(j)(2) this system is exempt from the 
following provisions of the Privacy Act: 5 U.S.C. 552a (c)(3) and (4); 
(d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); 
(f)(2) through (5); and (g). Pursuant to 5 U.S.C. 552a (k)(1), (k)(2) 
and (k)(5), this system is exempt from the following provisions of the 
Privacy Act, subject to the limitations set forth in those subsections: 
5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f).

    Dated: September 26, 2005.
Nuala O'Connor Kelly,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 05-20038 Filed 10-5-05; 8:45 am]
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