[Federal Register Volume 73, Number 12 (Thursday, January 17, 2008)]
[Notices]
[Pages 3228-3230]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-784]


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 Notices
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 This section of the FEDERAL REGISTER contains documents other than rules 
 or proposed rules that are applicable to the public. Notices of hearings 
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  Federal Register / Vol. 73, No. 12 / Thursday, January 17, 2008 / 
Notices  

[[Page 3228]]



AGENCY FOR INTERNATIONAL DEVELOPMENT


Privacy Act of 1974, as Amended

AGENCY: United States Agency for International Development.

ACTION: Notice of Significantly Altered System of Records.

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SUMMARY: The United States Agency for International Development (USAID) 
is issuing public notice of its intent to alter its system of records 
maintained in accordance with the Privacy Act of 1974 (5 U.S.C. 552a), 
as amended, entitled ``AID-9--Criminal Law Enforcement Records.'' USAID 
is updating this system to reflect the current administrative status, 
to add new general routine uses, and to enhance the descriptions of 
other data elements in order to provide further transparency into 
USAID's record-keeping practices.

DATES: The update to the system of records set forth in this notice 
will become effective at the end of the comment period, unless comments 
are received that would require a revision. To be assured of 
consideration, comments must be received on or before February 26, 
2008.

ADDRESSES: Comments may be submitted by any of the methods listed 
below.

Electronic Comments

     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions on the Web site for submitting comments.
     E-mail: [email protected].

Paper Comments

     Mail: Chief Privacy Officer, USAID, 1300 Pennsylvania 
Avenue, NW., Room 2.12-003, Washington, DC 20523
     Facsimile: (703) 666-1466.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Kimberley Bynum (202-712-4010). For privacy-related issues, please 
contact: Olivia Gifford (202-712-1150).

SUPPLEMENTARY INFORMATION: USAID is undertaking a review of all its 
system of records notices to ensure that it maintains complete, 
accurate, timely, and relevant records. As a result of this effort, 
USAID is proposing to revise its ``Criminal Law Enforcement Records'' 
system of records notice in its entirety due to the number of proposed 
changes. The Criminal Law Enforcement Records are maintained by the 
Office of Investigations, Office of Inspector General (OIG), USAID, in 
the conduct of investigations of illegal, unlawful, or otherwise 
violative conduct, and inquiries preliminary thereto, undertaken by 
that office pursuant to the Inspector General Act of 1978, as amended. 
OIG is statutorily directed to conduct and supervise investigations 
related to the programs and operations of USAID; to promote economy, 
efficiency, and effectiveness in the administration of such programs 
and operations; and to prevent and detect fraud, waste, and abuse in 
such programs and operations. As such, the records in this system are 
used in the course of investigating individuals and entities suspected 
of having committed illegal or unethical acts, and in supporting 
related criminal prosecutions, civil proceedings, and administrative 
actions.
    This notice is being published in connection with USAID/OIG's 
intent to automate a portion of the Office of Investigations's existing 
Criminal Law Enforcement Records system, to provide further 
transparency into USAID's record-keeping practices, and to update 
public information regarding the routine uses of personally 
identifiable information within that records system. This update to the 
system by way of automation will not involve the collection of 
additional categories of information, but will instead provide 
possibilities for methods of retrieval previously unavailable.
    The revisions in this proposal will affect each data element as 
follows: change system classification; update system locations; clarify 
categories of individuals in the system; clarify categories of records 
in the system; clarify the authority for maintenance of the system; 
insert the purpose of the system of records; add new routine uses; 
revise policies and practices for storing, retrieving, accessing, 
retaining, and disposing of records in the system; update system 
manager name and address; insert procedures for notification of, access 
to, and contesting of records; identify record source categories; and 
clarify the exemptions claimed for the system. Due to the number of 
proposed alterations to the record system, USAID proposes to replace 
the existing AID 9 with the proposed altered system of record notice 
published in its entirety below.
    In accordance with 5 U.S.C. 552a(r), a report concerning this 
system has been sent to the Office of Management and Budget, and to the 
requisite congressional committees.

Philip M. Heneghan,
Chief Privacy Officer.
USAID-009

SYSTEM NAME:
    Criminal Law Enforcement Records System.

SECURITY CLASSIFICATION:
    Sensitive but Unclassified (SBU).

SYSTEM LOCATION(S):
    USAID, Office of Inspector General, 1300 Pennsylvania Avenue, NW., 
Washington DC 20523; USAID, Office of Inspector General, Regional 
Offices; and investigative site(s) used in the course of OIG 
investigation(s).

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    In connection with its investigative duties, OIG maintains records 
in its Criminal Law Enforcement Records System on the following 
categories of individuals insofar as they are relevant to any 
investigation or preliminary inquiry undertaken to determine whether to 
commence an investigation: complainants; witnesses; confidential and 
non-confidential informants; contractors; subcontractors; recipients of 
federal assistance or funds and their contractors/subcontractors and 
employees; individuals threatening USAID employees or the USAID 
Administrator; current, former, and prospective employees of USAID; 
alleged violators of USAID rules and regulations; union officials; 
individuals investigated and/or interviewed; persons suspected of 
violations of administrative, civil, and/or criminal provisions; 
grantees; sub-grantees;

[[Page 3229]]

lessees; licensees; and other persons engaged in official business with 
USAID.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system contains investigative reports and materials gathered or 
created with regard to investigations of administrative, civil, and 
criminal matters by OIG and other Federal, State, local, tribal, 
territorial, or foreign regulatory or law enforcement agencies. 
Categories of records may include: complaints; requests to investigate; 
information contained in criminal, civil, or administrative referrals; 
statements from subjects, targets, and/or witnesses; affidavits, 
transcripts, police reports, photographs, and/or documents relative to 
a subject's prior criminal record; medical records, accident reports, 
materials and intelligence information from other governmental 
investigatory or law enforcement organizations; information relative to 
the status of a particular complaint or investigation, including any 
determination relative to criminal prosecution, civil, or 
administrative action; general case management documentation; subpoenas 
and evidence obtained in response to subpoenas; evidence logs; pen 
registers; correspondence; records of seized property; reports of 
laboratory examination; reports of investigation; and other data or 
evidence collected or generated by OIG's Office of Investigations 
during the course of conducting its official duties.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Inspector General Act of 1978, 5 U.S.C. App. 3, as amended.

PURPOSE:
    The records contained in this system are used by OIG to carry out 
its statutory responsibilities under the Inspector General Act of 1978, 
as amended, to conduct and supervise investigations relating to 
programs and operations of USAID; to promote economy, efficiency, and 
effectiveness in the administration of such programs and operations; 
and to prevent and detect fraud, waste, and abuse in such programs and 
operations. The records are used in the course of investigating 
individuals and entities suspected of having committed illegal or 
unethical acts, and in conducting related criminal prosecutions, civil 
proceedings, and administrative actions.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    USAID's routine uses, see 42 FR 47371 (September 20, 1977) and 59 
FR 52954 (October 20, 1994), apply to this system of records. As 
additional routine uses for this records system, USAID/OIG may disclose 
information in this system as follows:
    (a) Disclosure to the Department of Justice (DOJ) or a legal 
representative designated by a Federal agency in circumstances in 
which:
    (1) USAID or OIG, or any component thereof;
    (2) Any employee of USAID or OIG in his or her official capacity;
    (3) Any employee of USAID or OIG in his or her individual capacity, 
where the DOJ 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 litigation or has an interest in such litigation, 
USAID or OIG will be affected by the litigation, or USAID or OIG 
determines that the use of such records by the DOJ is relevant and 
necessary to the litigation; provided, however, that in each case, 
USAID or OIG determines that disclosure of the records to the DOJ is a 
use of the information that is compatible with the purpose for which 
the records were collected.
    (b) Disclosure to any source from which additional information is 
requested in order to obtain information relevant to:
    (1) A decision by either USAID or OIG concerning the hiring, 
assignment, or retention of an individual or other personnel action;
    (2) The issuance, renewal, retention, or revocation of a security 
clearance;
    (3) The execution of a security or suitability investigation;
    (4) The letting of a contract; or
    (5) 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 USAID or OIG on the matter.
    (c) Disclosure to a Federal, State, local, foreign, tribal, 
territorial, or other public authority in response to its request in 
connection with:
    (1) The hiring, assignment, or retention of an individual;
    (2) The issuance, renewal, retention, or revocation of a security 
clearance;
    (3) The execution of a security or suitability investigation;
    (4) The letting of a contract; or
    (5) 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.
    (d) Disclosure in the event that a record, either by itself or in 
combination with other information, indicates a violation or a 
potential violation of law, whether civil, criminal, or regulatory in 
nature, and whether arising by general statute or particular program 
statute, or by regulation, rule, or order issued pursuant thereto; or a 
violation or potential violation of a contract provision. In these 
circumstances, the relevant records in the system may be referred, as a 
routine use, to the appropriate entity, whether Federal, State, tribal, 
territorial, local or foreign, charged with the responsibility of 
investigating or prosecuting such violation or charged with enforcing 
or implementing the statute, rule, regulation, order, or contract.
    (e) Disclosure to any source from which additional information is 
requested, either private or governmental, to the extent necessary to 
solicit information relevant to any investigation, audit, or 
evaluation.
    (f) Disclosure to a foreign government pursuant to an international 
treaty, convention, or executive agreement entered into by the United 
States.
    (g) Disclosure to contractors, grantees, consultants, or volunteers 
performing or working on a contract, service, grant, cooperative 
agreement, job, or other activity for USAID 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 of 1974 as provided in 5 
U.S.C. 552a(m).
    (h) Disclosure to representatives of the Office of Personnel 
Management, 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, and such other 
functions promulgated in 5 U.S.C. 1205-06.
    (i) Disclosure 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.
    (j) Disclosure in response to a facially valid subpoena for the 
record.
    (k) Disclosure to the National Archives and Records Administration 
for the purpose of records management inspections conducted under 
authority of 44 U.S.C. 2904, 2906.

[[Page 3230]]

    (l) Disclosure 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.
    (m) Disclosure to any Federal official charged with the 
responsibility to conduct qualitative assessment reviews of internal 
safeguards and management procedures employed in investigative 
operations for purposes of reporting to the President and Congress on 
the activities of OIG as contemplated by the Homeland Security Act of 
2002 (Pub. L. No. 107-296; November 25, 2002). This disclosure category 
includes other Federal offices of inspectors general and members of the 
President's Council on Integrity and Efficiency, and officials and 
administrative staff within their investigative chain of command, as 
well as authorized officials of DOJ and its component, the Federal 
Bureau of Investigation.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    Not applicable.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records and all other media (photographs, audio recordings, 
diskettes, CD's, etc.) are stored in GSA-approved security containers 
with combination locks in a secured area. Electronic records are 
password protected and maintained on a file server in locked facilities 
that are secured at all times by security systems and video 
surveillance cameras.

RETRIEVABILITY:
    Records are retrieved in a database by name and/or alias, as well 
as by non-personally identifiable information, such as case number.

SAFEGUARDS:
    Access to paper records is restricted to authorized OIG employees 
on a need-to-know basis. At all times, paper records are maintained in 
locked safes in a secured area in offices that are occupied by 
authorized OIG employees. Access to electronic records is restricted to 
authorized OIG staff members on a need-to-know basis. Each person 
granted access to the system must be individually authorized to use the 
system. Disclosure of records maintained electronically is restricted 
through the use of passwords. The computer servers in which records are 
stored are password protected. Passwords are changed on a cyclical 
basis. The computer servers are located in locked facilities that are 
secured at all times by security systems and video surveillance 
cameras. The security systems provide immediate notification of any 
attempted intrusion to USAID Security personnel. All data exchanged 
between the servers and individual computers is encrypted. Backup tapes 
are stored in a locked and controlled room in a secure, off-site 
location.

RETENTION AND DISPOSAL:
    Records relating to persons covered by this system are retained for 
two or five years after the investigation is closed. If an 
investigation does not involve allegations against a senior level USAID 
employee, is not of congressional interest, or does not yield a 
reportable result, the records within the closed case file are 
maintained for a period of two years from the date of closing by OIG. 
If the investigation yields a reportable result, has congressional 
interest, or involves allegations against a senior level USAID 
employee, the records within the closed case file will be retained for 
five years from the date of closing by OIG. After the applicable period 
(two or five years), closed investigative files will be sent from 
USAID, Office of Inspector General, 1300 Pennsylvania Avenue, NW., 
Washington, DC 20523, to the Washington National Records Center in 
Suitland, Maryland, where they will be retained for fifteen years, and 
subsequently destroyed. Any electronic file that qualifies as a record 
will be printed out and treated as a hard-copy record for disposition 
purposes.

SYSTEM MANAGER AND ADDRESS:
    Kimberley Bynum, (202-712-4010).

NOTIFICATION PROCEDURES:
    Records in this system are exempt from notification, access, and 
amendment procedures in accordance with subsections (j) and (k) of 5 
U.S.C. 552a, and 22 CFR 215.13 and 215.14. Individuals requesting 
notification of the existence of records on themselves should send 
their request to the System Manager (see information above). The 
request must be in writing and include the requester's full name, his 
or her current address, his or her date and place of birth, and a 
return address for transmitting the information. The request shall be 
signed by either notarized signature or by signature under penalty of 
perjury. Requesters shall also reasonably specify the record contents 
being sought.

RECORDS ACCESS PROCEDURES:
    An individual requesting access to records maintained on himself or 
herself should address the request to the System Manager as described 
in ``Notification Procedures'' above.

CONTESTING RECORD PROCEDURES:
    An individual requesting amendment of a record maintained on 
himself or herself must identify the information to be changed and the 
corrective action sought. Requests should be addressed to the System 
Manager as described in ``Notification Procedures'' above.

RECORD SOURCE CATEGORIES:
    OIG collects information from a wide variety of sources, including 
information from USAID and other Federal, State, and local agencies, 
subjects, witnesses, complainants, confidential and/or non-confidential 
sources, and other nongovernmental entities.

SYSTEM EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    Under the specific authority provided by subsection (j)(2) of 5 
U.S.C. 552a, USAID has adopted regulations, 22 CFR 215.13 and 215.14, 
which exempt this system from the notice, access, and amendment 
requirements of 5 U.S.C. 552a, except subsections (b); (c)(1) and (2); 
(e)(4)(A) through (F); (e)(6), (7), (9), (10), and (11); and (i). If 
the provision found at subsection (j)(2) of 5 U.S.C. 552a is held to be 
invalid, then, under subsections (k)(1) and (2) of 5 U.S.C. 552a, this 
system is determined to be exempt from the provisions of subsections 
(c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a. 
See 57 FR 38276, 38280-81 (August 24, 1992). The reasons for adoption 
of 22 CFR 215.13 and 215.14 are to protect the materials required by 
Executive order to be kept secret in the interest of national defense 
of foreign policy, to maintain the integrity of the law enforcement 
process, to ensure the proper functioning and integrity of law 
enforcement activities, to prevent disclosures of investigative 
techniques, to maintain the ability to obtain necessary information, to 
prevent subjects of investigation from frustrating the investigatory 
process, to avoid premature disclosure of the knowledge of criminal 
activity and the evidentiary bases of possible enforcement actions, to 
fulfill commitments made to sources to protect their identities and the 
confidentiality of information, and to avoid endangering these sources 
and law enforcement personnel.

[FR Doc. E8-784 Filed 1-16-08; 8:45 am]
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