[Federal Register Volume 73, Number 43 (Tuesday, March 4, 2008)]
[Notices]
[Pages 11650-11652]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-4105]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of Inspector General


Privacy Act of 1974; Revisions to OIG's Privacy Act System of 
Records: Criminal Investigative Files

AGENCY: Office of Inspector General (OIG), HHS.

ACTION: Notice of proposed revisions to existing Privacy Act systems of 
records.

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SUMMARY: The Office of Inspector General (OIG) proposes to revise and 
update the existing system of records, entitled ``Criminal 
Investigative Files'' (09-90-0003). This proposed notice is in 
accordance with the Privacy Act requirement that agencies publish their 
amended systems of records in the Federal Register when there is a 
revision, change, or addition. This system of records, maintained by 
OIG, was last revised and updated on December 8, 2006.

DATES: Effective Date: These revisions will become effective without 
further notice on April 18, 2008 unless comments received on or before 
that date result in a contrary determination.
    Comment Date: Comments on these revisions will be considered if we 
receive them at the addresses provided below no later than 5 p.m. on 
April 3, 2008. Interested parties may submit written comments on this 
proposed revision to the addresses indicated below.

ADDRESSES: In commenting, please refer to file code OIG-793-PN. Because 
of staff and resource limitations, we cannot accept comments by 
facsimile (FAX) transmission.
    You may submit comments in one of three ways (no duplicates, 
please):
    1. Electronically. You may submit electronic comments on specific 
recommendations and proposals through the Federal eRulemaking Portal at 
http://www.regulations.gov. (Attachments should be in Microsoft Word, 
if possible.)
    2. By regular, express, or overnight mail. You may send written 
comments to the following address: Office of Inspector General, 
Department of Health and Human Services, Attention: OIG-793-PN, Room 
5246, Cohen Building, 330 Independence Avenue, SW., Washington, DC 
20201. Please allow sufficient time for mailed comments to be received 
before the close of the comment period.
    3. By hand or courier. If you prefer, you may deliver, by hand or 
courier, your written comments before the close period to Office of 
Inspector General, Department of Health and Human Services, Cohen 
Building, 330 Independence Avenue, SW., Washington, DC 20201. Because 
access to the interior of the Cohen Building is not readily available 
to persons without Federal Government identification, commenters are 
encouraged to schedule their delivery with one of our staff members at 
(202) 358-3141.

[[Page 11651]]


FOR FURTHER INFORMATION CONTACT: Joel Schaer, Regulations Officer, 
Office of External Affairs, (202) 619-0089.

SUPPLEMENTARY INFORMATION: In accordance with the Inspector General Act 
of 1978, 5 U.S.C. App. 3, the Criminal Investigative Files system of 
records is maintained for the purpose of (1) conducting, documenting, 
and tracking investigations conducted by OIG or other investigative 
agencies regarding HHS programs and operations; (2) documenting the 
outcome of OIG reviews of allegations and complaints received 
concerning HHS programs and operations; (3) aiding in prosecutions 
brought against the subjects of OIG investigations; (4) maintaining a 
record of the activities that were the subject of investigations; (5) 
reporting the results of OIG investigations to other departmental 
components for their use in operating and evaluating their programs and 
the imposition of civil or administrative sanctions; and (6) acting as 
a repository and source for information necessary to fulfill the 
reporting requirements of 5 U.S.C. App. 3.
    In accordance with the Privacy Act requirement, agencies are to 
publish their amended systems of records in the Federal Register when 
there is a revision, change, or addition. This system of records was 
last revised and updated on December 8, 2006 (71 FR 71180), by updating 
the ``Systems Location'' section of that document.
    OIG has reviewed and is now proposing to revise the criminal 
investigative file system of records by (1) amending the ``Routine Uses 
of Records Maintained in the System'' section by adding a new paragraph 
o. to address the requirement for a routine use for the disclosure of 
information in the investigation of data breaches of Personally 
Identifiable Information, in accordance with Office of Management and 
Budget Memorandum M-07-16; and (2) amending the ``Policies and 
Practices for Storing, Retrieving, Reviewing, Retaining, and Disposing 
of Records in the Storage System'' portion of the system of records to 
update the discussion on access methods for the mainframe and the 
storage location of data so that it is consistent with current 
technology. OIG will accept and consider comments and feedback in 
response to only the specific revisions to the current system of 
records addressed in this notice.
    This proposed change will not otherwise increase access to these 
records.

    Dated: February 27, 2008.
Daniel R. Levinson,
Inspector General.
SYSTEM NAME:
    Criminal Investigative Files of the Inspector General HHS/OS/OIG.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    Office of Inspector General, HHS, Room 5409, Wilbur J. Cohen Bldg., 
330 Independence Avenue, SW., Washington, DC 20201.
    Region 1, Office of Investigations (OI), OIG, JFK Federal Building, 
Room 2475, Boston, Massachusetts 02203.
    Region 2, OI, OIG, 26 Federal Plaza, Room 13-124, New York, New 
York 10278.
    Region 3, OI, OIG, Public Ledger Bldg., 150 South Independence Mall 
West, Suite 326, Philadelphia, Pennsylvania 19106.
    Region 4, OI, OIG, Atlanta Federal Office, 61 Forsyth Street, SW., 
Suite 5T18, Atlanta, Georgia 30303.
    Region 5, OI, OIG, 233 North Michigan Avenue, Suite 1330, Chicago, 
Illinois 60601.
    Region 6, OI, OIG, 1100 Commerce Street, Room 629, Dallas, Texas 
75242.
    Region 7, OI, OIG, 1201 Walnut, Suite 920, Kansas City, Missouri 
64106.
    Region 9, OI, OIG, 50 United Nations Plaza, Room 174, San 
Francisco, California 94102.
    Los Angeles Region, OI, OIG, 600 West Santa Ana Blvd., Suite 1100, 
Santa Ana, California 92701.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals relevant to a criminal investigation, including but not 
limited to the subjects of an investigation, complainants, and key 
witnesses where necessary for future retrieval.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Criminal investigative files and extracts from that file consisting 
of computerized case management and tracking files.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Inspector General Act of 1978, 5 U.S.C. App. 3, authorizes 
Inspectors General to conduct, supervise, and coordinate investigations 
relating to the programs and operations of their respective agencies.

PURPOSE(S):
    Pursuant to the Inspector General Act of 1978, 5 U.S.C. App. 3, 
this system is maintained for the purpose of conducting, documenting, 
and tracking investigations conducted by OIG or other investigative 
agencies regarding HHS programs and operations, documenting the outcome 
of OIG reviews of allegations and complaints received concerning HHS 
programs and operations, aiding in prosecutions brought against the 
subjects of OIG investigations, maintaining a record of the activities 
that were the subject of investigations, reporting the results of OIG 
investigations to other departmental components for their use in 
operating and evaluating their programs and the imposition of civil or 
administrative sanctions, and acting as a repository and source for 
information necessary to fulfill the reporting requirements of 5 U.S.C. 
App. 3.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSE OF SUCH USES:
    a. Information from this system of records may be disclosed to any 
other Federal agency or any foreign, State, or local government agency 
responsible for enforcing, investigating, or prosecuting violations of 
administrative, civil, or criminal law or regulation where that 
information is relevant to an enforcement proceeding, investigation, or 
prosecution within the agency's jurisdiction.
    b. Information from this system of records may be disclosed to (1) 
The Department of Justice in connection with requests for legal advice 
and in connection with actual or potential criminal prosecutions or 
civil litigation pertaining to the Office of Inspector General, and (2) 
a Federal or State grand jury, a Federal or State court, administrative 
tribunal, opposing counsel, or witnesses in the course of civil or 
criminal proceedings pertaining to the Office of Inspector General.
    c. Information in this system of records may be disclosed to a 
Federal, State, or local agency maintaining civil, criminal or other 
relevant enforcement records or other pertinent records, such as 
current licenses, if necessary to obtain a record relevant to an agency 
decision concerning the hiring or retention of an employee, the 
issuance of a license, grant or other benefit.
    d. Information in this system of records may be disclosed to a 
Federal agency in response to its request in connection with the hiring 
or retention of an employee, the issuance of a security clearance, the 
reporting of an investigation of an employee, the letting of a 
contract, or the issuance of a license grant, or other benefit by the 
requesting agency, to the extent that the record is relevant and 
necessary to the requesting agency's decision on the matter.

[[Page 11652]]

     e. Relevant information may be disclosed from this system of 
records to the news media and general public where there exists a 
legitimate public interest, e.g., to provide information on events in 
the criminal process, such as indictments, and where necessary, for 
protection from imminent threat to life or property.
    f. Where Federal agencies having the power to subpoena other 
Federal agencies' records, such as the Internal Revenue Service, or 
issue a subpoena to the department for records in this system or 
records, the department will make such records available.
    g. When the department contemplates that it will contract with a 
private firm for the purpose of collating, analyzing, aggregating or 
otherwise refining records in this system, relevant records will be 
disclosed to such contractor. The contractor shall be required to 
maintain Privacy Act safeguards with respect to such records.
    h. Disclosures may be made to organizations deemed qualified by the 
Secretary to carry out quality assessments.
    i. Information from this system of records may be disclosed in the 
course of employee discipline of competence determination proceedings.
    j. Disclosures may be made to a congressional office from the 
record of an individual in response to an inquiry from the 
congressional office made at the request of the individual.
    k. Information from this system of records may be disclosed to the 
Department of Justice, to a judicial or administrative tribunal, 
opposing counsel, and witnesses, in the course of proceedings involving 
HHS, an HHS employee (where the matter pertains to the employee's 
official duties), or the United States, or any agency thereof where the 
litigation is likely to affect HHS, or HHS is a party or has an 
interest in the litigation and the use of the information is relevant 
and necessary to the litigation.
    l. Information of this system of records may be disclosed to a 
Federal, State or local agency maintaining pertinent records, if 
necessary, to obtain a record relevant to a department decision 
concerning the hiring or retention of an employee, the issuance of a 
security clearance, the letting of a contract, or the issuance of a 
license, grant, or other benefit.
    m. Information from this system of records may be disclosed to 
third party contacts, including public and private organizations, in 
order to obtain information relevant and necessary to the investigation 
of potential violations in HHS programs and operations, or where 
disclosure would enable the OIG to identify violations in HHS programs 
or operations or otherwise assist the OIG in pursuing on-going 
investigations.
    n. A record may be disclosed to any official charged with the 
responsibility to conduct qualitative assessment reviews of internal 
safeguards and management procedures employed in investigative 
operations. This disclosure category includes 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 the Department of Justice and the 
Federal Bureau of Investigation.
    o. A record may be disclosed to appropriate Federal agencies and 
Department contractors that have a need to know the information for the 
purpose of assisting the Department's efforts to respond to a suspected 
or confirmed breach of the security or confidentiality of information 
maintained in this system of records, and the information disclosed is 
relevant and necessary for that assistance.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, REVIEWING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM STORAGE:
    The records, which take the form of index cards, investigative 
reports, microcomputer disks, drives and/or CDs, files and printed 
listings are maintained under secure conditions in limited access 
areas. Written documents and computer disks are maintained in secure 
rooms, in security type safes or in lock bar file cabinets with 
manipulation proof combination locks. Computer servers containing files 
are locked in controlled-access rooms. Laptops that may contain files 
are protected with whole-disk encryption.

RETRIEVABILITY:
    Records are retrievable by manual or computer search of indices 
containing the name or Social Security number of the individual to whom 
the record applies. Records may be cross-referenced by case or 
complaint number.

SAFEGUARDS:
    Records are maintained in a restricted area and accessed only by 
Department personnel. Access within OIG is strictly limited to 
authorized staff members. All employees are given instructions on the 
sensitivity of such files and the restrictions on disclosure. Access 
within HHS is strictly limited to the Secretary, Under-Secretary, and 
other officials and employees on a need-to-know basis. All files and 
printed materials are safeguarded in accordance with the provisions of 
the National Institute of Standards and Technology, OMB Memoranda, and 
HHS Information Security policies and guidelines.

RETENTION AND DISPOSAL:
    Investigative files are retained for 10 years after completion of 
the investigation and/or action based thereon. Paper and computer 
indices are retained permanently. The records control schedule and 
disposal standards may be obtained by writing to the Systems Manager at 
the address below.

SYSTEM MANAGER(S) AND ADDRESS:
    Inspector General, Room 5250, Wilbur J. Cohen Building, Department 
of Health and Human Services, 330 Independence Avenue, SW., Washington, 
DC 20201.

NOTIFICATION PROCEDURES:
    Exempt. However, consideration will be given requests addressed to 
the system manager. For general inquiries, it would be helpful if the 
request included date of birth and Social Security number, as well as 
the name of the individual.

RECORDS ACCESS PROCEDURE:
    Same as notification procedures. Requestors should also reasonably 
specify the record contents being sought.

CONTESTING RECORD PROCEDURES:
    Contact the system manager at the address specified above, and 
reasonably identify the record, specify the information to be 
contested, and the corrective action sought with supporting 
justification.

RECORD SOURCE CATEGORIES:
    OIG collects information from a wide variety of sources, including 
information from the Department and other Federal, State, and local 
agencies, witnesses, complaints and other nongovernmental sources.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    In accordance with subsection (j)(2) of the Privacy Act, 5 U.S.C. 
552a(j)(2), the Secretary has exempted this system from the access, 
amendment, correction, and notification provisions of the Act, 5 U.S.C. 
552a(c)(3), (d)(1)-(4), (e)(3), and (e)(4)(G) and (H).

 [FR Doc. E8-4105 Filed 3-3-08; 8:45 am]
BILLING CODE 4152-01-P