[Federal Register Volume 76, Number 189 (Thursday, September 29, 2011)]
[Notices]
[Pages 60519-60522]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-25069]


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DEPARTMENT OF THE INTERIOR


Privacy Act of 1974; as Amended; Notice To Amend an Existing 
System of Records

AGENCY: Office of Inspector General, Interior.

ACTION: Notice of amendment to an existing system of records.

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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as 
amended (5 U.S.C. 552a), the Department of the Interior (DOI) is 
issuing a public notice of its intent to amend the Office of Inspector 
General (OIG) Investigative Records system of records notice. The 
amendment includes a consolidated and updated list of routine uses. The 
amended system of records is captioned ``Investigative Records--
Interior, Office of Inspector General--2 (OIG-2).'' This system of 
records OIG-2 was first published in the Federal Register on April 11, 
1977 (42 FR 19014). The system was last revised on August 18, 1983 (48 
FR 37536).

DATES: Comments must be received by November 8, 2011. This system will 
be effective November 8, 2011.

ADDRESSES: Any person interested in commenting on this amendment may do 
so by any of the following 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]. Please submit Internet 
comments as an ASCII file and avoid the use of special characters and 
any form of encryption.

Paper Comments

     Regular U.S. Mail: Sandra Evans, FOIA/Privacy Act Officer, 
Office of Inspector General, U.S. Department of the Interior, 1849 C 
Street, NW., Mail Stop--4428, Washington, DC 20240.
     Overnight mail, courier, or hand delivery: Sandra Evans, 
FOIA/Privacy Act Officer, Office of Inspector General, U.S. Department 
of the Interior, 1849 C Street, NW., Mail Stop-4428, Washington, DC 
20240.
    The OIG will post all comments on the OIG Web site (http://www.doioig.gov). Comments will be posted without change, and therefore 
submissions should only contain information that the commenter wishes 
to make publicly available.

FOR FURTHER INFORMATION CONTACT: Sandra Evans, FOIA/Privacy Act 
Officer, Office of Inspector General, U.S. Department of the Interior, 
1849 C Street, NW., Mail Stop--4428, Washington, DC 20240, [email protected].

SUPPLEMENTARY INFORMATION: The Office of Inspector General--Office of 
Investigations, and Regional Offices, maintain the above-entitled 
system of records. The purpose of this system is to store certain 
investigative case files and other materials created or gathered in the 
course of an official investigation. Records maintained in the system 
are

[[Page 60520]]

sensitive but unclassified. The amendments to the system will be 
effective as proposed at the end of the comment period (the comment 
period will end 40 days after the publication of this notice in the 
Federal Register), unless comments are received which would require a 
contrary determination. DOI will publish a revised notice if changes 
are made based upon a review of the comments received.

    Dated: September 23, 2011.
Sandra Evans,
FOIA/Privacy Act Officer, Office of Inspector General

System Name:
    Investigative Records--Interior, Office of Inspector General--2 
(OIG-2).

System Locations:
    (1) U.S. Department of the Interior, Office of Inspector General, 
1849 C Street, NW., Washington DC 20240; (2) Office of Inspector 
General, 12030 Sunrise Valley Drive, Reston, VA 20191; (3) Office of 
Inspector General Regional Offices, Regional sub-offices (a current 
listing of these offices may be obtained by writing to the System 
Manager); and (4) Investigative site during the course of an 
investigation.

Categories Of Individuals Covered By The System:
    Current former and prospective employees of the Department of the 
Interior (``DOI''), complainants, witnesses, confidential and non-
confidential informants, contractors, subcontractors, recipients of 
federal assistance or funds and their contractor/subcontractors and 
employees, alleged violators of DOI rules and regulations, union 
officials, individuals investigated and interviewed, persons suspected 
of violations of administrative, civil and criminal provisions, 
grantees, sub-grantees, lessees, licensees, and other persons engaged 
in business with the DOI or having contact with the DOI or geographical 
areas under its jurisdiction.

Categories Of Records In The System:
    Records related to investigations conducted by the OIG, including:
    (1) Complaints, requests to investigate, and administrative 
referrals;
    (2) Records of case initiation including the following data fields: 
case number, title of case, dates, offices/personnel assigned, summary;
    (3) Documents, statements, and information of any kind gathered 
through investigation;
    (4) Reports, correspondence, notes and memoranda generated by OIG 
regarding investigations;
    (5) Records on complainants, subjects, victims, witnesses 
containing the following data fields: name, status as government 
employee, social security number, birth date, birth place, aliases, 
group affiliation, employment information, government employment 
information, government employee type, grade, agency, address, phone 
number, e-mail address, and photo.

Authority For Maintenance of the System:
    Inspector General Act of 1978, 5 U.S.C. App. 3, 1-12, as amended.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    The primary use of the records is to facilitate the OIG's various 
responsibilities under the Inspector General Act of 1978, as amended. 
The OIG is statutorily directed to conduct and supervise investigations 
relating to programs and operations of the Department of the Interior 
(DOI), 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. 
Accordingly, records in this system are used within the DOI and OIG in 
the course of investigating individuals and entities suspected of 
misconduct, waste, fraud, and abuse, other illegal or unethical acts 
and in conducting related criminal prosecutions, civil proceedings, and 
administrative actions. These records are also used to fulfill 
reporting requirements, to maintain records related to the OIG's 
activities, and to prepare and issue reports to Congress, the DOI and 
its components, the Department of Justice, the public and other 
entities as appropriate within the mission of the OIG.

Disclosures outside DOI may be made without the consent of the 
individual to whom the record pertains under the routine uses listed 
below:
    For purposes of these routine uses, references to DOI or the 
Department shall include OIG.
    (1)(a) To any of the following entities or individuals, when the 
circumstances set forth in subparagraph (b) are met:
    (i) The U.S. Department of Justice (DOJ);
    (ii) A court or an adjudicative or other administrative body;
    (iii) A party to litigation or prosecution or anticipate litigation 
or prosecution before a court or an adjudicative or other 
administrative body; or
    (iv) Any DOI employee acting in his or her individual capacity if 
DOI or DOJ has agreed to represent that employee or pay for private 
representation of the employee;
    (b) When:
    (i) One of the following is a party to the proceeding or matter or 
has an interest in the proceeding or matter:
    (A) DOI or any component of DOI;
    (B) Any other Federal agency appearing before the Office of 
Hearings and Appeals;
    (C) Any DOI employee acting in his or her official capacity;
    (D) Any DOI employee acting in his or her individual capacity if 
DOI or DOJ has agreed to represent that employee or pay for private 
representation of the employee; or
    (E) The United States, or a State, District, Tribe, Territory or 
other government or entity vested with prosecution authority; and
    (ii) OIG deems the disclosure to be:
    (A) Relevant and necessary to the proceeding or matter, including 
settlement discussions; and
    (B) Compatible with the purpose for which the records were 
compiled.
    (2) To a congressional office in response to a written inquiry that 
an individual covered by the system, or the heir of such individual if 
the covered individual is deceased, has made to the office.
    (3) To any criminal, civil, or regulatory law enforcement authority 
(whether federal, state, territorial, local, tribal or foreign) when a 
record, either alone or in conjunction with other information, 
indicates a violation or potential violation of law--criminal, civil, 
or regulatory in nature, and the disclosure is compatible with the 
purpose for which the records were compiled.
    (4) To an official of another federal agency to provide information 
needed in the performance of official duties related to reconciling or 
reconstructing data files or to enable that agency to respond to an 
inquiry by the individual to whom the record pertains.
    (5) To federal, state, territorial, local, tribal, or foreign 
agencies that have requested information relevant or necessary to the 
hiring, firing or retention of an employee or contractor, or the 
issuance of a security clearance, license, contract, grant or other 
benefit, when the disclosure is compatible with the purpose for which 
the records were compiled.
    (6) To representatives of the National Archives and Records 
Administration to conduct records management inspections under the 
authority of 44 U.S.C. Sec. Sec.  2904 and 2906.
    (7) To state and local governments and tribal organizations to 
provide information needed in response to court

[[Page 60521]]

order and/or discovery purposes related to litigation, when the 
disclosure is compatible with the purpose for which the records were 
compiled.
    (8) To an expert, consultant, or contractor (including employees of 
the contractor) of DOI, that performs services requiring access to 
these records on DOI's behalf to carry out the purposes of the system.
    (9) To appropriate agencies, entities, and persons when:
    (a) It is suspected or confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; and
    (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 
interest, identity theft or fraud, or harm to the security or integrity 
of this system or other systems or programs (whether maintained by the 
Department or another agency or entity) that rely upon the compromised 
information; and
    (c) The disclosure is made to such agencies, entities and persons 
who are 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.
    (10) To the Office of Management and Budget during the coordination 
and clearance process in connection with legislative affairs as 
mandated by OMB Circular A-19.
    (11) To the Department of the Treasury to recover debts owed to the 
United States.
    (12) To the news media when the disclosure is compatible with the 
purpose for which the records were compiled.
    (13) To a consumer reporting agency if the disclosure requirements 
of the Debt Collection Act, as outlined at 31 U.S.C. 3711(e)(1), have 
been met.
    (14) To an individual or entity, to the extent necessary in order 
to seek information relevant to a decision by DOI concerning the 
hiring, assignment or retention of an individual or other personnel 
action, the issuance, renewal, or retention or revocation of a security 
clearance, the execution of a security or suitability investigation, 
the letting of a contract, or the issuance, retention or revocation of 
a license, grant, or other benefit.
    (15) To an individual or entity, to the extent necessary in order 
to seek information or assistance relevant to an OIG investigation, 
audit, or evaluation.
    (16) To a foreign government pursuant to an international treaty, 
convention, or executive agreement entered into by the United States.
    (17) To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person properly engaged in an investigation or settlement of an 
administrative grievance, complaint, claim, or appeal filed by an 
employee, special studies of the civil service and other merit systems, 
review of Human Resources or component rules and regulations, 
investigation of alleged or possible prohibited personnel practices, 
including administrative proceedings involving any individual subject 
of an OIG or DOI investigation, and such other functions promulgated in 
5 U.S.C. 1205-06.
    (18) To a grand jury agent pursuant to a federal or state grand 
jury subpoena or in response to a prosecution request that such record 
or information is released for the purpose of its introduction to a 
grand jury.
    (19) To the Office of Personnel Management (OPM) concerning 
information on pay and leave, benefits, retirement deductions, or other 
information necessary for OPM to carry out its personnel management 
functions and studies.
    (20) To Treasury and to the DOJ, when the information is subject to 
an ex parte court order permitting the disclosure of return or return 
information (26 U.S.C. 6103(b)) by the Internal Revenue Service (IRS), 
or when disclosure is necessary to facilitate obtaining such an order.
    (21) To the Federal Labor Relations Authority (FLRA) when requested 
in connection with investigations of allegations of unfair labor 
practices or matters before the Federal Service Impasses Panel.
    (22) To the Office of Government Ethics (OGE) for any purpose 
consistent with that office's mission including the compilation of 
statistical data.
    (23) To the public when the Inspector General determines that the 
disclosure would not reasonably be expected to constitute an 
unwarranted invasion of personal privacy, and:
    (a) The matter under investigation or audit becomes public 
knowledge; or
    (b) Disclosure is necessary to:
    (1) Preserve confidence in the integrity of the OIG audit or 
investigative process: or
    (2) Demonstrate the accountability of DOI officers, employees, or 
individuals covered by this system.
    (24) To complainants and/or victims to the extent necessary to 
provide such persons with information and explanations concerning the 
progress and/or results of the investigation or case arising from the 
matters of which they complained and/or of which they were a victim.
    (25) To an individual who has been interviewed or contacted by OIG 
pursuant to an audit, investigation or evaluation, OIG may provide 
copies of that individual's statements, testimony, or records produced.
    (26) To appropriate agencies, entities, and persons when OIG 
determines that disclosure may prevent or minimize a risk of harm to 
DOI programs, personnel or property, including but not limited to a 
risk of loss or misuse of funds granted or paid by the DOI to any other 
agency, entity or person.
    (27) To the Council of the Inspectors General on Integrity and 
Efficiency (CIGIE), any successor entity, and other Federal agencies 
and Offices of Inspectors General, as necessary to respond to an 
authorized audit, investigation or review.
    (28) To the Recovery Accountability and Transparency Board as 
necessary for any matters within the Board's jurisdiction.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
    Paper records and all other media including but not limited to 
(photographs, audio recordings, diskettes, and CD's) are stored in file 
cabinets in a secured area. Electronic records are maintained on a file 
server that is protected with user account access controls and other 
appropriate electronic security measures, and is physically located in 
locked facilities that are secured at all times by alarm systems and 
video surveillance cameras.

Retrievability:
    Records are retrievable by individual's name, case number, or 
document title.

Safeguards:
    Access to paper records is restricted to authorized personnel on a 
need-to-know basis. During duty hours, paper records are located in 
file cabinets in OIG space occupied by authorized personnel. During 
non-duty hours, paper records and other physical media are maintained 
in locked cabinets located in appropriately secured OIG space. Access 
to electronic records is restricted to authorized personnel who use 
them for official purposes. Each person granted access to the system 
must be individually authorized to use the system. Security of the 
system and records therein is maintained through the use of passwords 
and other electronic security measures. Passwords

[[Page 60522]]

are changed on a cyclical basis. These computer servers are located in 
locked facilities that are secured at all times by alarm systems and 
video surveillance cameras. During non-duty hours the alarm system 
provides immediate notification of any attempted intrusion to OIG 
Information Technology personnel. All data exchanged between the 
servers and individual personal computers is encrypted. Backup tapes 
are stored in a locked and controlled room in a secure, off-site 
location. Measures have been taken to ensure that the handling of this 
information meets the requirements of the Department of the Interior's 
Privacy Act regulations, 43 CFR 2.51. A Privacy Impact Assessment was 
conducted and recently updated regarding the electronic records within 
OIG-2. The assessment verified that appropriate controls and safeguards 
are in place. Safeguards include, but are not limited to, a requirement 
restricting access to the system to OIG personnel who have a ``need to 
know'' and have been granted authority by the System Manager. The 
records and system security plan is prepared in a way to reduce the 
impact to the individual's privacy and to manage the system on a ``need 
to know'' basis according to the Privacy Act.
    All personnel within OIG, including all personnel with access to 
records in OIG-2, are required to complete Privacy Act, Records 
Management, and IT Security Awareness training on an annual basis.

Retention And Disposal:
    Records relating to persons covered by this system are retained for 
ten years after the completion of the investigation and/or action based 
thereon at the U.S. Department of the Interior, Office of Inspector 
General, 1849 C St., NW., Washington DC 20240. After ten years records 
are transferred to the National Archives and Records Administration. 
Subpoena log and subpoenaed records are destroyed or returned when no 
longer needed for agency use. Records are disposed of under applicable 
guidelines. See 384 DM 1. The records control schedule and disposal 
standards may be obtained by writing to the Systems Manager at the 
address below. The specific records schedule covering the system is 
found in the United States Department of the Interior, Office of 
Secretary, Comprehensive Records Disposal Schedule, Subcategory G, 
Audit and Investigation, Item 2, Investigative Records.

System Manager And Address:
    Assistant Inspector General for Investigations, Office of Inspector 
General, U.S. Department of the Interior, 1849 C St., NW., Mail Stop 
4428, Washington, DC 20240.

Record Source Categories:
    As an investigative agency focusing on the activities of the DOI, 
OIG collects information from all relevant sources. These include (1) 
The DOI, its bureaus and components, and all employees and agents; (2) 
other federal and non-federal government agencies, and their employees 
and agents, having business with the DOI; (3) non-government entities, 
and their employees and agents, having business with the DOI; (4) any 
entity or individual, including members of the public, who make 
complaints to OIG regarding activities of the DOI or who have 
information that is relevant to our investigations.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Pursuant to 5 U.S.C. 552a(j)(2) the system is exempt from all of 
the provisions 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) and 
regulations implementing these provisions. 43 CFR 2.79(a); see also 48 
FR 37536-03 (August 18, 1983); 48 FR 37411-01 (August 18, 1983).
    Pursuant to 5 U.S.C. 552a(k)(2), the system is exempt from 5 U.S.C. 
552a subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) 
and regulations implementing these provisions. 43 CFR 2.79(b).

[FR Doc. 2011-25069 Filed 9-28-11; 8:45 am]
BILLING CODE 4310-10-P