[Federal Register Volume 77, Number 140 (Friday, July 20, 2012)]
[Notices]
[Pages 42797-42801]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-17696]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-OST-2012-0102]


Privacy Act of 1974; Department of Transportation Office of the 
Secretary--DOT/OST-100 Investigative Record System

AGENCY: Office of the DOT Chief Information Office, Office of the 
Secretary, DOT.

ACTION: Notice of revised Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Transportation proposes to update and reissue a current Department of 
Transportation system of records titled, DOT/OST 100 Investigative 
Record System. This system of records will allow the Department of 
Transportation Office of the Inspector General to collect and maintain 
records on individuals who may be complainants, subjects, witnesses, 
and others who may be identified during the course of an investigation. 
The records and information collected and maintained in this system are 
used to document the processing of allegations of violations of 
criminal, civil, and administrative laws and regulations relating to 
DOT programs, operations, and employees, as well as contractors and 
other individuals and entities associated with DOT.
    As a result of biennial review of the system, this system of 
records notice has been updated within the system name, system 
location, categories of individuals and records in the system, 
authority for maintenance of the system, purposes, routine uses, as 
well as storage, retrievability, safeguards, retention and disposal, 
system manager and address, notification procedure, and record source 
categories. There will be no change to the Privacy Act exemptions in 
place for this system of records. However, the system of records notice 
as published in 2000 omitted certain exemptions contained in DOT's 
Privacy Act regulations. The revised system of records notice will 
correct this error. Additionally, this notice includes non-substantive 
changes to simplify the formatting and text of the previously published 
notice. This updated and revised system will be included in the 
Department of Transportation's inventory of record systems.

DATES: Effective August 18, 2012. Written comments should be submitted 
on or before the effective date. If no comments are received, the 
proposal will become effective on the above date. If comments are 
received, the comments will be considered and, where adopted, the 
documents will be republished with changes.

ADDRESSES: You may submit comments, identified by Docket Number DOT-
OST-2012-0102, by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Ave. SE., West Building Ground Floor, 
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: West Building Ground Floor, Room 
W12-140, 1200 New Jersey Ave. SE., between 9 a.m. and 5 p.m. ET, Monday 
through Friday, except Federal Holidays.
     Fax: (202) 493-2251.
    Instructions: You must include the agency name and docket number 
DOT-OST-2012-0102.
    All comments received will be posted without change to http://www.regulations.gov, including any personal information provided. 
Anyone is able to search the electronic form of all comments received 
in any of our dockets by the name of the individual submitting the 
comment (or signing the comment, if submitted on behalf of an 
association, business, labor union, etc.).
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov or to the street 
address listed above. Follow the online instructions for accessing the 
docket.

FOR FURTHER INFORMATION CONTACT: For general questions please contact: 
Seth B. Kaufman, Department of Transportation, Office of Inspector 
General, Seventh Floor, J-3, 1200 New Jersey Ave. SE., Washington, DC 
20590; or by facsimile (202) 366-1975. For privacy issues please 
contact: Claire W. Barrett, Departmental Chief Privacy Officer, Privacy 
Office, Department of Transportation, Washington, DC 20590; 
[email protected]; or (202) 527-3284.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Transportation (DOT) Office of the Secretary proposes to 
update and reissue a previously published DOT system of records titled 
DOT/OST 100 Investigative Record System. This system of records will 
allow the Department of Transportation Office of the Inspector General 
to collect and maintain records on individuals who may be complainants, 
subjects, witnesses, and others who may be identified during the course 
of an investigation. As noted above, the primary intent of the revision 
is to add routine uses to this system. We also seek to update and 
clarify other parts of the system of records notice (SORN) in part to 
reflect changes to the OIG organization and programs since its last 
publication in 2000.
    The DOT Inspector General is responsible for conducting and 
supervising independent and objective audits, inspections, and 
investigations of the programs and operations of DOT. OIG promotes 
economy, efficiency, and effectiveness within the Department and 
prevents and detects fraud, waste, and abuse in its programs and 
operations. OIG's Office of Investigations investigates allegations of 
criminal, civil, and administrative misconduct involving DOT employees, 
contractors, grantees, and Departmental programs and activities. This 
includes investigating for violations of criminal laws by entities 
regulated by DOT, regardless of whether they receive Federal funds. 
These investigations can result in criminal prosecutions, fines, civil 
monetary penalties, and administrative sanctions.
    The DOT/OST 100 Investigative Record System, system of records 
assists the OIG with receiving and processing allegations of violation 
of criminal, civil, and administrative laws and regulations relating to 
DOT employees, contractors, grantees, regulated persons, and other 
individuals and entities associated with DOT. The system includes both 
paper investigative files and OIG's electronic case management and 
tracking information system which also generates reports. The case 
management system allows OIG to manage information provided during the 
course of its investigations, and, in

[[Page 42798]]

the process, to facilitate its management of investigations and 
investigative resources. Through this system, OIG can create a record 
showing disposition of allegations; track actions taken by management 
regarding misconduct; track legal actions taken following referrals to 
the U.S. Department of Justice for prosecution or civil action; provide 
a system for creating and reporting statistical information; and track 
government property and other resources used in investigative 
activities.
    This SORN makes several changes to the existing system of records. 
It amends the system name, system locations, purposes, routine uses, as 
well as storage, retrievability, safeguards, retention and disposal, 
system manager and address, notification procedure, and record source 
categories.
    OIG's field office locations have undergone changes since this SORN 
was last updated. The proposed SORN will not list the location of 
specific field offices to avoid the need to update the SORN as 
locations of OIG field offices change. OIG's field offices are 
available on the OIG Web site. Accordingly, listing of individual 
regional offices in the SORN is not necessary.
    The categories of individuals and records covered by the system 
have been revised to more clearly reflect OIG practice. The revision 
does not make any substantive change in longstanding OIG practice. 
Accordingly, there are no privacy impacts associated with these 
changes.
    The categories of individuals covered by the previously published 
SORN include present and former DOT employees, DOT contractors and 
employees as well as grantees, sub-grantees, contractors, 
subcontractors and their employees and recipients of DOT monies, and 
other individuals or incidents subject to investigation within the 
purview of the Inspector General Act. In the revised SORN, we clarify 
that the system includes complainants, individuals alleged to have been 
involved in wrongdoing, individuals identified as possibly relevant to 
the investigation or who are contacted by OIG during the investigation; 
and DOT OIG investigative personnel. The revised SORN does not reflect 
any expansion of the categories of individuals covered by the system. 
We are also clarifying the record categories in the system. The 
previously published SORN describes the categories as the results of 
investigations. A report of investigation by nature contains many types 
of personal information. The SORN that has been in place does not, 
however, describe with particularity the types of personal information 
that may be contained in this system. The revised SORN gives more 
information about the categories of records that OIG actually maintains 
in this system.
    The authority for the maintenance of the system has been amended to 
include additional authority. In 1999, the Motor Carrier Safety 
Improvement Act, Public Law 106-159, Section 228, clarified that OIG's 
statutory authority of the Inspector General of the Department of 
Transportation includes authority to conduct, pursuant to Federal 
criminal statutes, investigations of allegations that a person or 
entity has engaged in fraudulent or other criminal activity relating to 
the programs and operations of the Department or its operating 
administrations. It also provided that the authority to conduct these 
investigations extends to any person or entity subject to the laws and 
regulations of the Department or its operating administrations, whether 
or not they are recipients of funds from the Department or its 
operating administrations. Although this law, later codified at 49 
U.S.C. Sec.  354, was intended to be a clarification of OIG's existing 
statutory authority, we believe it appropriate to cite this statute in 
the authority section of the SORN.
    The purposes of the system have been revised to more clearly 
identify OIG practices. The existing version states that the purposes 
of the system are to ``[d]ocument the administration of investigations 
and inquiries conducted under of the Inspector General Act of 1978.'' 
The Inspector General Act provides authority for OIG to conduct a 
number of different types of investigations. The proposed version 
contains more specific purposes for the system, but makes no 
substantive changes.
    The routine uses have been updated to reflect current practices 
with the OIG community. New routine uses include disclosure of records 
in this system of records to the media and the public when the public 
interest requires and when such disclosure does not constitute an 
unwarranted invasion of privacy. The routine use for public and media 
disclosures is to fulfill the mission of the Inspector General to deter 
and detect waste, fraud, abuse, and violations of law. It could be used 
for media releases for purposes such as helping to locate suspects or 
publicizing particular cases to maximize their deterrent value. These 
types of disclosures will require the approval of OIG counsel after 
review of the privacy interests involved and the need for public 
disclosure. We also propose a routine use for disclosure to individuals 
who are in danger or in situations involving an imminent danger of 
death or physical harm. The new routine uses also include disclosure of 
records to recipients of Federal funds and entities regulated by DOT 
when such disclosure is for the purpose of recovering DOT funds or 
enabling disciplinary or corrective action. This routine use would help 
employers to take appropriate action with respect to their employees, 
contractors, subcontractors, and others who have committed violations 
of law, agency policy, or other misconduct. We also seek a routine use 
for disclosures to other Federal agencies the purpose of oversight, 
such as peer reviews of the OIG Office of Investigations. Accordingly, 
any effects on privacy interests due to these routine uses are 
justified, appropriate, and in the public interest.
    The revised SORN also updates storage, retrievability, and 
safeguards to reflect modern standards. For instance, the storage and 
retrievability sections explicitly reference the use of electronic 
records. The access controls on electronic records include two-factor 
authentication, password protection features, and network 
authentication. These new access controls increase the privacy 
protections afforded to these records.
    The retention and disposal section reflects the National Archives 
and Records Administration (NARA)-approved disposition schedule for 
these records which was approved since the last update to the SORN.
    The system manager and address is being changed to reflect a title 
change for the head of the OIG Office of Investigations. The previously 
published SORN lists the system manager as the Assistant Inspector 
General for Investigations. The duties, functions, and authority for 
the Principal Assistant Inspector General for Investigations are in all 
material respects the same as those formerly held by the Assistant 
Inspector General for Investigations. In addition, the address of the 
system manager is being updated to reflect a relocation of the 
Department of Transportation to a new building within the District of 
Columbia. Accordingly, there are no substantive changes to these 
sections. The record source categories more clearly state the types of 
sources for records that are obtained for this system. The previously 
published SORN states that record sources are obtained from interviews, 
review of records and other authorized investigative techniques. The 
previously published SORN emphasizes the methods by which OIG obtains 
records.

[[Page 42799]]

In this revision, we seek to clarify the types of individuals from 
which OIG obtains records. These changes do not reflect any substantive 
changes.
    Consistent with DOT's information sharing mission, information 
stored in the DOT/OST 100 Investigative Record System system of records 
may be shared with appropriate Federal, State, local, tribal, foreign, 
or international government agencies. This sharing will only take place 
after OIG determines that the receiving agency has a need to know the 
information to carry out law enforcement or other functions consistent 
with the routine uses set forth in this system of records notice.
    There will be no change to the Privacy Act exemptions previously 
established for this system of records. The Appendix to Part 10, Title 
49, Code of Federal Regulations, contains the Privacy Act exemptions 
for all DOT systems of records. Paragraph D of Part II of the Appendix 
provides that those portions of DOT/OST 100 consisting of investigatory 
material compiled for the purpose of determining suitability, 
eligibility, or qualifications for Federal civilian employment, 
military service, or access to classified information or used to 
determine potential for promotion in the armed services, are exempt 
from sections (c)(3) (Accounting of Certain Disclosures), (d) (Access 
to Records), (e)(4)(G), (H), and (I) (Agency Requirements), and (f) 
(Agency Rules) of 5 U.S.C. 552a to the extent that disclosure of such 
material would reveal the identity of a source who provided information 
to the Government under an express or, prior to September 27, 1975, an 
implied promise of confidentiality (5 U.S.C. 552a(k)(5) and (7)). These 
exemptions under (k)(5) and (k)(7) appear to have been inadvertently 
omitted when DOT/OST 100 was last published in 2000. The revised SORN 
corrects this error and harmonizes the SORN with these exemptions that 
have been codified in Federal regulations for many years.
    The exemption for records used to determine promotion in the armed 
forces potential is needed for records relating to the United States 
Coast Guard (USCG). USCG was part of DOT until its transfer to the 
Department of Homeland Security in March 2003. OST/DOT 100 contains 
records of investigations relating to USCG programs and operations. 
Until these records reach their end of the retention period, OIG has 
need of this exemption. After the retention period is over, OIG will 
re-assess its need for this exemption.

II. Privacy Act

    The Privacy Act (5 U.S.C. 552a) governs the means by which the 
Federal Government collects, maintains, and uses personally 
identifiable information (PII) in a System of Records. A ``System of 
Records'' is a group of any records under the control of a Federal 
agency from which information about individuals is retrieved by name or 
other personal identifier. The Privacy Act requires each agency to 
publish in the Federal Register a System of Records notice (SORN) 
identifying and describing each System of Records the agency maintains, 
including the purposes for which the agency uses PII in the system, the 
routine uses for which the agency discloses such information outside 
the agency, and how individuals to whom a Privacy Act record pertains 
can exercise their rights under the Privacy Act (e.g., to determine if 
the system contains information about them and to contest inaccurate 
information).
    In accordance with 5 U.S.C. 552a(r), DOT has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.
SYSTEM OF RECORDS:
    Department of Transportation (DOT)/OST-100.

SYSTEM NAME:
    Department of Transportation/Office of the Inspector General--100 
Investigative Record System.

SECURITY CLASSIFICATION:
    Unclassified--sensitive.

SYSTEM LOCATION:
    Records are maintained at the DOT OIG Headquarters in Washington, 
DC, and in DOT OIG field offices nationwide. Records are also 
maintained by Federal Records Centers.

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 the DOT, 
other Federal agencies, and DOT contractors, grantees, and persons 
whose association with current and former employees relate to alleged 
violations under investigation; and, (B) witnesses, complainants, 
confidential informants, suspects, defendants, or parties who have been 
identified by the DOT OIG, other DOT components, other agencies, or 
members of the general public in connection with authorized OIG 
functions; and DOT OIG employees performing investigative functions.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of records in this system include:
     Investigative agent name and contact information
     Individual's name and aliases;
     Date of birth;
     Social Security Number;
     Telephone and cell phone numbers;
     Physical and mailing addresses;
     Electronic mail addresses;
     Physical description;
     Citizenship;
     Photographs;
     Job title, employment position, and other employment data;
     Medical history;
     Any other personal information relevant to the subject 
matter of an OIG investigation;
     Investigative files containing complaints and allegations, 
witness statements; transcripts of electronic monitoring; subpoenas and 
legal opinions and advice; reports of investigation; reports of 
criminal, civil, and administrative actions taken as a result of the 
investigation; and other relevant evidence;
     Property receipts establishing chain of custody of 
evidence.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Inspector General Act of 1978, as amended, and 49 U.S.C. 354.

PURPOSE(S):
    The records and information collected and maintained in this system 
are used to document the processing of allegations of violations of 
criminal, civil, and administrative laws and regulations relating to 
DOT programs, operations, and employees, as well as contractors and 
other individuals and entities associated with DOT; monitor case 
assignments, status, disposition, 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 
Department of Justice for prosecution or litigation; create and report 
statistical information; and manage property records establishing chain 
of custody of evidence.

[[Page 42800]]

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under the 
Privacy Act, all or a portion of the records or information contained 
in this system may be disclosed outside DOT as a routine use pursuant 
to 5 U.S.C. 552a(b)(3) as follows:
    1. To other Federal, State, local, or foreign agencies or 
administrations, and licensing and professional discipline authorities, 
having interest or jurisdiction in the matter.
    2. To third parties in the course of an investigation, when 
necessary to obtain pertinent information.
    3. To any person when disclosure of the record is needed to enable 
the recipient of the record to take action to recover money or property 
of DOT, when such recovery will accrue to the benefit of the United 
States, or when disclosure of the record is needed to enable the 
recipient of the record to take appropriate disciplinary or corrective 
action to maintain the integrity of DOT programs or operations.
    4. 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.
    5. To media and the public when the public interest requires, 
unless it is determined by OIG counsel that release of specific 
information in the context of a particular case would constitute an 
unwarranted invasion of personal privacy.
    6. To an individual or individuals who are in danger or in 
situations involving an imminent danger of death or physical injury.
    7. To other agencies and the Council of Inspectors General on 
Integrity and Efficiency (CIGIE) for purposes of conducting and 
reviewing peer reviews of the OIG to ensure adequate internal 
safeguards and management procedures exist or to ensure that standards 
applicable to Government audits, investigations, or other agency 
activities are applied and followed.
    8. For other routine uses of the information, applicable to all DOT 
Privacy Act systems of Records, see ``Prefatory Statement of General 
Routine Uses'' (available at http://www.dot.gov/privacy/privacyactnotices).

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETRAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records in this system are stored electronically and/or on paper in 
secure facilities. Electronic records may be stored on magnetic disc, 
tape, digital media, and CD-ROM.

RETRIEVABLITY:
    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 field office designation.

SAFEGUARDS:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DOT automated 
systems security and access policies. Strict controls have been imposed 
to minimize the risk of compromising the information that is being 
stored. Access to 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.
    Paper files are stored in file cabinets in a locked file room to 
which only authorized personnel are provided access, on a need-to-know 
basis.

RETENTION AND DISPOSAL:
    Records will be retained and disposed in accordance with National 
Archives and Records Administration (NARA) records disposition schedule 
for OIG Investigative Case Files (N1-398-02-1, March 3, 2002).
    Files containing information or allegations which old, are of an 
investigative nature but do not relate to a specific investigation such 
as anonymous or vague allegations not warranting an investigation, 
matters referred to constituents or other agencies for handling, and 
support files providing general information which may prove useful in 
Inspector General investigations are destroyed when 5 years old.
    All other investigative case files (except those that are unusually 
significant for documenting major violations of criminal law or ethical 
standards by agency officials or others) are placed in inactive files 
when case is closed. The cutoff for inactive files occurs at the end of 
fiscal year. These files are destroyed ten years after cut off. The 
disposition of significant cases (i.e., those that result in national 
media attention, Congressional investigations and/or substantive 
changes in agency policy or procedures) will be determined by NARA and 
will be scheduled separately.

SYSTEM MANAGER(S) AND ADDRESS:
    The System Manager is the Principal Assistant Inspector General for 
Investigations, DOT OIG, Seventh Floor, JI-1, 1200 New Jersey Ave. SE., 
Washington, DC 20590.

NOTIFICATION PROCEDURE:
    The Secretary of Transportation has exempted this system from the 
notification, access, and amendment procedures of the Privacy Act 
because it is a law enforcement system. However, the Office of 
Inspector General will consider individual requests to determine 
whether or not information may be released.
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to the DOT or OIG FOIA Officer whose 
contact information can be found at http://www.dot.gov/foia under 
``Contact Us.'' If an individual believes more than one component 
maintains Privacy Act records concerning him or her, the individual may 
submit the request to the Departmental Freedom of Information Act 
Office, U.S. Department of Transportation, Room W94-122, 1200 New 
Jersey Ave. SE., Washington, DC 20590, ATTN: FOIA request.
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 49 CFR part 10. You must sign 
your request, and your signature must either be notarized or submitted 
under 28 U.S.C. 1746, a law that permits statements to be made under 
penalty of perjury as a substitute for notarization. While no specific 
form is required, you may obtain forms for this purpose from the Chief 
Freedom of Information Act Officer, http://www.dot.gov/foia or 
202.366.4542. In addition you should provide the following:
     An explanation of why you believe the Department would 
have information on you;
     Identify which component(s) of the Department you believe 
may have the information about you;
     Specify when you believe the records would have been 
created;

[[Page 42801]]

     Provide any other information that will help the FOIA 
staff determine which DOT component agency may have responsive records; 
and
    If your request is seeking records pertaining to another living 
individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information the component(s) may not be able 
to conduct an effective search, and your request may be denied due to 
lack of specificity or lack of compliance with applicable regulations.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification procedure'' above.

RECORD SOURCE CATEGORIES:
    Records are obtained from sources including, but not limited to, 
the individual record subjects; DOT employees, grantees, and 
contractors; 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)-(4); (d); 
(e)(1)-(3); (e)(4)(G)-(I); (e)(5); (e)(8); and (f)-(g).
    Pursuant to 5 U.S.C. 552a(k)(1), 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)(4)(G)-(I) and 
(f).
    Pursuant to 5 U.S.C. 552a(k)(2), 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) and (d).
    Pursuant to 5 U.S.C. 552a(k)(5) and (k)(7), 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)(4)(G)-(I); and (f).

    Issued in Washington, DC, on July 19, 2012.
Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2012-17696 Filed 7-19-12; 8:45 am]
BILLING CODE 4910-9X-P