[Federal Register Volume 78, Number 135 (Monday, July 15, 2013)]
[Notices]
[Pages 42149-42151]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-16891]


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DEPARTMENT OF STATE

[Public Notice 8379]


Privacy Act; System of Records: State-53, Office of Inspector 
General Investigation Management System

SUMMARY: Notice is hereby given that the Department of State proposes 
to amend an existing system of records, Office of Inspector General 
Investigation Management System, State-53, pursuant to the provisions 
of the Privacy Act of 1974, as amended (5 U.S.C. 552a) and Office of 
Management and Budget Circular No. A-130, Appendix I.

DATES: This system of records will be effective on August 26, 2013, 
unless we receive comments that will result in a contrary 
determination.

ADDRESSES: Any persons interested in commenting on the amended system 
of records may do so by writing to the Director; Office of Information 
Programs and Services, A/GIS/IPS; Department of State, SA-2; 515 22nd 
Street NW., Washington, DC 20522-8001.

FOR FURTHER INFORMATION CONTACT: Director; Office of Information 
Programs and Services, A/GIS/IPS; Department of State, SA-2; 515 22nd 
Street NW., Washington, DC 20522-8001.

SUPPLEMENTARY INFORMATION: The Department of State proposes that the 
current system amend its name from ``Records of the Inspector General 
and Automated Individual Cross-Reference System'' (previously published 
at 56 FR 7071) to ``Office of Inspector General Investigation 
Management System.'' The proposed system will include revisions or 
additions to the following sections: System location, Categories of 
individuals, Categories of records, Authority for maintenance of the 
system, Safeguards, Routine Uses, Purpose, Retrievability, and 
administrative updates.
    The Department's report was filed with the Office of Management and 
Budget. The amended system description, ``Office of Inspector General 
Investigation Management System, State-53'' will read as set forth 
below.

Joyce A. Barr,
Assistant Secretary for Administration, U.S. Department of State.
STATE-53

SYSTEM NAME:
    Office of Inspector General Investigation Management System.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATIONS:
    Department of State, Office of Inspector General (OIG), Office of 
Investigations, SA-39, 1700 N. Moore St., Arlington, VA 22209 (Hard-
copy of files); National Aeronautics and Space Administration Office of 
Inspector General, Washington, DC 20546-0001 (Electronic copy of files 
maintained for OIG).

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    In connection with its investigative duties, Office of Inspector 
General (OIG) maintains records on the following categories of 
individuals:
    (a) Current or former Department of State, Broadcasting Board of 
Governors (BBG) or U.S. Section of the International Boundary and Water 
Commission (IBWC) employees;
    (b) Individuals (or firms) doing business with the Department of 
State, Broadcasting Board of Governors (BBG) or U.S. Section of the 
International Boundary and Water Commission (IBWC), including 
contractors, grantees or others funded in some way by the Department, 
BBG or IBWC;
    (c) Members of the Foreign Affairs community who come under the 
direction, coordination and/or supervision of U.S. Chiefs of Mission;
    (d) Other individuals whose association with the Department of 
State, Broadcasting Board of Governors (BBG) or U.S. Section of the 
International Boundary and Water Commission (IBWC) relates to alleged 
violations of rules of conduct, the Civil Service merit system or any 
criminal or civil misconduct affecting the integrity or facilities of 
these agencies;
    (e) Suspects, witnesses, principals, complainants, confidential or 
non-confidential informants; and
    (f) All other individuals closely connected with a matter of 
investigative interest.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records relating to investigations including reports, preliminary 
inquiries, complaints, alleged criminal, civil, or administrative 
misconduct. Categories of records include statements, affidavits, 
banking and other financial records, medical records, and personnel and 
other employment-related records obtained during the investigation. 
These records may contain names, dates of birth, passport numbers, 
Social Security numbers, account numbers and other personal 
identifiers.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Inspector General Act of 1978, as amended (5 U.S.C. Appendix; 
see 5

[[Page 42150]]

U.S.C. Appendix Sec.  4); Inspector General (22 U.S.C. 3929); Inspector 
General for the Department of State (22 U.S.C. 4861); Abolition and 
Transfer of Functions (22 U.S.C. 6533); and The Mexican Water Treaty, 
U.S.-Mex., Feb. 3, 1944, T.S. No. 994 (59 Stat. 1219).

PURPOSE(S):
    Office of Inspector General (OIG) maintains this system of records 
to conduct investigations concerning the programs and operations of the 
Department of State, Broadcasting Board of Governors (BBG) and U.S. 
Section of the International Boundary and Water Commission (IBWC) to 
promote economy, efficiency and effectiveness in the administration of 
these programs and operations and to prevent and detect fraud, waste 
and abuse. The records in this system are used in investigating 
individuals and entities suspected of having committed illegal or 
unethical acts and/or assisting in related criminal and civil 
proceedings and administrative actions.

ROUTINE USES OF RECORDS MAINTAINED IN THIS SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The records contained in Office of Inspector General (OIG) 
Investigation Management System are collected and maintained in the 
enforcement of Department of State, Broadcasting Board of Governors 
(BBG) and U.S. Section of the International Boundary and Water 
Commission (IBWC) regulations, Federal civil and criminal statutes, 
Executive Orders and the Code of Federal Regulations. These records may 
be disclosed as follows to:
    (a) Congressional Committees, in furtherance of their respective 
oversight functions;
    (b) Any Federal, state, local, tribal, territorial, foreign or 
international agency, or other public authority or professional 
organization that:
    (1) Investigates, prosecutes or assists in the investigation or 
prosecution of an alleged violation; or enforces, implements or assists 
in enforcement or implementation of any applicable statute, rule, 
regulation or order;
    (2) Maintains civil, criminal or other relevant enforcement records 
or other pertinent records, such as current professional licenses, in 
order to obtain information relevant to: an OIG investigation or other 
preliminary inquiry; a decision concerning the hiring or retention of 
an employee or other personnel action; the issuance of a security 
clearance; the establishment of a claim; or the initiation of an 
administrative, civil or criminal action; a contract award; issuance of 
a license, grant or other benefit; establishment of a claim; or 
initiation of an administrative, civil or criminal action;
    (c) Consumer reporting agency in order to obtain information 
relevant to an OIG investigation or other preliminary inquiry;
    (d) Any private or public source of information, witness or subject 
from which information is requested in the course of a legitimate OIG 
investigation or other preliminary inquiry to the extent necessary to:
    (1) Identify an individual;
    (2) Inform the source, witness or subject of the nature and purpose 
of the investigation or preliminary inquiry; or
    (3) Identify the information requested;
    (e) An attorney or other designated representative of any source of 
information, witness or subject in the course of a legitimate OIG 
investigation or other preliminary inquiry;
    (f) The Department of Justice (DOJ) on behalf of:
    (1) An employee of OIG in his or her individual capacity where DOJ 
has agreed to represent the employee, or
    (2) The United States where OIG determines that litigation is 
likely to affect the Department of State, the BBG, IBWC or any related 
components, when any of the above is a party to litigation or has an 
interest in such litigation, and the use of such records by DOJ is 
deemed by OIG to be relevant and necessary to the litigation;
    (g) A court, grand jury or an administrative or adjudicative body 
when OIG determines that use of such records is arguably relevant to 
the proceeding or when the adjudicator of an administrative or 
adjudicative body determines the records to be relevant to the 
proceeding;
    (h) A member of Congress at the sole discretion of the Inspector 
General upon a determination of the propriety of such a disclosure and 
only for such purposes as authorized by the statutory mandate of the 
Inspector General;
    (i) The Department of Justice (DOJ) for the purpose of obtaining 
its advice;
    (j) The Office of Management and Budget (OMB) for the purpose of 
obtaining its advice;
    (k) In response to a subpoena issued by an independent Federal 
agency having the power to subpoena records of Executive Federal 
agencies;
    (l) A Federal agency responsible for considering suspension or 
debarment action where the record(s) would be relevant to such action;
    (m) An entity or person, public or private, where disclosure of the 
record is needed to enable the recipient of the record to take action 
to recover money or property of the Department of State, BBG, and/or 
IBWC where such recovery will accrue to the benefit of the United 
States or where disclosure of the record is needed to enable the 
recipient of the record to take appropriate disciplinary action to 
maintain the integrity of programs or operations of the Department of 
State, BBG and/or IBWC;
    (n) A Federal, state, local or foreign agency or other public 
authority to prevent and detect fraud or abuse in benefit programs 
administered by any agency pursuant to a formal memorandum of 
understanding (MOU) for use in computer matching programs; to support 
civil and criminal law enforcement activities of any agency and its 
components; or to collect debts and overpayments owed to any agency and 
its components;
    (o) A public or professional licensing organization when such 
record indicates, either by itself or in combination with other 
information, a violation or potential violation of professional 
standards or reflects on the moral, educational or professional 
qualifications of an individual who is licensed or who is seeking to 
become licensed;
    (p) Debt collection contractors for the purpose of collecting 
delinquent debts as authorized by law.
    The Department of State periodically publishes in the Federal 
Register its standard routine uses which apply to all of its Privacy 
Act systems of records. These notices appear in the form of a Prefatory 
Statement. These standard routine uses apply to Office of Inspector 
General Investigation Management System, State-53.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Hard-copy and electronic media.

RETRIEVABILITY:
    Name, Social Security number or case number.

SAFEGUARDS:
    All Office of Inspector General (OIG) employees, contractors and 
others authorized to access this system of records have completed 
thorough background investigations as required. Physical access to OIG 
where these records are physically maintained is controlled and 
admission is limited to those individuals possessing a valid, current 
identification access card or individuals entering with proper escort. 
All hard copies are maintained in secure file cabinets located in 
restricted areas, access to which is limited to authorized personnel 
only.

[[Page 42151]]

    Access to electronic files is protected by: (1) Cryptographic 
protocols for communications over a network; (2) a unique user 
identification (ID) number; (3) a secure ID authentication token 
specific to each user and possessing its own encryption; and (4) the 
direct supervision of the system manager. The system manager has the 
capability of printing access audit trails for electronic media, 
thereby permitting regular scheduled and ad hoc monitoring of system 
access. Access privileges are consistent with the established need-to-
know, separation-of-duties and supervisory requirements. Inspector 
General reports of investigation (ROIs) and investigative files and 
related records are disseminated only to those U.S. government 
officials and offices with a clear need-to-know concerning the matter 
being reported. No secondary distribution of ROIs, investigative files 
or related records is permitted without the express, written permission 
of the Inspector General. When it is determined that a user no longer 
needs access, their user account is disabled.
    All users are given cyber security awareness training which covers 
the procedures for handling Sensitive but Unclassified information, 
including personally identifiable information (PII). Annual refresher 
training is mandatory. In addition, all Foreign Service and Civil 
Service employees and those Locally Engaged Staff who handle PII are 
required to take the Foreign Service Institute distance learning 
course, PA 459, instructing employees on privacy and security 
requirements, including the rules of behavior for handling PII and the 
potential consequences if it is handled improperly. Before being 
granted access to OIG Investigation Management System, a user must 
first be granted access to the Department of State computer system.
    Remote access to the Department of State network from non-
Department owned systems is authorized only to unclassified systems and 
only through a Department approved access program. Remote access to the 
network is configured with the Office of Management and Budget 
Memorandum M-07-16 security requirements which include but are not 
limited to two-factor authentication and time out function.

RETENTION AND DISPOSAL:
    All system records are retired in accordance with published 
Department disposition schedules as approved by the National Archives 
and Records Administration (NARA). Investigative records that have been 
closed are retired to the Federal Records Center three years after 
their closure, maintained for an additional 10 years, and then 
destroyed. More specific information on Department of State records 
disposition schedules may be obtained by writing the Director; Office 
of Information Programs and Services, A/GIS/IPS; SA-2, Department of 
State; 515 22nd Street NW., Washington, DC 20522-8100.

SYSTEM MANAGER AND ADDRESS:
    Special Agent in Charge of Operations or Designee; Inspector 
General; Office of Investigations; SA-39, 1700 North Moore Street, 
Suite 800; Arlington, Virginia 22209.

NOTIFICATION PROCEDURE:
    Individuals who have cause to believe that this system might have 
records pertaining to them and have inquiries about those records 
should write to the System Manager at the address listed above. At a 
minimum, the individual must include his or her: name; date and place 
of birth; current mailing address and zip code; signature; and other 
information helpful in identifying the record.

RECORD ACCESS AND AMENDMENT PROCEDURES:
    Individuals who wish to gain access to records pertaining to 
themselves should direct those requests, in writing, to the System 
Manager at the address listed above. The individual must specify the 
records being requested and must include, at a minimum, his or her 
name; date and place of birth; current mailing address and zip code; 
and signature, duly notarized or submitted under penalty of perjury 
(See 22 CFR part 171; 28 U.S.C. 1746). The request should be mailed in 
an envelope clearly marked ``Privacy Act Request.'' A determination as 
to exemption(s) shall be made at the time a request for access or 
amendment is received.

CONTESTING RECORD PROCEDURES:
    Individuals who wish to contest information in the system 
pertaining to themselves should write to the System Manager at the 
address listed above. The request should clearly and concisely state 
what information is being contested, the reason for contesting it, and 
the proposed amendment to the information.

 RECORD SOURCE CATEGORIES:
    These records contain information obtained from interviews, reviews 
of records, authorized investigative techniques and other agencies' 
systems of records.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    Pursuant to 5 U.S.C. 552a(j)(2), the records contained within this 
system of records are exempted from any part of the Privacy Act except 
subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), 
(9), (10) and (11), and (i).
    Pursuant to 5 U.S.C. 552a (k)(1), (k)(2) and (k)(5), the records in 
this system are exempted from the following provisions of the Privacy 
Act: subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I) and (f).
    See rules published in the Federal Register, 22 CFR part 171.

[FR Doc. 2013-16891 Filed 7-12-13; 8:45 am]
BILLING CODE 4710-42-P