[Federal Register Volume 86, Number 201 (Thursday, October 21, 2021)]
[Notices]
[Pages 58292-58296]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-22836]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. DHS-2021-0041]


Privacy Act of 1974; System of Records

AGENCY: Office of Inspector General, U.S. Department of Homeland 
Security.

ACTION: Notice of a modified Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the U.S. 
Department of Homeland Security (DHS), Office of Inspector General 
(OIG), proposes to modify and reissue a current DHS system of records 
titled, ``DHS/OIG-002 Investigative Records System of Records.'' This 
system of records allows DHS OIG to collect and maintain records 
related to alleged violations of criminal, civil, and administrative 
laws and regulations pertaining to DHS programs, operations, and 
employees, as well as contractors and other individuals and entities 
associated with DHS; monitor complaint and investigation assignments, 
status, disposition, and results; manage investigations and information 
provided during the course of such investigations; audit actions taken 
by DHS management regarding employee misconduct and other allegations; 
audit legal actions taken following referrals to the U.S. Department of 
Justice (DOJ) for criminal prosecution or litigation; provide 
information relating to any adverse action or other proceeding that may 
occur as a result of the findings of an investigation; and provide a 
system for calculating and reporting statistical information. DHS OIG 
is updating this system of records notice to provide notice of changes 
to the Authorities, Categories of Records, Record Source Categories, 
and Routine Uses. Additionally, DHS is issuing an updated Notice of 
Proposed Rulemaking to exempt this system of records from certain 
provisions of the Privacy Act, elsewhere in the Federal Register. This 
modified system will be included in DHS's inventory of record systems.

DATES: Submit comments on or before November 22, 2021. This modified 
system will be effective upon publication. New or modified routine uses 
will be effective November 22, 2021.

ADDRESSES: You may submit comments, identified by docket number DHS-
2021-0041 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Lynn Parker Dupree, Chief Privacy Officer, Privacy 
Office, U.S. Department of Homeland Security, Washington, DC 20528-
0655.
    Instructions: All submissions received must include the agency name 
and docket number DHS-2021-0041. All comments received will be posted 
without change to http://www.regulations.gov, including any personal 
information provided.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general and privacy questions, 
please contact: Lynn Parker Dupree, (202) 343-1717, Chief Privacy 
Officer, U.S. Department of Homeland Security, Washington, DC 20528-
0655.

SUPPLEMENTARY INFORMATION:

I. Background

    The U.S. Department of Homeland Security (DHS), Office of Inspector 
General (OIG), is modifying and reissuing this system of records notice 
under the Privacy Act of 1974 (5 U.S.C. 552). DHS OIG is responsible 
for a wide range of oversight functions, including to initiate, 
conduct, supervise, and coordinate audits, investigations, inspections, 
and other reviews relating to the programs and operations of DHS. DHS 
OIG promotes economy, efficiency, and effectiveness within DHS and 
prevents, detects, and investigates employee corruption, fraud, waste, 
and abuse in its programs and operations. DHS OIG is responsible for 
investigating allegations of criminal, civil, and administrative 
misconduct involving DHS employees, contractors, grantees, and DHS 
programs and activities. These investigations can result in criminal 
prosecutions, fines, civil monetary penalties, and administrative 
sanctions. While DHS OIG is operationally a part of DHS, it operates 
independently of DHS and all offices within it.
    The DHS/OIG-002 Investigative Records System of Records assists DHS 
OIG with receiving and processing allegations of misconduct, including 
violations of criminal and civil laws, as well as administrative 
policies and regulations pertaining to DHS employees, contractors, 
grantees, and other individuals and entities within DHS. The system 
includes complaints and investigation-related files. DHS OIG manages 
information provided during the course of its investigations to: Create 
records showing dispositions of allegations; audit actions taken by DHS 
management regarding employee misconduct; audit legal actions taken 
following referrals to the U.S. Department of Justice (DOJ) for 
criminal prosecution or civil action; calculate and report statistical 
information; manage OIG investigators' training; and manage Government-
issued investigative property and other resources used for 
investigative activities.
    DHS OIG is modifying the DHS/OIG-002 Investigative Records System 
of Records to update the Authorities, Categories of Records, Record 
Source Categories, and Routine Uses. The Authorities section is being 
updated to provide more precise statutes for collection: 6 U.S.C. 
113(b); 6 U.S.C. 795; 6 U.S.C. 142; 6 U.S.C. 345; and the Inspector 
General Act of 1978, as amended 5 U.S.C. App. Sec. Sec.  1-13. The 
Categories of Records are being updated to include: (1) Information 
obtained from social media; (2) video and photographic digital images; 
(3) case administrative information (e.g., status, reference number, 
method complaint received); (4) demographic information (e.g., gender, 
race, ethnicity); and (5) other types of credentials (e.g., driver's 
license, state ID, passport). The Categories of Records have also been 
updated to clarify the types of relevant information from inspections, 
reviews, and inquiries that may be collected.
    The Record Source Categories has been updated to clarify that 
records may be obtained from a variety of sources, to include: 
Subjects, witnesses and others associated with investigations; other 
DHS Components and Federal, state, local, nongovernmental and foreign 
agencies; educational institutions; credit bureaus; medical service 
providers; financial institutions; commercial

[[Page 58293]]

sources; and open source or publicly available information.
    Routine use (E) is being modified and a new routine use (F) is 
being added to conform to Office of Management and Budget Memorandum M-
17-12. Routine use (P) was added to describe sharing required when 
testing new technologies, under the approval of the Chief Privacy 
Officer. In addition, a redundant routine use has been removed. All 
subsequent routine uses have been renumbered to account for these 
changes. Additionally, this notice includes non-substantive changes to 
simplify the formatting and text of the previously published notice.
    Consistent with DHS's information sharing mission, information 
stored in the DHS/OIG-002 Investigative Records System of Records may 
be shared with other DHS Components that have a need to know the 
information to carry out their national security, law enforcement, 
immigration, intelligence, or other homeland security functions. In 
addition, DHS OIG may share information with appropriate federal, 
state, local, tribal, territorial, foreign, or international government 
agencies consistent with the routine uses set forth in this system of 
records notice.
    There will be no change to the Privacy Act exemptions currently in 
place for this system of records and therefore they remain in effect. 
This modified system will be included in DHS's inventory of record 
systems.

II. Privacy Act

    The Privacy Act codifies fair information practice principles in a 
statutory framework governing the means by which Federal Government 
agencies collect, maintain, use, and disseminate individuals' records. 
The Privacy Act applies to information that is maintained in a ``system 
of records.'' A ``system of records'' is a group of any records under 
the control of an agency from which information is retrieved by the 
name of an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass U.S. citizens and lawful 
permanent residents. Additionally, the Judicial Redress Act (JRA) 
provides covered persons with a statutory right to make requests for 
access and amendment to covered records, as defined by the JRA, along 
with judicial review for denials of such requests. In addition, the JRA 
prohibits disclosures of covered records, except as otherwise permitted 
by the Privacy Act.
    Below is the description of the DHS/OIG-002 Investigative Records 
System of Records. In accordance with 5 U.S.C. 552a(r), DHS has 
provided a report of this system of records to the Office of Management 
and Budget and to Congress.

SYSTEM NAME AND NUMBER:
    U.S. Department of Homeland Security (DHS)/Office of Inspector 
General (OIG)-002 Investigative Records System of Records.

SECURITY CLASSIFICATION:
    Classified, sensitive, unclassified.

SYSTEM LOCATION:
    Records are maintained at the DHS OIG Headquarters in Washington, 
DC and field offices. Generally, OIG maintains electronic records in 
the OIG Enterprise Data System (EDS).

SYSTEM MANAGER(S):
    Chief System Security Officer, U.S. Department of Homeland 
Security, Office of Inspector General, Washington, DC 20528.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    6 U.S.C. 113(b); 6 U.S.C. 795; 6 U.S.C. 142; 6 U.S.C. 345; and the 
Inspector General Act of 1978, as amended 5 U.S.C. App. Sec. Sec.  1-
13.

 PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to collect and maintain records 
concerning DHS OIG investigations, including allegations of misconduct, 
violations of criminal, civil, and administrative laws and regulations 
pertaining to DHS programs, operations, employees, contractors, and 
other individuals or entities associated with DHS. This system of 
records is intended to support and protect the integrity of DHS OIG 
operations; to ensure compliance with applicable laws, regulations, and 
policies; and to ensure the integrity of DHS employees' conduct and 
those acting on behalf of DHS.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Any individual filing complaints of or related to criminal, civil, 
or administrative violations, including employee misconduct, fraud, 
waste, or mismanagement; current or former DHS employees and 
contractors; current or former employees of other federal agencies; 
contractor applicants; contractors, grantees, and individuals whose 
association with current and former employees relate to alleged 
violations under investigation; witnesses, complainants, sources of 
information, suspects, defendants, or parties who have been identified 
by DHS OIG, other DHS Components, other agencies, or members of the 
general public in connection with complaints, audits, inspections, and/
or investigations.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of records in this system include:
     Full name and aliases;
     Date of birth;
     Social Security number;
     Citizenship status;
     Driver's license, state ID, passport, or other government-
issued credential information;
     Demographic information (e.g., gender, race, ethnicity);
     Addresses;
     Contact information (e.g., phone numbers, email 
addresses);
     Employment information (e.g., duty station, grade, job 
series, entrance on duty date);
     Relevant information from background investigations;
     Education/training history;
     Medical history;
     Criminal history;
     Travel history, including passport information;
     Financial history;
     Relevant information from inspections, reviews, and 
inquiries, including records collected in response to an allegation, 
such as;
    [cir] Government emails;
    [cir] Time and attendance records;
    [cir] Government credit card bills;
    [cir] Building access logs;
    [cir] Government phone bills/records;
    [cir] Government property records;
    [cir] Government travel records;
    [cir] Computer forensic files;
    [cir] Open source or publicly available information, such as social 
media postings;
    [cir] Police reports; and
    [cir] Any other information gathered in the course of or relating 
to an integrity or disciplinary inquiry, review, inspection, or 
investigation of a criminal, civil, or administrative nature;
     Investigative records of a criminal, civil, or 
administrative nature;
     Biometrics;
     Letters, emails, memoranda, video, photograph and digital 
images, and reports;
     Exhibits, evidence, statements, and affidavits;
     Relatives and associates;
     Allegations received and method received;
     Incident location/date;
     Case reference numbers;
     Case status;
     Case agent/officer or supervisor;
     Any other personal information relevant to the subject 
matter of an OIG investigation; and

[[Page 58294]]

     Investigative case files containing allegations and 
complaints; witness statements; transcripts of electronic monitoring; 
subpoenas and legal opinions and advice; reports of investigations 
(ROI); and reports of criminal, civil, and administrative actions taken 
as a result of the investigation.

RECORD SOURCE CATEGORIES:
    Records are obtained from individuals who are the subject of the 
investigation or inquiry, employers, law enforcement organizations, 
detention facilities, members of the public, witnesses, educational 
institutions, government agencies, nongovernmental organizations, 
credit bureaus, references, neighborhood checks, confidential sources, 
medical service providers, personal interviews, photographic images, 
military records, financial institutions, free and for-purchase 
commercial records, open source or publicly available information, 
citizenship records, and the personnel history and application forms of 
agency applicants, employees, or contractors. Records are also 
collected from other DHS Components.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice (DOJ), including the U.S. Attorneys 
Offices, or other federal agencies conducting litigation or proceedings 
before any court, adjudicative, or administrative body, when it is 
relevant or necessary to the litigation and one of the following is a 
party to the litigation or has an interest in such litigation:
    1. DHS or any Component thereof;
    2. Any employee or former employee of DHS in his/her official 
capacity;
    3. Any employee or former employee of DHS in his/her individual 
capacity, when DOJ or DHS has agreed to represent the employee; or
    4. The United States or any agency thereof.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration (NARA) or 
General Services Administration pursuant to records management 
inspections being conducted under the authority of 44 U.S.C. secs. 2904 
and 2906.
    D. To an agency or organization for the purpose of performing audit 
or oversight operations as authorized by law, but only such information 
as is necessary and relevant to such audit or oversight function.
    E. To appropriate agencies, entities, and persons when (1) DHS 
suspects or has confirmed that there has been a breach of the system of 
records; (2) DHS has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, DHS (including 
its information systems, programs, and operations), the Federal 
Government, or national security; and (3) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with DHS's efforts to respond to the suspected or confirmed 
breach or to prevent, minimize, or remedy such harm.
    F. To another federal agency or federal entity, when DHS determines 
that information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the recipient agency or entity (including 
its information systems, programs, and operations), the Federal 
Government, or national security, resulting from a suspected or 
confirmed breach.
    G. To an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, when a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    H. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to DHS officers and employees.
    I. To a federal, state, or local agency, or other appropriate 
entity or individual, or through established liaison channels to 
selected foreign governments, in order to provide intelligence, 
counterintelligence, or antiterrorism activities authorized by U.S. 
law, Executive Order, or other applicable national security directive 
when the security of the borders which DHS is tasked with maintaining 
are at risk of being compromised.
    J. To international and foreign governmental authorities in 
accordance with law and formal or informal international agreements.
    K. To an appropriate federal, state, local, tribal, foreign, or 
international agency, pursuant to a request, if the information is 
relevant and necessary to a requesting agency's decision concerning the 
hiring or retention of an individual or issues of a security clearance, 
license, contract, grant, or other benefit, or if the information is 
relevant and necessary to a DHS decision concerning 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 and 
when disclosure is appropriate to the proper performance of the 
official duties of the person making the request.
    L. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation, provided disclosure is appropriate to the proper 
performance of the official duties of the officer making the 
disclosure.
    M. To the Council of the Inspectors General on Integrity and 
Efficiency (CIGIE) and other federal agencies, as necessary, if the 
records respond to an audit, investigation, or review conducted 
pursuant to an authorizing law, rule, or regulation, and in particular 
those conducted at the request of the CIGIE's Integrity Committee 
pursuant to statute.
    N. To complainants and victims to the extent necessary to provide 
such persons with information and explanations concerning the progress 
or results of the investigation arising from the matters of which they 
complained or of which they were a victim.
    O. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations, with 
the approval of the Chief Privacy Officer, when DHS is aware of a need 
to use relevant data, that relate to the purpose(s) stated in this 
SORN, for purposes of testing new technology.

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    P. To the news media and the public, with the approval of the Chief 
Privacy Officer in consultation with counsel, when there exists a 
legitimate public interest in the disclosure of the information, when 
disclosure is necessary to preserve confidence in the integrity of DHS, 
or when disclosure is necessary to demonstrate the accountability of 
DHS's officers, employees, or individuals covered by the system, except 
to the extent the Chief Privacy Officer determines that release of the 
specific information in the context of a particular case would 
constitute a clearly unwarranted invasion of personal privacy.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    DHS OIG stores records in this system electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
may be stored on magnetic disc, tape, and digital media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    DHS OIG may retrieve records by the individual's name, date of 
birth, Social Security number, or any other unique identifier listed 
above.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records will be retained pursuant to DHS OIG National Archives and 
Records Administration (NARA) retention schedule N1-563-07-5 (October 
11, 2007). Complaint and investigative record files that involve 
substantive information relating to national security or allegations 
against senior DHS officials, that attract national media or 
congressional attention, or that result in substantive changes in DHS 
policies or procedures are permanent and are transferred to the NARA 20 
years after completion of the investigation and all actions based 
thereon. All other complaint and investigative record files are 
destroyed 20 years after completion of the investigation and all 
actions based thereon. Government issued investigative property records 
and management reports are destroyed when no longer needed for business 
purposes.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    DHS OIG safeguards records in this system according to applicable 
rules and policies, including all applicable DHS automated systems 
security and access policies. DHS OIG has imposed strict controls to 
minimize the risk of compromising the information that is being stored. 
Access to the computer system containing the 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.

RECORD ACCESS PROCEDURES:
    The Secretary of Homeland Security has exempted this system from 
certain notification, access, and amendment procedures of the Privacy 
Act, and the Judicial Redress Act, if applicable. However, DHS will 
consider individual requests to determine whether or not information 
may be released. Thus, individuals seeking access to and notification 
of any record contained in this system of records, or seeking to 
contest its content, may submit a request in writing to the OIG Privacy 
Officer and OIG Freedom of Information Act Officer, whose contact 
information can be found at http://www.dhs.gov/foia under ``Contact 
Information.'' If an individual believes more than one component 
maintains Privacy Act records concerning him or her, the individual may 
submit the request to the Chief Privacy Officer and Chief Freedom of 
Information Act Officer, U.S. Department of Homeland Security, 
Washington, DC 20528-0655. Even if neither the Privacy Act nor the 
Judicial Redress Act provide a right of access, certain records about 
you may be available under the Freedom of Information Act.
    When an individual is seeking records about himself or herself from 
this system of records or any other Departmental system of records, the 
individual's request must conform with the Privacy Act regulations set 
forth in 6 CFR part 5. The individual must first verify his/her 
identity, meaning that the individual must provide his/her full name, 
current address, and date and place of birth. The individual must sign 
the request, and the individual's 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, an individual may obtain forms for this 
purpose from the Chief Privacy Officer and Chief Freedom of Information 
Act Officer, http://www.dhs.gov/foia or 1-866-431-0486. In addition, 
the individual should:
     Explain why he or she believes the Department would have 
information being requested;
     Identify which component(s) of the Department he or she 
believes may have the information;
     Specify when the individual believes the records would 
have been created; and
     Provide any other information that will help the staff 
determine which DHS component agency may have responsive records;
    If the request is seeking records pertaining to another living 
individual, the request must include an authorization from the 
individual whose record is being requested, authorizing the release to 
the requester.
    Without the above information, the component(s) may not be able to 
conduct an effective search, and the individual's request may be denied 
due to lack of specificity or lack of compliance with applicable 
regulations.

CONTESTING RECORD PROCEDURES:
    For records covered by the Privacy Act or covered JRA records, 
individuals may make a request for amendment or correction of a record 
of the Department about the individual by writing directly to the 
Department component that maintains the record, unless the record is 
not subject to amendment or correction. The request should identify 
each particular record in question, state the amendment or correction 
desired, and state why the individual believes that the record is not 
accurate, relevant, timely, or complete. The individual may submit any 
documentation that would be helpful. If the individual believes that 
the same record is in more than one system of records, the request 
should state that and be addressed to each component that maintains a 
system of records containing the record.

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures'' above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The Secretary of Homeland Security, pursuant to 5 U.S.C. 
552a(j)(2), has exempted this system from the following provisions of 
the Privacy Act: 5 U.S.C. 552a(c)(3), (c)(4); (d); (e)(1), (e)(2), 
(e)(3), (e)(4)(G), (e)(4)(H), e)(4)(I), (e)(5), (e)(8), (f); and 
(g)(1). Additionally, the Secretary of Homeland Security, pursuant to 5 
U.S.C. 552a(k)(1), (k)(2), and (k)(5), has exempted this system from 
the following provisions of the Privacy Act, 5 U.S.C. 552a(c)(3); (d); 
(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).

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HISTORY:
    80 FR 44372 (July 27, 2015).

Lynn Parker Dupree,
Chief Privacy Officer, U.S. Department of Homeland Security.
[FR Doc. 2021-22836 Filed 10-20-21; 8:45 am]
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