[Federal Register Volume 89, Number 52 (Friday, March 15, 2024)]
[Notices]
[Pages 19015-19018]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-05536]


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DEPARTMENT OF THE TREASURY


Privacy Act of 1974; System of Records

AGENCY: Departmental Offices, Department of the Treasury.

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
the Treasury (``Treasury'' or the ``Department''), Departmental Offices 
proposes to modify a current Treasury system of records titled, 
``Department of the Treasury, Departmental Offices .190--Office of 
Inspector General Investigations Management Information System.'' This 
system's name is being amended to the ``Department of the Treasury, 
Departmental Offices .190--Office of Inspector General Electronic Case 
Management System,'' yet it will still maintain the same records and 
collected information that provides essential support for activities of 
the Treasury Office of Inspector General (OIG) relating to Treasury 
programs, operations, employees, contractors and other individuals or 
entities associated with the Department. Additionally, the Department 
proposes to amend this system of records by modifying one existing 
routine use, adding four new routine uses, and making technical changes 
and corrections.

DATES: Submit comments on or before April 15, 2024. The modification of 
the system of records notice will be applicable on April 15, 2024.

ADDRESSES: Written comments on this notice may be submitted 
electronically through the Federal government eRulemaking portal at 
http://www.regulations.gov. Electronic submission of comments allows 
the commenter maximum time to prepare and submit a comment, ensures 
timely receipt, and enables the Treasury to make the comments available 
to the public. Please note that comments submitted through https://www.regulations.gov will be public and

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can be viewed by members of the public.
    In general, Treasury will post all comments to https://www.regulations.gov without change, including any business or personal 
information provided, such as names, addresses, email addresses, or 
telephone numbers. All comments received, including attachments and 
other supporting material, will be part of the public record and 
subject to public disclosure. You should only submit the information 
that you wish to make publicly available.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Dawn Lay, 202-927-9842 by mail at Office of the Inspector General, 875 
15th Street NW, Washington, DC 20005.
    For questions about this notice and privacy issues, contact: Ryan 
Law, Deputy Assistant Secretary for Privacy, Transparency, & Records, 
U.S. Department of the Treasury, 1500 Pennsylvania Avenue NW, 
Washington, DC 20220; email: [email protected].

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
5 U.S.C. 552a, the Treasury Departmental Offices proposes to modify a 
current Treasury system of records titled, ``Department of the 
Treasury, Departmental Offices .190--Office of Inspector General 
Investigations Management Information System.''
    The proposed modification to the system of records makes the 
following substantive changes:
    System name changed from ``Investigations Management Information 
System'' to ``Electronic Case Management System,'' as a more accurate 
depiction of the information maintained in the system and signifying 
that the system is not exclusively investigative. General 
administrative contact information was updated to reflect current 
information; the authority for maintenance of the system, the Inspector 
General Act of 1978, was updated to reflect the latest citation; the 
Department also amended the purpose section to remove regulation 
citations and instead describe in plain language how information 
collected and maintained in this system is used; and the Department 
amended, deleted, and added routine use information.
    The routine use amendments, deletions, or additions include: 
amended routine use (8) by deleting release to the Bureau of Alcohol, 
Tobacco, and Firearms and the Department of Homeland Security OIG 
concerning investigations, and adding release to other OIGs in general, 
the Council of Inspectors General on Integrity and Efficiency, and to 
territorial or Tribal law enforcement or regulatory agencies in 
performance of their statutory and regulatory requirements; new routine 
use (9) release to foreign law enforcement entities for bona fide law 
enforcement purposes where release is not otherwise prohibited by law; 
new routine use (10) release to persons performing or working for the 
Federal government when accomplishing an agency function; routine use 
(11) release to the Merit Systems Protection Board, the Office of 
Special Counsel, or the Equal Employment Opportunity Office for 
official proceedings; routine use (12) was previously routine use (9); 
routine use (13) adds release to Treasury OIG Offices of Audit and 
Counsel, and to Treasury Department employees requiring such 
information for official purposes; and routine use (14) was previously 
routine use (10).
    The policies and practices for the: storage of records section was 
modified to remove reference to paper and locked drawers; retrieval of 
records section has been limited to retrieval by name and case number; 
and the retention and disposal of records section was updated to the 
current applicable Department records and disposition schedules 
covering records in this system.
    The notification procedures section was amended to include detailed 
instructions on requesting non-exempt information located in the system 
and how to contest its content.
    Finally, the history section was added and notates this system of 
records' last full published date in the Federal Register, and final 
rule date.
    The Privacy Act of 1974, as amended, embodies fair information 
practice principles in a statutory framework governing how Federal 
agencies collect, maintain, use, and disseminate individuals' records. 
The Privacy Act applies to records about individuals that are 
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. The Privacy Act defines an individual as a United 
States citizen or lawful permanent resident. In order to minimize the 
risk of unauthorized access to the system's contents, the Department 
abides by the following procedures: individuals may request access to 
their own records that are maintained in a system of records in the 
possession or under the control of Treasury by complying with Treasury 
Privacy Act regulations at 31 CFR part 1, subpart C, and following the 
procedures outlined in the Records Access, Contesting Record, and 
Notification Procedures sections of this notice.
    Treasury has provided a report of this system of records to the 
Committee on Oversight and Government Reform of the House of 
Representatives, the Committee on Homeland Security and Governmental 
Affairs of the Senate, and the Office of Management and Budget (OMB), 
pursuant to 5 U.S.C. 552a(r) and OMB Circular A-108, ``Federal Agency 
Responsibilities for Review, Reporting, and Publication under the 
Privacy Act,'' dated December 23, 2016.

Ryan Law,
Deputy Assistant Secretary for Privacy, Transparency, and Records.

SYSTEM NAME AND NUMBER:
    Department of the Treasury, DO .190--Office of Inspector General 
Electronic Case Management System.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Office of Inspector General (OIG), Assistant Inspector General for 
Investigations and Counsel to the Inspector General, 875 15th St. NW, 
Washington, DC 20005.

SYSTEM MANAGER(S):
    Assistant Inspector General for Investigations, 875 15th St. NW, 
Suite 400, Washington, DC 20005 For internal investigations: Counsel to 
the Inspector General, 875 15th St. NW, Washington, DC 20005.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Inspector General Act of 1978, 5 U.S.C. Chapter 4.; 5 U.S.C. 
301; 31 U.S.C. 321.

PURPOSE(S) OF THE SYSTEM:
    The records and information collected and maintained in this system 
are used to discharge the duties of the Office of Investigations, 
including: (a) receipt and investigation of allegations regarding a 
violation of any criminal or civil law, regulation, policy, or standard 
applicable to employees of the U.S. Department of the Treasury; (b) 
receipt and/or investigation of allegations regarding a violation of 
criminal or civil law, regulation, policy, or standard having a nexus 
to the U.S. Department of the Treasury, including allegations of fraud 
against Treasury programs or operations by any person or entity; and 
(c) to conduct inquiries and investigations into allegations of

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wrongdoing, whether criminal, civil, or administrative, made against 
Department of the Treasury employees, contractors, grantees, and other 
individuals or entities associated with the Department of the Treasury.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    (A) Current and former employees of the Department of the Treasury 
and persons whose association with current and former employees relate 
to the alleged violations of the rules of ethical conduct for employees 
of the Executive Branch, the Department's supplemental standards of 
ethical conduct, the Department's rules of conduct, merit system 
principles, or any other criminal or civil misconduct, which affects 
the integrity or facilities of the Department of the Treasury. The 
names of individuals and the files in their names may be: (1) Received 
by referral; or (2) initiated at the discretion of the Office of 
Inspector General in the conduct of assigned duties. Investigations of 
allegations against OIG employees are managed by the Assistant 
Inspector General for Investigations and the Counsel to the Inspector 
General; records are maintained in the electronic case management 
system.
    (B) Individuals who are: Witnesses; complainants; confidential or 
nonconfidential informants; suspects; defendants; parties who have been 
identified by the Office of Inspector General, constituent units of the 
Department of the Treasury, other agencies, or members of the general 
public in connection with the authorized functions of the Inspector 
General.
    (C) Current and former senior Treasury and bureau officials who are 
the subject of investigations initiated and conducted by the Office of 
the Inspector General.

CATEGORIES OF RECORDS IN THE SYSTEM:
    (A) Letters, memoranda, and other documents citing complaints of 
alleged criminal or administrative misconduct.
    (B) Investigative files which include: (1) reports of 
investigations to resolve allegations of misconduct or violations of 
law with related exhibits, statements, affidavits, records or other 
pertinent documents obtained during investigations; (2) transcripts and 
documentation concerning requests and approval for consensual telephone 
and consensual non-telephone monitoring; (3) body worn camera video 
footage, (4) reports from or to other law enforcement bodies; (5) prior 
criminal or noncriminal records of individuals as they relate to the 
investigations; and (6) reports of actions taken by management 
personnel regarding misconduct and reports of legal actions resulting 
from violations of statutes referred to state, local, foreign agencies, 
or the Department of Justice for prosecution.

RECORD SOURCE CATEGORIES:
    See ``Categories of Individuals . . .'' above. This system contains 
investigatory material for which sources need not be reported.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information may be disclosed:
    (1) To the United States Department of Justice (``DOJ''), for the 
purpose of representing or providing legal advice to Treasury in a 
proceeding before a court, adjudicative body, or other administrative 
body before which Treasury is authorized to appear, when such 
proceeding involves:
    (a) Treasury or any component thereof;
    (b) Any employee of Treasury in his or her official capacity;
    (c) Any employee of Treasury in his or her individual capacity 
where the DOJ or Treasury has agreed to represent the employee; or
    (d) The United States, when Treasury determines that litigation is 
likely to affect Treasury or any of its components; and the use of such 
records by the DOJ is deemed by the DOJ or Treasury to be relevant and 
necessary to the litigation provided that the disclosure is compatible 
with the purpose for which records were collected;
    (2) To appropriate federal, state, local, or foreign agencies 
responsible for investigating or prosecuting the violations of, or for 
enforcing or implementing a statute, rule, regulation, order, or 
license, or where the disclosing agency becomes aware of an indication 
of a violation or potential violation of civil or criminal law or 
regulation;
    (3) To a federal, state, or local agency, maintaining civil, 
criminal or other relevant enforcement information or other pertinent 
information, which has requested information relevant to or necessary 
to the requesting agency's hiring or retention of an employee, or the 
issuance of a security clearance, license, contract, grant, or other 
benefit;
    (4) To a court, magistrate, or administrative tribunal in the 
course of presenting evidence,
    including disclosures to opposing counsel or witnesses in the 
course of civil discovery, litigation or settlement negotiations in 
response to a court order or in connection with criminal law 
proceedings;
    (5) To a congressional office in response to an inquiry made at the 
request of the individual to whom the record pertains;
    (6) To the news media in accordance with guidelines contained in 28 
CFR 50.2 which relate to an agency's functions relating to civil and 
criminal proceedings;
    (7) To third parties during the course of an investigation to the 
extent necessary to obtain information pertinent to the investigation;
    (8) To the Department of Justice, other OIGs, the Council of 
Inspectors General on Integrity and Efficiency, the Federal Law 
Enforcement Training Center, and to other Federal, State, local, 
territorial or Tribal law enforcement or regulatory agencies for use in 
meeting their statutory and regulatory requirements;
    (9) To foreign law enforcement, investigatory, or administrative 
authorities in order to comply with requirements set forth in 
international arrangements, such as memoranda of understanding.
    (10) To contractors, grantees, volunteers, experts, students, and 
others performing or working on a contract, service, grant, cooperative 
agreement, or job for the Federal government when necessary to 
accomplish an agency function;
    (11) To the Merit Systems Protection Board, the Office of Special 
Counsel, or the Equal Employment Opportunity Office for official 
proceedings, including litigation, administrative proceedings, appeals, 
special studies of the civil service and other merit systems.
    (12) To other OIGs, the Council of Inspectors General on Integrity 
and Efficiency, and the Department of Justice, in connection with their 
review of Treasury OIG's exercise of statutory law enforcement 
authority, pursuant to section 6(e) of the Inspector General Act of 
1978, 5 U.S.C. Chapter 4;
    (13) To the Treasury OIG Offices of Audit and Counsel and to 
employees within the U.S. Department of the Treasury requiring such 
information for official purposes; and
    (14) To appropriate agencies, entities, and persons when (a) the 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (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 interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the

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Department or another agency or entity) that rely upon the compromised 
information; and (c) the disclosure made to such agencies, entities, 
and persons is 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.
    (15) To another Federal agency or Federal entity, when Treasury 
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.
    (16) To the National Archives and Records Administration or General 
Services Administration pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906;

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records in this system are stored electronically or on paper per 
approved Office of Investigations policy. Electronic records are stored 
on magnetic disc, tape, digital media, and CD-ROM.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    By name and by case number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Case information is maintained for the later of: 10 years after the 
case is closed, or when no longer needed. Records are destroyed in 
accordance with approved Federal and Departmental guidelines.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable Treasury 
automated systems security and access policies. Strict controls are 
imposed to minimize the risk of compromising the information that is 
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. The records are available to 
Office of Inspector General personnel who have an appropriate security 
clearance on a need-to-know basis.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedures'' below.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedures'' below.

NOTIFICATION PROCEDURES:
    This system of records contains records that are exempt from the 
notification, access, and contesting records requirements pursuant to 5 
U.S.C. 552a(j)(2) and (k)(2). Individuals seeking access to any non-
exempt record contained in this system of records, or seeking to 
contest its content, may inquire in writing in accordance with 
instructions appearing at 31 CFR part 1, subpart C, appendix A. Written 
inquiries should be addressed to: Freedom of Information Act Request, 
Counsel to the Inspector General, Office of Inspector General, 
Department of the Treasury, 875 15th St. NW, Washington, DC 20005.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), 
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), 
(e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 
5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.

HISTORY:
    Notice of this system of records was last published in full in the 
Federal Register on November 7, 2016 (81 FR 78298) as the Department of 
the Treasury, Departmental Offices .190--Office of Inspector General 
Investigations Management Information. Final Rule was published on May 
15, 2012 (77 FR 28478).

[FR Doc. 2024-05536 Filed 3-14-24; 8:45 am]
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