[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]
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