[Federal Register Volume 80, Number 88 (Thursday, May 7, 2015)]
[Notices]
[Pages 26217-26222]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-10979]
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DEPARTMENT OF COMMERCE
[Docket No. 150403337-5337-01]
Privacy Act of 1974; System of Records
AGENCY: Office of Inspector General (OIG), Department of Commerce
(DOC).
ACTION: Notice of Proposed Amendment to Privacy Act System of Records,
``OIG Investigative Records--COMMERCE/DEPT-12.''
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SUMMARY: In accordance with the Privacy Act of 1974, as amended, 5
U.S.C. 552a(e)(4) and (11), and Office of Management and Budget (OMB)
Circular A-130, Appendix I, ``Federal Agency Responsibility for
Maintaining Records about Individuals,'' DOC OIG proposes to amend the
system of records entitled ``OIG Investigative Records--COMMERCE/DEPT-
12,'' to reflect a new investigative case management system and an
electronic discovery tool; update OIG routine uses; update OIG's
practices for storing, retrieving, and safeguarding records in the
system; and generally update the system's notice. OIG's changes will
generally improve the organization, security, ability to search, and
reporting capability of OIG's investigative records. Accordingly, ``OIG
Investigative Records--COMMERCE/DEPT-12,'' is proposed to be amended as
shown below. DOC OIG invites public comment on the amended system
announced in this publication.
DATES: Comment date: To be considered, written comments on the proposed
amended system must be submitted on or before June 8, 2015.
Effective Date: Unless comments are received, the amended system of
records will become effective, as proposed, on the date a subsequent
notice is published in the Federal Register.
ADDRESSES: Please address comments to the OIG Office of Counsel, Room
7896, U.S. Department of Commerce, 1401 Constitution Avenue NW.,
Washington, DC 20230; by email to [email protected]; or by
facsimile to (202) 501-7335. For further information, general
questions, and privacy-related issues, please contact the Office of
Counsel at (202) 482-5992.
SUPPLEMENTARY INFORMATION: The Inspector General Act of 1978, as
amended, 5 U.S.C. App. 3, authorizes DOC OIG to conduct investigations
to detect and prevent fraud, waste, mismanagement and abuse, and to
promote economy and efficiency, in the DOC's programs and operations.
OIG uses records in this system in the course of investigating
individuals and entities suspected of criminal, civil, or
administrative misconduct, and in supporting related judicial and
administrative proceedings. OIG's Office of Investigations (OI)
maintains and manages OIG's investigative records. DOC OIG proposes to
amend the system of records entitled ``OIG Investigative Records--
COMMERCE/DEPT-12,'' published in the Federal Register on March 14, 2012
(77 FR 15038) and January 19, 2012 (77 FR 2692) to reflect a new
investigative case management system and an electronic discovery tool;
update OIG routine uses; update OIG's practices for storing,
retrieving, and safeguarding records in the system; and generally
update the system's notice. Specifically, the following sections of the
system of records are proposed to be amended: Categories of Individuals
Covered by the System; Categories of Records in the System; Routine
Uses; Storage; Retrievability; Safeguards; and System Manager.
The updates to the system will not involve the collection of
additional categories of information, but will provide methods for data
tracking, organization, and retrieval previously unavailable. OIG's
changes will generally improve the organization, security, ability to
search, and reporting capability of investigative records. For the
public's convenience, DOC OIG restates below in its entirety the system
of records, including the proposed amendments.
SYSTEM NAME: COMMERCE/DEPT-12, OIG Investigative Records.
SECURITY CLASSIFICATION:
Sensitive but Unclassified (SBU).
SYSTEM LOCATION:
U.S. Department of Commerce, Office of Inspector General, 1401
Constitution Avenue NW., Washington, DC 20230; U.S. Department of
Commerce, Office of Inspector General, Regional Offices, and
investigative site(s) used in the course of OIG investigation(s).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
In connection with its investigative duties, DOC OIG maintains
records in its records system on the following categories of
individuals insofar as they are relevant to any investigation or
preliminary inquiry undertaken to determine whether to commence an
investigation: Subjects of investigations; complainants; witnesses;
confidential and non-confidential informants; contractors;
subcontractors; recipients of Federal funds and their contractors/
subcontractors and employees; individuals interacting with DOC
employees or management; current, former, and prospective DOC
employees; alleged violators of DOC rules and regulations; union
officials; individuals who are investigated and/or interviewed; persons
suspected of violations of administrative, civil, and/or criminal
provisions; grantees; sub-grantees; lessees; licensees; persons engaged
in official business with the DOC; or other persons identified by the
OIG or by other agencies, constituent units of the DOC, and members of
the general public in connection with the authorized functions of the
OIG.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains investigative reports and materials gathered or
created with regard to investigations of administrative, civil, and
criminal matters by DOC OIG and other Federal, State, local, tribal,
territorial, non-governmental, international, foreign regulatory, or
foreign law enforcement agencies or entities. Categories of records may
include: Complaints; requests to investigate; information contained in
criminal, civil, or administrative referrals; statements from subjects
and/or witnesses; affidavits, transcripts, police reports, photographs,
and/or documents relative to a subject's prior criminal record; medical
records; accident reports; materials and intelligence information from
other governmental investigatory or law enforcement organizations;
information relative to the status of a particular complaint or
investigation, including any determination relative to criminal
prosecution, civil, or administrative action; general case management
documentation; subpoenas and evidence obtained in response to
subpoenas; evidence logs; pen registers; correspondence; personal
information, including financial and biometric data; forensic computer
images; records of investigation; and other data and
[[Page 26218]]
evidence collected or generated by OIG's Office of Investigations while
conducting its official duties.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Inspector General Act of 1978, 5 U.S.C. App. 3, as amended.
PURPOSE:
The records contained in this system are used by DOC OIG to carry
out its statutory responsibilities under the Inspector General Act of
1978, 5 U.S.C. App. 3, as amended, to conduct and supervise
investigations, prevent and detect fraud, waste, and abuse, and promote
economy, efficiency, and effectiveness in DOC programs and operations.
The records are used in the course of investigating individuals and
entities suspected of criminal, civil, or administrative misconduct and
in supporting related judicial and administrative proceedings.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
1. A record from this system of records may be disclosed, as a
routine use, to a Federal, state or local agency maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, such as current license, if necessary to obtain
information relevant to a DOC decision concerning the assignment,
hiring, or retention of an individual, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant or other benefit.
2. A record from this system of records may be disclosed, as a
routine use, in the course of presenting evidence to a court,
magistrate, or administrative tribunal, including disclosures to
opposing counsel in the course of discovery or settlement negotiations.
3. A record in this system of records may be disclosed, as a
routine use, to a Member of Congress submitting a request involving an
individual when the individual has requested assistance from the Member
with respect to the subject matter of the record.
4. A record in this system of records may be disclosed, as a
routine use, to the Office of Management and Budget in connection with
the review of private relief legislation as set forth in OMB Circular
A-19 at any stage of the legislative coordination and clearance process
as set forth in that Circular.
5. A record in this system of records may be disclosed, as a
routine use, to the Department of Justice in connection with
determining whether disclosure thereof is required by the Freedom of
Information Act (5 U.S.C. 552).
6. A record in this system may be transferred, as a routine use, to
the Office of Personnel Management for personnel research purposes; as
a data source for management information; for the production of summary
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained; or for
related manpower studies.
7. A record from this system of records may be disclosed, as a
routine use, to the General Services Administration (GSA) during an
inspection of records conducted by GSA as part of that agency's
responsibility to recommend improvements in records management
practices and programs under authority of 44 U.S.C. 2904 and 2906. Such
disclosure shall be made in accordance with the GSA regulations
governing inspection of records for this purpose and any other relevant
(i.e. GSA or DOC) directive. Such disclosure shall not be used to make
determinations about individuals.
8. A record from this system of records may be disclosed, as a
routine use, to the appropriate agency or entity, whether Federal,
State, local, tribal, territorial, foreign, or international, charged
with the responsibility for investigating or prosecuting a violation of
any law, rule, regulation or order. Routine use for law enforcement
purposes also includes disclosure to individuals or to agencies,
whether Federal, State, local, foreign, or international, when
necessary to further the ends of an investigation.
9. A record from this system of records may be disclosed, as a
routine use, to representatives of the Department of Justice (DOJ) or
of any other agency that is responsible for representing DOC interests
in connection with judicial, administrative or other proceedings. This
includes circumstances in which (1) the DOC or OIG, or any component
thereof; (2) any employee of the DOC or OIG in his or her official
capacity; (3) any employee of the DOC or OIG in his or her individual
capacity, where DOJ has agreed to represent or is considering a request
to represent the employee; or (4) the United States or any of its
components, is a party to pending or potential litigation or has an
interest in such litigation; in which the DOC or OIG is likely to be
affected by the litigation, or in which the DOC or OIG determines that
the use of such records by the DOJ is relevant and necessary to the
litigation; provided, however, that in each case, the DOC or OIG
determines that disclosure of records to the DOJ or representative is a
use of the information that is compatible with the purpose for which
the records were collected. Records may also be disclosed to
representatives of DOJ and other U.S. Government entities, to the
extent necessary, to obtain their advice on any matter relevant to an
OIG investigation.
10. A record from this system of records may be disclosed, as a
routine use, to any source from which additional information is
requested in order to obtain information relevant to: A decision by
either the DOC or OIG concerning the hiring, assignment, or retention
of an individual or other personnel action; the issuance, renewal,
retention, or revocation of a security clearance; the execution of a
security or suitability investigation; the letting of a contract; or
the issuance, retention, or revocation of a license, grant, award,
contract, or other benefit to the extent the information is relevant
and necessary to a decision by the DOC or OIG on the matter.
11. A record from this system of records may be disclosed, as a
routine use, to a Federal, State, local, tribal, territorial, foreign,
international, or other public authority in response to its request in
connection with: The hiring, assignment, or retention of an individual;
the issuance, renewal, retention, or revocation of a security
clearance; the reporting of an investigation of an individual; the
execution of a security or suitability investigation; the letting of a
contract; or the issuance, retention, or revocation of a license,
grant, award, contract, or other benefit conferred by that entity to
the extent that the information is relevant and necessary to the
requesting entity's decision on the matter.
12. A record in this system of records may be disclosed, as a
routine use, in the event that a record, either by itself or in
combination with other information, indicates a violation or a
potential violation of law, whether civil, criminal, or regulatory in
nature, and whether arising by general statute or particular program
statute, or by regulation, rule, or order issued pursuant thereto; or a
violation or potential violation of a contract provision. In these
circumstances, the relevant records in the system may be referred, as a
routine use, to the appropriate agency or entity, whether Federal,
State, local, tribal, territorial, foreign, or international charged
with the responsibility of investigating or prosecuting such violation
or charged with enforcing or implementing the statute, rule,
regulation, order, or contract.
13. A record in this system of records may be disclosed, as a
routine use, to any source from which additional
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information is requested, either private or governmental, to the extent
necessary to solicit information relevant to any investigation, audit,
or evaluation.
14. A record in this system of records may be disclosed, as a
routine use, to a foreign government or international organization
pursuant to an international treaty, convention, implementing
legislation, or executive agreement entered into by the United States.
15. A record in this system of records may be disclosed, as a
routine use, to contractors, grantees, consultants, or volunteers
performing or working on a contract, service, grant, cooperative
agreement, job, or other activity for the DOC or OIG, who have a need
to access the information in the performance of their duties or
activities. When appropriate, recipients will be required to comply
with the requirements of the Privacy Act of 1974 as provided in 5
U.S.C. 552a(m).
16. A record in this system of records may be disclosed, as a
routine use, to representatives of the Office of Personnel Management,
the Office of Special Counsel, the Merit Systems Protection Board, the
Federal Labor Relations Authority, the Equal Employment Opportunity
Commission, the Office of Government Ethics, and other Federal agencies
in connection with their efforts to carry out their responsibilities to
conduct examinations, investigations, and/or settlement efforts, in
connection with administrative grievances, complaints, claims, or
appeals filed by an employee, and such other functions promulgated in 5
U.S.C. 1205-06.
17. A record in this system of records may be disclosed, as a
routine use, to a grand jury agent pursuant to a Federal or State grand
jury subpoena or to a prosecution request that such record be released
for the purpose of its introduction to a grand jury.
18. A record in this system of records may be disclosed, as a
routine use, to the Departments of the Treasury and Justice in
circumstances in which OIG seeks to obtain, or has in fact obtained, an
ex parte court order to obtain tax return information from the Internal
Revenue Service.
19. A record in this system of records may be disclosed, as a
routine use, to any Federal official charged with the responsibility to
conduct qualitative assessment reviews of internal safeguards and
management procedures employed in investigative operations for purposes
of reporting to the President and Congress on the activities of OIG.
This disclosure category includes other Federal Offices of Inspectors
General and members of the Council of Inspectors General on Integrity
and Efficiency, and officials and administrative staff within their
investigative chain of command, as well as authorized officials of DOJ
and its component, the Federal Bureau of Investigation.
20. A record in this system of records may be disclosed, as a
routine use, to appropriate agencies, entities, and persons when (1) it
is suspected or determined that the security or confidentiality of
information in the system of records has been compromised; (2) it is
determined that as a result of the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identify
theft or fraud, or harm to the security or integrity of this system or
other systems or programs (whether maintained by OIG, DOC, or another
agency or entity) that rely upon the compromised information; and (3)
the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with efforts to respond to
the suspected or confirmed compromise and to prevent, minimize, or
remedy such harm.
21. A record in this system of records may be disclosed, as a
routine use, to the public or to the media for release to the public
when the matter under investigation has become public knowledge or the
Inspector General determines that such disclosure is necessary to
preserve confidence in the integrity of the Inspector General audit,
inspection, review, or investigative process, or is necessary to
demonstrate the accountability of DOC employees, officers or
individuals covered by the system, unless it is determined that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy.
22. A record in this system of records may be disclosed, as a
routine use, to Congress, congressional committees, or the staffs
thereof, in order to fulfill the Inspector General's responsibility, as
mandated by the Inspector General Act of 1978, to keep the Congress, in
connection with its oversight and legislative functions concerning the
administration of programs and operations administered or financed by
DOC, fully and currently informed concerning fraud and other serious
problems, abuses, and deficiencies concerning the administration of
programs and operations administered or financed by DOC.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and other media (photographs, audio recording,
diskettes, CDs, etc.) are stored in locked containers in a secured
area. Electronic records are maintained on servers, which house OIG's
case management system and electronic discovery tool. Servers are
maintained in a secured, restricted-area facility.
RETRIEVABILITY:
Electronic searches may be performed by search criteria that
include case numbers, names of individuals or organizations, and other
key word search variations.
Paper records are retrieved by indices cross-referenced to file
numbers.
SAFEGUARDS:
Paper records are kept in locked cabinets, secured rooms, in a
guarded building, and used only by authorized screened personnel.
Electronic records are stored on servers maintained in a locked
facility that is secured at all times by security systems and video
cameras. Data in the system are encrypted and password protected.
Access to electronic records is restricted to DOC OIG staff and
contractors individually authorized to access the case management or
electronic discovery system. Passwords are changed periodically, in
accordance with OIG policy. Backup tapes are stored in a locked and
controlled room in a secure off-site facility.
RETENTION AND DISPOSAL:
Records are retained and disposed of in accordance with the DOC OIG
Records Retention Schedules approved by the National Archives and
Records Administration.
SYSTEM MANAGER NAME AND ADDRESS:
Assistant Inspector General for Investigations, Room 7898c, Office
of Inspector General, United States Department of Commerce, 1401
Constitution Ave. NW., Washington, DC 20230.
NOTIFICATION PROCEDURE:
The Inspector General has exempted this system from the procedures
of the Privacy Act relating to individuals' requests for notification
of the existence of records on themselves.
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RECORD ACCESS PROCEDURE:
The Inspector General has exempted this system from the access
procedures of the Privacy Act.
CONTESTING RECORDS PROCEDURE:
The Inspector General has exempted this system from the contest
procedures of the Privacy Act.
RECORD SOURCE CATEGORIES:
DOC OIG collects information from a wide variety of sources,
including information from the DOC and other Federal, State, and local
agencies, subjects, witnesses, complainants, victims, confidential and
non-confidential sources, individuals, and non-governmental entities.
SYSTEM EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
Under 5 U.S.C. 552a(j)(2), the head of any agency may exempt any
system of records within the agency from certain provisions of the
Privacy Act of 1974, if the agency or component that maintains the
system performs as its principal function any activities pertaining to
the enforcement of criminal laws. The Inspector General Act of 1978, 5
U.S.C. App. 3, as amended, mandates the Inspector General to recommend
policies for, and to conduct, supervise and coordinate activities in
the Department and between the Department and other Federal, State and
local government agencies with respect to all matters relating to the
prevention and detection of fraud in programs and operations
administered or financed by the Department, and to the identification
and prosecution of participants in such fraud. Under the Act, whenever
the Inspector General has reasonable grounds to believe there has been
a violation of Federal criminal law, the Inspector General must report
the matter expeditiously to the Attorney General. In addition to these
principal functions pertaining to the enforcement of criminal laws, the
Inspector General may receive and investigate complaints on information
from various sources concerning the possible existence of activities
constituting violations of law, rules or regulations, or mismanagement,
gross waste of funds, abuses of authority or substantial and specific
danger to the public health and safety. The provisions of the Privacy
Act of 1974 from which exemptions are claimed under 5 U.S.C. 552a(j)(2)
are as follows: 5 U.S.C. 552a(c)(3) and (4); 5 U.S.C. 552a(d); 5 U.S.C.
552a(e)(1), (2) and (3); 5 U.S.C. 552a(e)(4)(G), (H), and (I); 5 U.S.C.
552a(e)(5) and (8); 5 U.S.C. 552a(f); 5 U.S.C. 552a(g).
To the extent that the exemption under 5 U.S.C. 552a(j)(2) is held
to be invalid, then the exemptions under 5 U.S.C. 552a(k)(1), (k)(2),
and (k)(5) are claimed for all material which meets the criteria of
these three subsections.
Provisions of the Privacy Act of 1974 from which exemptions are
claimed under 5 U.S.C. 552a(k)(1), (k)(2) and (k)(5) are as follows: 5
U.S.C. 552a(c)(3); 5 U.S.C. 552a(d); 5 U.S.C. 552a(e)(1); 5 U.S.C.
552a(e)(4)(G), (H), and (I); 5 U.S.C. 552a(f).
Reasons for exemptions: In general, the exemption of this
information and material is necessary in order to accomplish the law
enforcement function of the Office of Inspector General, to prevent
disclosure of classified information as required by Executive Order, to
prevent subjects of investigations from frustrating the investigatory
process, to prevent the disclosure of investigative techniques, to
fulfill commitments made to protect the confidentiality of sources, to
maintain access to sources of information, and to avoid endangering
these sources and law enforcement personnel. The detailed reasons for
exemptions are as follows.
Reasons for exemptions under 5 U.S.C. 552a(j)(2) and (k)(2):
(1) 5 U.S.C. 552a(c)(3) requires that upon request, an agency must
give an individual named in a record an accounting which reflects the
disclosure of the record to other persons or agencies. This accounting
must state the date, nature and purpose of each disclosure of the
record and the name and address of the recipient. The application of
this provision would alert subjects of an investigation to the
existence of the investigation and that such persons are subjects of
that investigation. Since release of such information to subjects of an
investigation would provide the subjects with significant information
concerning the nature of the investigation, it could result in the
altering or destruction of documentary evidence, improper influencing
of witnesses, and other activities that could impede or compromise the
investigation.
(2) 5 U.S.C. 552a(c)(4), (d), (e)(4)(G) and (H), (f) and (g) relate
to an individual's right to be notified of the existence of records
pertaining to such individual; requirements for identifying an
individual who requests access to records; the agency procedures
relating to access to records and the contest of information contained
in such records; and the civil remedies available to the individual in
the event of adverse determinations by an agency concerning access to
or amendment of information contained in records systems. This system
is exempt from the foregoing provisions for the following reasons: To
notify an individual at the individual's request of the existence of
records in an investigative file pertaining to such individual, or to
grant access to an investigative file could interfere with
investigative and enforcement proceedings, deprive co-defendants of a
right to a fair trial or other impartial adjudication, constitute an
unwarranted invasion of personal privacy of others, disclose the
identity or confidential sources, reveal confidential information
supplied by these sources and disclose investigative techniques and
procedures.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the
categories of sources of records in each system of records. The
application of this provision could disclose investigative techniques
and procedures and cause sources to refrain from giving such
information because of fear of reprisal, or fear of breach of promises
of anonymity and confidentiality. This would compromise the ability to
conduct investigations, and to identify, detect, and apprehend
violators.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant and
necessary to accomplish a purpose of the agency required by statute or
Executive Order. An exemption from the foregoing is needed:
a. Because it is not possible to detect relevance or necessity of
specific information in the early stages of a criminal or other
investigation.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violations of laws other than those within
the scope of his or her jurisdiction. In the interest of effective law
enforcement, the Inspector General should retain this information as it
may aid in establishing patterns of criminal activity, and provide
leads for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining other forms of evidence
during an investigation, information may be supplied to the
investigator which related to matters incidental to the main purpose of
the investigation but which may relate to matters under the
investigative jurisdiction of another
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agency. Such information cannot readily be segregated.
(5) 5 U.S.C. 552a(e)(2) requires an agency to collect information
to the greatest extent practicable directly from the subject individual
when the information may result in adverse determinations about an
individual's rights, benefits, and privilege under Federal programs.
The application of the provision would impair investigations of illegal
acts, violations of the rules of conduct, merit system and any other
misconduct for the following reasons:
a. In certain instances the subject of an investigation cannot be
required to supply information to investigators. In those instances,
information relating to a subject's illegal acts, violations of rules
of conduct, or any other misconduct, etc., must be obtained from other
sources.
b. Most information collected about an individual under
investigation is obtained from third parties such as witnesses and
informers. It is not feasible to rely upon the subject of the
investigation as a source for information regarding his or her
activities.
c. The subject of an investigation will be alerted to the existence
of an investigation if any attempt is made to obtain information from
the subject. This could afford the individual the opportunity to
conceal any criminal activities to avoid apprehension.
d. In any investigation, it is necessary to obtain evidence from a
variety of sources other than the subject of the investigation in order
to verify the evidence necessary for successful litigation.
(6) 5 U.S.C. 552a(e)(3) requires that an agency must inform the
subject of an investigation who is asked to supply information of:
a. The authority under which the information is sought and whether
disclosure of the information is mandatory or voluntary,
b. The purposes for which the information is intended to be used,
c. The routine uses which may be made of the information, and
d. The effects on the subject, if any, of not providing the
requested information.
The reasons for exempting this system of records from the foregoing
provision are as follows:
(i) The disclosure to the subject of the investigation as stated in
(b) above would provide the subject with substantial information
relating to the nature of the investigation and could impede or
compromise the investigation.
(ii) If the subject were informed of the information required by
this provision, it could seriously interfere with undercover activities
requiring disclosure of undercover agents' identity and impairing their
safety, as well as impairing the successful conclusion of the
investigation.
(iii) Individuals may be contacted during preliminary information-
gathering in investigations before any individual is identified as the
subject of an investigation. Informing the individual of the matters
required by this provision would hinder or adversely affect any present
or subsequent investigations.
(7) 5 U.S.C. 552a(e)(5) requires that records be maintained with
such accuracy, relevance, timeliness, and completeness as is reasonably
necessary to assure fairness to the individual in making any
determination about an individual. Because the law defines ``maintain''
to include the collection of information, complying with this provision
would prevent the collection of any data not shown to be accurate,
relevant, timely, and complete at the moment of its collection. In
gathering information during the course of an investigation it is not
possible to determine this prior to collection of the information.
Facts are first gathered and then placed into a logical order which
objectively proves or disproves criminal behavior on the part of the
suspect. Material which may seem unrelated, irrelevant, incomplete,
untimely, etc., may take on added meaning as an investigation
progresses. The restrictions in this provision could interfere with the
preparation of a complete investigative report.
(8) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable
efforts to serve notice on an individual when any record of such
individual is made available to any persons under compulsory legal
process when such process becomes a matter of public record. The notice
requirements of this provision could prematurely reveal an ongoing
criminal investigation to the subject of the investigation.
Reasons for exemptions under 5 U.S.C. 552a(k)(1):
(1) 5 U.S.C. 552a(c)(3) requires that an agency make accountings of
disclosures of records available to individuals named in the record at
their request. These accountings must state the date, nature and
purpose of each disclosure of the record and the name and address of
the recipient. The application of this provision would alert subjects
of an investigation to the existence of the investigation, and that
such persons are subjects of that investigation, information which if
known might cause damage to national security.
(2) 5 U.S.C. 552a(d), (e)(4)(G) and (H), and (f) relate to an
individual's right to be notified of the existence of records
pertaining to such individual; requirements for identifying an
individual who requests access to records; and the agency procedures
relating to access to records, and the contest of information contained
in such records. This system is exempt from the foregoing provisions
for the following reasons: To notify an individual at the individual's
request of the existence of records in an investigative file pertaining
to such individual or to grant access to an investigative file could
interfere with investigations undertaken in connection with national
security; or could disclose the identity of sources kept secret to
protect national security or reveal confidential information supplied
by these sources.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the
categories of sources of records in each system of records. The
application of this provision could disclose the identity of sources
kept secret to protect national security.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant and
necessary to accomplish a purpose of the agency required by statute or
Executive Order. An exemption from the foregoing is needed:
a. Because it is not possible to detect relevance or necessity of
specific information in the early stages of an investigation involving
national security matters.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violators of laws other than those within
the scope of his or her jurisdiction. In the interests of effective law
enforcement, the Inspector General should retain this information as it
may aid in establishing patterns of criminal activity, and provide
leads for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining forms of evidence during
an investigation, information may be supplied to the investigator which
relate to matters incidental to the main purpose of the investigation
but which
[[Page 26222]]
may relate to matters under the investigative jurisdiction of another
agency. Such information cannot readily be segregated.
Reasons for exemptions under 5 U.S.C. 552a(k)(5):
(1) 5 U.S.C. 552a(c)(3) requires that an agency make accountings of
disclosures of records available to individuals named in the records at
their request. These accountings must state the date, nature and
purpose of each disclosure of the record and the name and address of
the recipient. The application of this provision would alert subjects
of an investigation to the existence of the investigation and that such
persons are subjects of that investigation. Since release of such
information to subjects of an investigation would provide the subject
with significant information concerning the nature of the
investigation, it could result in the altering or destruction of
documentary evidence, improper influencing of witnesses, and other
activities that could impede or compromise the investigation.
(2) 5 U.S.C. 552a(d), (e)(4)(G) and (H), and (f) relate to an
individual's right to be notified of the existence of records
pertaining to such individual; requirements for identifying an
individual who requests access to records; and the agency procedures
relating to access to records and the contest of information contained
in such records. This system is exempt from the foregoing provisions
for the following reasons: To notify an individual at the individual's
request of the existence of records in an investigative file pertaining
to such individual or to grant access to an investigative file could
interfere with investigative and enforcement proceedings; co-defendants
of a right to a fair trial; constitute an unwarranted invasion of
personal privacy of others; disclose the identity of confidential
sources and reveal confidential information supplied by these sources;
and disclose investigative techniques and procedures.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the
categories of sources of records in each system of records. The
application of this provision could disclose investigative techniques
and procedures and cause sources to refrain from giving such
information because of fear of reprisal, or fear of breach of promises
of anonymity and confidentiality. This would compromise the ability to
conduct investigations, and to make fair and objective decisions on
questions of suitability for Federal employment and related issues.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant and
necessary to accomplish a purpose of the agency required by statute or
Executive Order. An exemption from the foregoing is needed:
a. Because it is not possible to detect relevance or necessity of
specific information in the early stages of an investigation.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after that information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violations of laws other than those within
the scope of his or her jurisdiction. In the interest of effective law
enforcement, the Inspector General should retain this information as it
may aid in establishing patterns of criminal activity, and provide
leads for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining other forms of evidence
during an investigation, information may be supplied to the
investigator which relate to matters incidental to the main purpose of
the investigation but which may relate to matters under investigative
jurisdiction of another agency. Such information cannot readily be
segregated.
Dated: April 28, 2015.
Brenda Dolan,
Departmental Freedom of Information and Privacy Act Officer.
[FR Doc. 2015-10979 Filed 5-6-15; 8:45 am]
BILLING CODE 3510-55-P