[Federal Register: January 17, 2008 (Volume 73, Number 12)]
[Notices]
[Page 3228-3230]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr17ja08-22]
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Notices
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains documents other than rules
or proposed rules that are applicable to the public. Notices of hearings
and investigations, committee meetings, agency decisions and rulings,
delegations of authority, filing of petitions and applications and agency
statements of organization and functions are examples of documents
appearing in this section.
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AGENCY FOR INTERNATIONAL DEVELOPMENT
Privacy Act of 1974, as Amended
AGENCY: United States Agency for International Development.
ACTION: Notice of Significantly Altered System of Records.
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SUMMARY: The United States Agency for International Development (USAID)
is issuing public notice of its intent to alter its system of records
maintained in accordance with the Privacy Act of 1974 (5 U.S.C. 552a),
as amended, entitled ``AID-9--Criminal Law Enforcement Records.'' USAID
is updating this system to reflect the current administrative status,
to add new general routine uses, and to enhance the descriptions of
other data elements in order to provide further transparency into
USAID's record-keeping practices.
DATES: The update to the system of records set forth in this notice
will become effective at the end of the comment period, unless comments
are received that would require a revision. To be assured of
consideration, comments must be received on or before February 26,
2008.
ADDRESSES: Comments may be submitted by any of the methods listed
below.
Electronic Comments
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions on the Web site for submitting comments.
E-mail: Privacy@usaid.gov.
Paper Comments
Mail: Chief Privacy Officer, USAID, 1300 Pennsylvania
Avenue, NW., Room 2.12-003, Washington, DC 20523
Facsimile: (703) 666-1466.
FOR FURTHER INFORMATION CONTACT: For general questions, please contact:
Kimberley Bynum (202-712-4010). For privacy-related issues, please
contact: Olivia Gifford (202-712-1150).
SUPPLEMENTARY INFORMATION: USAID is undertaking a review of all its
system of records notices to ensure that it maintains complete,
accurate, timely, and relevant records. As a result of this effort,
USAID is proposing to revise its ``Criminal Law Enforcement Records''
system of records notice in its entirety due to the number of proposed
changes. The Criminal Law Enforcement Records are maintained by the
Office of Investigations, Office of Inspector General (OIG), USAID, in
the conduct of investigations of illegal, unlawful, or otherwise
violative conduct, and inquiries preliminary thereto, undertaken by
that office pursuant to the Inspector General Act of 1978, as amended.
OIG is statutorily directed to conduct and supervise investigations
related to the programs and operations of USAID; to promote economy,
efficiency, and effectiveness in the administration of such programs
and operations; and to prevent and detect fraud, waste, and abuse in
such programs and operations. As such, the records in this system are
used in the course of investigating individuals and entities suspected
of having committed illegal or unethical acts, and in supporting
related criminal prosecutions, civil proceedings, and administrative
actions.
This notice is being published in connection with USAID/OIG's
intent to automate a portion of the Office of Investigations's existing
Criminal Law Enforcement Records system, to provide further
transparency into USAID's record-keeping practices, and to update
public information regarding the routine uses of personally
identifiable information within that records system. This update to the
system by way of automation will not involve the collection of
additional categories of information, but will instead provide
possibilities for methods of retrieval previously unavailable.
The revisions in this proposal will affect each data element as
follows: change system classification; update system locations; clarify
categories of individuals in the system; clarify categories of records
in the system; clarify the authority for maintenance of the system;
insert the purpose of the system of records; add new routine uses;
revise policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system; update system
manager name and address; insert procedures for notification of, access
to, and contesting of records; identify record source categories; and
clarify the exemptions claimed for the system. Due to the number of
proposed alterations to the record system, USAID proposes to replace
the existing AID 9 with the proposed altered system of record notice
published in its entirety below.
In accordance with 5 U.S.C. 552a(r), a report concerning this
system has been sent to the Office of Management and Budget, and to the
requisite congressional committees.
Philip M. Heneghan,
Chief Privacy Officer.
USAID-009
SYSTEM NAME:
Criminal Law Enforcement Records System.
SECURITY CLASSIFICATION:
Sensitive but Unclassified (SBU).
SYSTEM LOCATION(S):
USAID, Office of Inspector General, 1300 Pennsylvania Avenue, NW.,
Washington DC 20523; USAID, 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, OIG maintains records
in its Criminal Law Enforcement 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: complainants; witnesses; confidential and
non-confidential informants; contractors; subcontractors; recipients of
federal assistance or funds and their contractors/subcontractors and
employees; individuals threatening USAID employees or the USAID
Administrator; current, former, and prospective employees of USAID;
alleged violators of USAID rules and regulations; union officials;
individuals investigated and/or interviewed; persons suspected of
violations of administrative, civil, and/or criminal provisions;
grantees; sub-grantees;
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lessees; licensees; and other persons engaged in official business with
USAID.
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 OIG and other Federal, State, local, tribal,
territorial, or foreign regulatory or law enforcement agencies.
Categories of records may include: complaints; requests to investigate;
information contained in criminal, civil, or administrative referrals;
statements from subjects, targets, 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; records of seized property; reports of
laboratory examination; reports of investigation; and other data or
evidence collected or generated by OIG's Office of Investigations
during the course of 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 OIG to carry out
its statutory responsibilities under the Inspector General Act of 1978,
as amended, to conduct and supervise investigations relating to
programs and operations of USAID; to promote economy, efficiency, and
effectiveness in the administration of such programs and operations;
and to prevent and detect fraud, waste, and abuse in such programs and
operations. The records are used in the course of investigating
individuals and entities suspected of having committed illegal or
unethical acts, and in conducting related criminal prosecutions, civil
proceedings, and administrative actions.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
USAID's routine uses, see 42 FR 47371 (September 20, 1977) and 59
FR 52954 (October 20, 1994), apply to this system of records. As
additional routine uses for this records system, USAID/OIG may disclose
information in this system as follows:
(a) Disclosure to the Department of Justice (DOJ) or a legal
representative designated by a Federal agency in circumstances in
which:
(1) USAID or OIG, or any component thereof;
(2) Any employee of USAID or OIG in his or her official capacity;
(3) Any employee of USAID or OIG in his or her individual capacity,
where the 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,
USAID or OIG will be affected by the litigation, or USAID 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,
USAID or OIG determines that disclosure of the records to the DOJ is a
use of the information that is compatible with the purpose for which
the records were collected.
(b) Disclosure to any source from which additional information is
requested in order to obtain information relevant to:
(1) A decision by either USAID or OIG concerning the hiring,
assignment, or retention of an individual or other personnel action;
(2) The issuance, renewal, retention, or revocation of a security
clearance;
(3) The execution of a security or suitability investigation;
(4) The letting of a contract; or
(5) 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 USAID or OIG on the matter.
(c) Disclosure to a Federal, State, local, foreign, tribal,
territorial, or other public authority in response to its request in
connection with:
(1) The hiring, assignment, or retention of an individual;
(2) The issuance, renewal, retention, or revocation of a security
clearance;
(3) The execution of a security or suitability investigation;
(4) The letting of a contract; or
(5) 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.
(d) Disclosure 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 entity, whether Federal, State, tribal,
territorial, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation, order, or contract.
(e) Disclosure to any source from which additional information is
requested, either private or governmental, to the extent necessary to
solicit information relevant to any investigation, audit, or
evaluation.
(f) Disclosure to a foreign government pursuant to an international
treaty, convention, or executive agreement entered into by the United
States.
(g) Disclosure to contractors, grantees, consultants, or volunteers
performing or working on a contract, service, grant, cooperative
agreement, job, or other activity for USAID 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).
(h) Disclosure 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.
(i) Disclosure 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.
(j) Disclosure in response to a facially valid subpoena for the
record.
(k) Disclosure to the National Archives and Records Administration
for the purpose of records management inspections conducted under
authority of 44 U.S.C. 2904, 2906.
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(l) Disclosure 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.
(m) Disclosure 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 as contemplated by the Homeland Security Act of
2002 (Pub. L. No. 107-296; November 25, 2002). This disclosure category
includes other Federal offices of inspectors general and members of the
President's Council 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.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and all other media (photographs, audio recordings,
diskettes, CD's, etc.) are stored in GSA-approved security containers
with combination locks in a secured area. Electronic records are
password protected and maintained on a file server in locked facilities
that are secured at all times by security systems and video
surveillance cameras.
RETRIEVABILITY:
Records are retrieved in a database by name and/or alias, as well
as by non-personally identifiable information, such as case number.
SAFEGUARDS:
Access to paper records is restricted to authorized OIG employees
on a need-to-know basis. At all times, paper records are maintained in
locked safes in a secured area in offices that are occupied by
authorized OIG employees. Access to electronic records is restricted to
authorized OIG staff members on a need-to-know basis. Each person
granted access to the system must be individually authorized to use the
system. Disclosure of records maintained electronically is restricted
through the use of passwords. The computer servers in which records are
stored are password protected. Passwords are changed on a cyclical
basis. The computer servers are located in locked facilities that are
secured at all times by security systems and video surveillance
cameras. The security systems provide immediate notification of any
attempted intrusion to USAID Security personnel. All data exchanged
between the servers and individual computers is encrypted. Backup tapes
are stored in a locked and controlled room in a secure, off-site
location.
RETENTION AND DISPOSAL:
Records relating to persons covered by this system are retained for
two or five years after the investigation is closed. If an
investigation does not involve allegations against a senior level USAID
employee, is not of congressional interest, or does not yield a
reportable result, the records within the closed case file are
maintained for a period of two years from the date of closing by OIG.
If the investigation yields a reportable result, has congressional
interest, or involves allegations against a senior level USAID
employee, the records within the closed case file will be retained for
five years from the date of closing by OIG. After the applicable period
(two or five years), closed investigative files will be sent from
USAID, Office of Inspector General, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20523, to the Washington National Records Center in
Suitland, Maryland, where they will be retained for fifteen years, and
subsequently destroyed. Any electronic file that qualifies as a record
will be printed out and treated as a hard-copy record for disposition
purposes.
SYSTEM MANAGER AND ADDRESS:
Kimberley Bynum, (202-712-4010).
NOTIFICATION PROCEDURES:
Records in this system are exempt from notification, access, and
amendment procedures in accordance with subsections (j) and (k) of 5
U.S.C. 552a, and 22 CFR 215.13 and 215.14. Individuals requesting
notification of the existence of records on themselves should send
their request to the System Manager (see information above). The
request must be in writing and include the requester's full name, his
or her current address, his or her date and place of birth, and a
return address for transmitting the information. The request shall be
signed by either notarized signature or by signature under penalty of
perjury. Requesters shall also reasonably specify the record contents
being sought.
RECORDS ACCESS PROCEDURES:
An individual requesting access to records maintained on himself or
herself should address the request to the System Manager as described
in ``Notification Procedures'' above.
CONTESTING RECORD PROCEDURES:
An individual requesting amendment of a record maintained on
himself or herself must identify the information to be changed and the
corrective action sought. Requests should be addressed to the System
Manager as described in ``Notification Procedures'' above.
RECORD SOURCE CATEGORIES:
OIG collects information from a wide variety of sources, including
information from USAID and other Federal, State, and local agencies,
subjects, witnesses, complainants, confidential and/or non-confidential
sources, and other nongovernmental entities.
SYSTEM EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
Under the specific authority provided by subsection (j)(2) of 5
U.S.C. 552a, USAID has adopted regulations, 22 CFR 215.13 and 215.14,
which exempt this system from the notice, access, and amendment
requirements of 5 U.S.C. 552a, except subsections (b); (c)(1) and (2);
(e)(4)(A) through (F); (e)(6), (7), (9), (10), and (11); and (i). If
the provision found at subsection (j)(2) of 5 U.S.C. 552a is held to be
invalid, then, under subsections (k)(1) and (2) of 5 U.S.C. 552a, this
system is determined to be exempt from the provisions of subsections
(c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a.
See 57 FR 38276, 38280-81 (August 24, 1992). The reasons for adoption
of 22 CFR 215.13 and 215.14 are to protect the materials required by
Executive order to be kept secret in the interest of national defense
of foreign policy, to maintain the integrity of the law enforcement
process, to ensure the proper functioning and integrity of law
enforcement activities, to prevent disclosures of investigative
techniques, to maintain the ability to obtain necessary information, to
prevent subjects of investigation from frustrating the investigatory
process, to avoid premature disclosure of the knowledge of criminal
activity and the evidentiary bases of possible enforcement actions, to
fulfill commitments made to sources to protect their identities and the
confidentiality of information, and to avoid endangering these sources
and law enforcement personnel.
[FR Doc. E8-784 Filed 1-16-08; 8:45 am]
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