Subject: Federal Register, Volume 73 Issue 221 (Friday, November 14, 2008)
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Date: Tue, 24 Sep 2013 12:43:43 -0400

[Federal Register Volume 73, Number 221 (Friday, November 14, 2008)]
[Notices]
[Pages 67529-67532]
From the Federal Register Online via the Government Printing Office [http://www.gpo.gov/]
[FR Doc No: E8-27091]

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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2008-0084]

Privacy Act of 1974; Department of Homeland Security Internal
Affairs System of Records

AGENCY: Privacy Office; DHS.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, and as part of the
Department of Homeland Security's ongoing effort to review and update
legacy system of records notices, the Department of Homeland Security
proposes to consolidate two legacy record systems titled, Treasury/
CS.127 Internal Affairs Records System, and Justice/INS.002 INS Office
of Internal Audit Investigations Index and Records into one Department
of Homeland Security-wide system of records notice titled Internal
Affairs. This system will allow the Department of Homeland Security to
collect and maintain records on applicants, past and present employees,
contractors, and contractor applicants relating to investigations
conducted by Department of Homeland Security Headquarters or its
components with the exception of investigations conducted by the Office
of the Inspector General, which are covered by DHS/OIG-002
Investigations Data Management System. Categories of individuals,
categories of records, and the routine uses of these legacy system of
records notices have been consolidated and updated to better reflect
the Department's internal affairs record systems. Additionally, DHS is
issuing a Notice of Proposed Rulemaking (NPRM) concurrent with this
SORN elsewhere in the Federal Register. The exemptions for the legacy
system of records notices will continue to be applicable until the
final rule for this SORN has been completed. This consolidated system
will be included in the Department of Homeland Security's inventory of
record systems.

DATES: Submit comments on or before December 15, 2008. This new system
will be effective December 15, 2008.

ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0084 by one of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov/.
Follow the instructions for submitting comments.
Fax: 1-866-466-5370.
Mail: Hugo Teufel III, Chief Privacy Officer, Privacy
Office, Department of Homeland Security, Washington, DC 20528.
Instructions: All submissions received must include the
agency name and docket number for this rulemaking. All comments
received will be posted without change and may be read at

[[Page 67530]]

http://www.regulations.gov/, including any personal information
provided.
Docket: For access to the docket to read background
documents or comments received, go to http://www.regulations.gov/.

FOR FURTHER INFORMATION CONTACT: For general questions and privacy
issues please contact: Hugo Teufel III (703-235-0780), Chief Privacy
Officer, Privacy Office, Department of Homeland Security, Washington,
DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

Pursuant to the savings clause in the Homeland Security Act of
2002, Public Law 107-296, Section 1512, 116 Stat. 2310 (November 25,
2002), the Department of Homeland Security (DHS) and its components and
offices have relied on preexisting Privacy Act systems of records
notices for the collection and maintenance of records that concern
internal affairs records.
As part of its efforts to streamline and consolidate its Privacy
Act record systems, DHS is establishing a new agency-wide system of
records under the Privacy Act (5 U.S.C. 552a) for DHS internal affairs
records. This will ensure that all components of DHS follow the same
privacy rules for collecting and handling internal affairs records. DHS
will use this system to collect and maintain internal affairs records
submitted by DHS personnel and others.
In accordance with the Privacy Act of 1974, and as part of DHS's
ongoing effort to review and update legacy system of records notices,
DHS proposes to consolidate two legacy record systems titled, Treasury/
CS.127 Internal Affairs Records System (66 FR 52984 October 18, 2001)
and Justice/INS.002 INS Office of Internal Audit Investigations Index
and Records (67 FR 64136 January 3, 2002), into one DHS-wide system of
records notice titled Internal Affairs. This system will allow DHS to
collect and maintain records on applicants, past and present employees,
contractors, and contractor applicants relating to investigations
conducted by DHS Headquarters or its components with the exception of
investigations conducted by the Office of the Inspector General (OIG),
which are covered by DHS/OIG-002 Investigations Data Management System.
Categories of individuals, categories of records, and the routine uses
of these legacy system of records notices have been consolidated and
updated to better reflect the Department's internal affairs record
systems. Additionally, DHS is issuing a Notice of Proposed Rulemaking
(NPRM) concurrent with this SORN elsewhere in the Federal Register. The
exemptions for the legacy system of records notices will continue to be
applicable until the final rule for this SORN has been completed. This
consolidated system will be included in DHS's inventory of record
systems.

II. Privacy Act

The Privacy Act embodies fair information principles in a statutory
framework governing the means by which the United States Government
collects, maintains, uses, and disseminates individuals' records. The
Privacy Act applies to information that is maintained in a ``system of
records.'' A ``system of records'' is a group of any records under the
control of an agency from which information is retrieved by the name of
an individual or by some identifying number, symbol, or other
identifying particular assigned to the individual. In the Privacy Act,
an individual is defined to encompass United States citizens and legal
permanent residents. As a matter of policy, DHS extends administrative
Privacy Act protections to all individuals where systems of records
maintain information on U.S. citizens, lawful permanent residents, and
visitors. Individuals may request access to their own records that are
maintained in a system of records in the possession or under the
control of DHS by complying with DHS Privacy Act regulations, 6 CFR
Part 5.
The Privacy Act requires each agency to publish in the Federal
Register a description denoting the type and character of each system
of records that the agency maintains, and the routine uses that are
contained in each system in order to make agency record keeping
practices transparent, to notify individuals regarding the uses of
their records, and to assist individuals to more easily find such files
within the agency. Below is the description of the Internal Affairs
System of Records.
In accordance with 5 U.S.C. 552a(r), DHS has provided a report of
this new system of records to the Office of Management and Budget (OMB)
and to Congress.
SYSTEM OF RECORDS:
DHS/ALL-020.

System name:
Department of Homeland Security Internal Affairs Records.

Security classification:
Unclassified.

System location:
Records are maintained at several Headquarters locations and in
component offices of DHS, in both Washington, DC, and field locations.

Categories of individuals covered by the system:
Any applicants for Federal employment, past and present employees,
contractors, and contractor applicants, or any other individual who is
subject to, or involved in, an integrity or disciplinary inquiry or
investigation not handled by OIG.

Categories of records in the system:
Categories of records in this system include:
Individual identifying data, which may include some or all
of the following: full name, date of birth, social security number,
addresses, duty station, grade, job series, and entrance on duty date;
Allegations received and method received;
Relevant information from background investigations;
Integrity investigations;
Investigation files;
Incident location;
Case agent/officer or supervisor;
Case/prosecution status;
Photographic images, videotapes, voiceprints, DVDs;
Letters, e-mails, memoranda and reports;
Exhibits, evidence, statements and affidavits; and
Any other information gathered in the course of an
integrity or disciplinary inquiry or investigation.

Authority for maintenance of the system:
5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Executive
Order 9397.

Purpose(s):
The purpose of this system is to collect and maintain records on
applicants, past and present employees, contractors, and contractor
applicants relating to integrity or disciplinary inquiries or
investigations conducted by DHS Headquarters or its components, except
for those investigations conducted by OIG.
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 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records of
information contained in this system may be disclosed outside DHS as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
A. To the Department of Justice (including United States Attorney

[[Page 67531]]

Offices) or other Federal agency conducting litigation or in
proceedings before any court, adjudicative or administrative body when
it is necessary to the litigation and one of the following is a party
to the litigation or has an interest in such litigation:
1. DHS or any component thereof;
2. Any employee of DHS in his/her official capacity;
3. Any employee of DHS in his/her individual capacity where the
Department of Justice or DHS has agreed to represent the employee; or
4. The United States or any agency thereof, is a party to the
litigation or has an interest in such litigation, and DHS determines
that the records are both relevant and necessary to the litigation and
the use of such records is compatible with the purpose for which DHS
collected the records.
B. To a congressional office from the record of an individual in
response to an inquiry from that congressional office made at the
request of the individual to whom the record pertains.
C. To the National Archives and Records Administration or other
Federal government agencies pursuant to records management inspections
being conducted under the authority of 44 U.S.C. 2904 and 2906.
D. To an agency, organization, or individual for the purpose of
performing audit or oversight operations as authorized by law, but only
such information as is necessary and relevant to such audit or
oversight function.
E. To appropriate agencies, entities, and persons when:
1. DHS suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised;
2. 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 DHS or another agency or entity) or harm to the
individual who relies upon the compromised information; and
3. The disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with DHS's efforts to
respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm.
F. To contractors and their agents, grantees, experts, consultants,
and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for DHS, when necessary to
accomplish an agency function related to this system of records.
Individuals provided information under this routine use are subject to
the same Privacy Act requirements and limitations on disclosure as are
applicable to DHS officers and employees.
G. To an appropriate Federal, State, tribal, local, international,
or foreign law enforcement agency or other appropriate authority
charged with investigating or prosecuting a violation or enforcing or
implementing a law, rule, regulation, or order, where a record, either
on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal,
civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the
disclosure.
H. To disclose information 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 or the bureau's
hiring or retention of an individual, or issuance of a security
clearance, license, contract, grant, or other benefit.
I. To disclose information 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
subpoena from a court of competent jurisdiction.
J. To third parties during the course of a law enforcement
investigation to the extent necessary to obtain information pertinent
to the investigation, provided disclosure is appropriate to the proper
performance of the official duties of the officer making the
disclosure.
K. To an authorized appeal or grievance examiner, formal complaints
examiner, equal employment opportunity investigator, arbitrator, or
other duly authorized official engaged in investigation or settlement
of a grievance, complaint, or appeal filed by an employee.
L. To provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114, and in circumstances when union officials
represent employees in investigations and personnel actions.
M. To a court, prosecutor, and/or defense attorney in satisfaction
of the agency's obligations under the Giglio, Jenks, or Brady
decisions;
N. To management officials at Federal, State or local agencies who
may be in a position to take disciplinary or other corrective action
and to boards and panels who may be charged with making recommendations
or proposals regarding remedial action.
O. To the news media and the public, with the approval of the Chief
Privacy Officer in consultation with counsel, when there exists a
legitimate public interest in the disclosure of the information or when
disclosure is necessary to preserve confidence in the integrity of DHS
or is necessary to demonstrate the accountability of DHS's officers,
employees, or individuals covered by the system, except to the extent
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are stored electronically or on paper in
secure facilities in a locked drawer behind a locked door. The records
are stored on magnetic disc, tape, digital media, and CD-ROM.

Retrievability:
Records may be retrieved by the individual's name, date of birth,
or social security number.

Safeguards:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DHS 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 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.

Retention and disposal:
The file records are maintained as long as the subject of the
investigation is employed by DHS, and then one year after the subject
terminates employment. The files are then transferred to the Federal
Records Center for a period of 25 years, after which they are
destroyed.

[[Page 67532]]

System Manager and address:
For Headquarters and components of DHS, the System Manager is the
Director of Departmental Disclosure, Department of Homeland Security,
Washington, DC 20528. For components of DHS, the System Manager can be
found at http://www.dhs.gov/foia under ``contacts.''

Notification procedure:
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 Headquarters' or component's
FOIA Officer, whose contact information can be found at http://
www.dhs.gov/foia under ``contacts.'' If an individual believes more
than one component maintains Privacy Act records concerning him or her
the individual may submit the request to the Chief Privacy Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410,
STOP-0550, Washington, DC 20528.
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 6 CFR Part 5. You must first
verify your identity, meaning that you must provide your full name,
current address and date and place of birth. 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 Director,
Disclosure and FOIA, http://www.dhs.gov/ or 1-866-431-0486. 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,
Provide any other information that will help the FOIA
staff determine which DHS component agency may have responsive records,
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:
Sources of information include: individuals who are the subject of
the investigation or inquiry, employers, law enforcement organizations,
members of the public, witnesses, education institutions, government
agencies, credit bureaus, references, neighborhood checks, confidential
sources, medical service providers, personal interviews, photographic
images, military, financial institutions, citizenship, birth and tax
records, and the applicant's, employee's or contractor's personnel
history and application forms.

Exemptions claimed for the system:
The Secretary of Homeland Security has exempted this system from
subsections (c)(3) and (4); (d); (e)(1), (2), (3), (5), and (8); and
(g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In additional,
the Secretary of Homeland Security has exempted this system from
subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (2), (k)(3), and (5).

Dated: November 6, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E8-27091 Filed 11-13-08; 8:45 am]
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