[Federal Register Volume 85, Number 11 (Thursday, January 16, 2020)]
[Notices]
[Pages 2723-2726]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-00581]
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CORPORATION FOR NATIONAL AND COMMUNITY SERVICE
Privacy Act of 1974; System of Records
AGENCY: Corporation for National and Community Service.
ACTION: Notice of a modified System of Records.
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SUMMARY: The Corporation for National and Community Service (CNCS)
proposes to modify Office of the Inspector General Investigative
Files--Corporation-15, last published on January 30, 2002 (67 FR 4395,
4407), to include substantive changes and modifications described in
detail in the supplementary section. The primary purpose of the system
is to enable the CNCS Office of Inspector General (CNCS-OIG) to carry
out its responsibilities under the Inspector General Act of 1978, as
amended, including its responsibility to conduct and supervise
investigations relating to programs and operations of CNCS.
DATES: Interested persons may submit comments until February 18, 2020.
The system of Records Notice (SORN) will be effective February 18, 2020
unless CNCS receives any timely comments which would result in a
contrary determination.
ADDRESSES: You may submit comments, identified by system name and
number, by any of the following methods:
(1) Electronically through www.regulations.gov.
Once you access www.regulations.gov, locate the web page for this
SORN by searching for CNCS-03-OIG-Investigative Files. If you upload
any files, please make sure they include your first name, last name,
and the name of the proposed SORN.
(2) By email at [email protected].
(3) By mail: Corporation for National and Community Service, Attn:
Office of Inspector General, 250 E St. SW, Suite 400, Washington, DC
20525.
(4) By hand delivery or by courier to CNCS-OIG at the mail address
given in paragraph (3) above, between 9:00 a.m. and 4:00 p.m. Eastern
Time, Monday through Friday, except Federal holidays.
Comments received generally will be posted without change to
www.regulations.gov, including any personal and/or business
confidential information provided. To confirm receipt of your
comment(s), please check www.regulations.gov, approximately two to
three days after submission to verify posting (except allow 30 days for
posting of comments submitted by mail).
FOR FURTHER INFORMATION CONTACT: If you have general questions about a
system of record, please email [email protected] or use the mailing
address (3) identified above. Please include the system of record's
name and number.
SUPPLEMENTARY INFORMATION: This notice serves to update and modify
CNCS-OIG's records system by changing the name of the system from
Office of the Inspector General Investigative Files--Corporation-15 to
CNCS-03-OIG-Investigative Files, adding new routine uses, revising
several existing routine uses, and eliminating routine uses that were
duplicative. The substantive changes and modifications to the currently
published version of Office of the Inspector General Investigative
Files--Corporation-15 include:
Renaming the SORN as CNCS-03-OIG-Investigative Files;
Replacing all prior routine uses with nineteen new and
modified routine uses that are specific to this SORN;
Creating a method for disclosures to prevent or respond to
a suspected or confirmed data breach and disclosures during a records
management inspection;
Enabling CNCS-OIG to release information to the public
when: (a) The matter under investigation has become public knowledge
because information about it is publicly available, (b) CNCS-OIG or a
designee determines that such disclosure is necessary to preserve
confidence in the integrity of CNCS-OIG investigative process, or (c)
to demonstrate the accountability of CNCS employees or other
individuals covered by the system;
Addressing limited disclosures--to complainants, victims,
and witnesses--in situations not covered by routine use 18, and
consistent with uses promulgated by other Federal OIGs; and,
Informing individuals that they can request updates and
amendments to their records via email or facsimile and what they should
include in that inquiry to receive prompt service.
These changes not only advance overall transparency, but also, by
keeping complainants and victims informed about cases in which they are
involved, will encourage individuals to come forward and to cooperate
in future investigations. Providing witnesses with records they
initially produced, or which contain their own statements or testimony,
will, for example, assist the Federal government in ongoing legal
proceedings concerning the matters investigated. These changes also
represent a balance between privacy interests and the public's interest
in transparency. Disclosure of names in certain circumstances will help
deter misconduct involving CNCS and/or its funded activities.
For ease of reference, CNCS is republishing the Office of Inspector
General records system in its entirety.
SYSTEM NAME AND NUMBER:
CNCS-03-OIG-Investigative Files.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of Inspector General, Corporation for National and Community
Service, 250 E St. SW, Suite 400, Washington, DC 20525.
SYSTEM MANAGER(S):
Inspector General, Office of Inspector General, Corporation for
National and Community Service, 250 E St. SW, Suite 400, Washington, DC
20525.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Inspector General Act of 1978, as amended (5 U.S.C. App. 3) and
The National and Community Service Trust Act of 1993 (42 U.S. Code
Chapter 129).
PURPOSE(S) OF THE SYSTEM:
The Corporation for National and Community Service (CNCS) Office of
Inspector General (CNCS-OIG) uses the system to track and maintain the
files acquired and developed when CNCS-OIG investigates individuals
associated with a CNCS program or operation pursuant to the Inspector
General Act of 1978, as amended. CNCS-OIG is statutorily directed to
conduct and supervise investigations relating to CNCS programs and
operations 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.
Accordingly, the records in the system are used to investigate
individuals and entities suspected of having committed illegal or
improper acts and to conduct criminal prosecutions, civil proceedings,
and administrative actions against those individuals and entities.
[[Page 2724]]
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
In connection with CNCS-OIG's investigative duties, the system
maintains records on the following categories of individuals:
Individuals or entities that are or have been the subject
of inquiries or investigations conducted by CNCS-OIG. These include
current and former employees of CNCS, and current and former
contractors (or applicants for contracts), subcontractors, consultants,
or the recipients of (or applicants for) CNCS grants, subgrants, or
cooperative agreements, and their current or former employees; and,
Individuals who are witnesses, complainants, confidential
or nonconfidential informants, and other parties who have been
identified by CNCS-OIG (on the basis of information received or
developed by CNCS-OIG) as potentially possessing information relevant
to an investigation under CNCS-OIG's jurisdiction.
CATEGORIES OF RECORDS IN THE SYSTEM:
The records in the system include:
Letters, memoranda, hotline forms, and other documents
describing complaints or alleged criminal, civil, or administrative
misconduct;
Investigative files such as statements, affidavits,
subpoenas, analyses, and records obtained during the investigation;
and,
Final reports on the investigation and any related
exhibits, which may include information about any follow-up actions.
RECORD SOURCE CATEGORIES:
The subjects of investigations, and individuals with whom the
subjects of investigations are associated, such as:
Current and former CNCS employees;
Current and former employees of grantees, contractors and
subcontractors;
Current and former National Service participants;
Federal, state, local, and foreign law enforcement and
non-law enforcement agencies;
Members of the public;
Witnesses;
Confidential and nonconfidential informants; and
Information gathered from public sources.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND 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 or
information contained in the system may be disclosed to authorized
entities, as is determined to be relevant and necessary, as a routine
use pursuant to 5 U.S.C. 552a(b)(3) as follows:
1. To appropriate agencies, entities, and persons when:
a. CNCS-OIG or CNCS suspects or has confirmed that there has been a
breach of the system of records,
b. CNCS-OIG or CNCS has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
CNCS (including its information systems, programs, and operations), the
Federal government, or national security, and
c. The disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with CNCS-OIG's or CNCS's
efforts to respond to the suspected or confirmed breach or to prevent,
minimize, or remedy such harm.
2. To another Federal agency or Federal entity, when CNCS
determines that information from the system of records is reasonably
necessary to assist the recipient agency or entity in:
a. Responding to a suspected or confirmed breach; or
b. Preventing, minimizing, or remedying the risk of harm to
individuals, the recipient agency or entity (including its information
systems, programs, and operations), the Federal Government, or national
security, resulting from a suspected or confirmed breach.
3. To National Archives and Records Administration. A record may be
disclosed during a records management inspection conducted under 44
U.S.C. 2906, and for mediation services to resolve disputes under 5
U.S.C. 552(h)(2).
4. To Federal, State, Local, or Foreign Investigative or
Prosecutorial Authorities. A record which indicates either by itself or
in combination with other information within CNCS-OIG's possession, a
violation or potential violation of law, whether civil, criminal or
regulatory, may be disclosed, as a routine use, to the appropriate
Federal, foreign, state or local agency or professional or licensing
organization charged with the responsibility of investigating,
enforcing, or prosecuting such violation.
5. For Certain Disclosures to Other Federal Agencies--To a Federal
agency, in connection with the hiring or retention of an employee; the
conducting of a suitability or security investigation of an individual
and issuance of a security clearance; the classification of jobs; the
procurement of a contract; or the issuance of a license, grant, or
other benefit by the requesting agency, to the extent that the
information is relevant and necessary to the requesting agency's
decision on the matter.
6. To the Equal Employment Opportunity Commission--When requested
in connection with investigations into alleged or possible
discrimination practices in the Federal sector, compliance by Federal
agencies with the Uniform Guidelines on Employee Selection Procedures
or other functions vested in the Commission and to otherwise ensure
compliance with the provisions of 5 U.S.C. 7201.
7. To the Office of the President, or a Member of Congress or His
or Her Staff--In response to a request made on behalf of and at the
request of the individual who is the subject of the record, when the
Office of the President or the member of Congress has shown the
appropriate official that the individual to whom the record pertains
has authorized the Office of the President or the member of Congress to
have access.
8. To a Federal or State Grand Jury. Pursuant to a Federal or state
grand jury subpoena, or prosecution request, a record may be disclosed
for the purpose of its introduction to a grand jury.
9. To a Contractor, Grantee, Subgrantee or Other Recipient of
Federal Funds. A record may be disclosed when the record reflects
serious inadequacies with the award recipient's personnel, and
disclosure of the record is for the purpose of permitting the award
recipient to effect corrective action in the government's best
interest.
10. To Outside Entities During an Investigation or Audit. A record
may be disclosed to any source, either private or governmental, to the
extent necessary to secure from such source information relevant to,
and sought in furtherance of, an OIG investigation, audit, or
evaluation.
11. To a Government Agency Pursuant to a Bid Protest. A record may
be disclosed to a Board of Contract Appeals, the General Accounting
Office, or other tribunal hearing a bid protest involving a CNCS or
CNCS-OIG procurement.
12. To the U.S. Department of Justice (DOJ) for a Freedom of
Information Act or Privacy Act Consultation. A record may be disclosed
in order to obtain DOJ's advice regarding CNCS-OIG's obligations under
the Freedom of Information Act or Privacy Act.
13. To the White House Office of Management and Budget (OMB) for a
Privacy Act Consultation. A record may
[[Page 2725]]
be disclosed in order to obtain OMB's advice regarding CNCS-OIG's
obligations under the Privacy Act.
14. To Federal Agencies for Tax Records. A record may be disclosed
to the U.S. Department of the Treasury or DOJ when CNCS or CNCS-OIG is
seeking to obtain taxpayer information from the Internal Revenue
Service.
15. To a Consumer Reporting Agency. A record may be disclosed to a
``consumer reporting agency'' as that term is defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)), and the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701 (a)(3)), in order to obtain
information in the course of an investigation or audit.
16. To a Government Agency under a Computer Matching Program. A
record may be disclosed to a Federal, state, or local agency for use in
computer matching programs to prevent and detect fraud and abuse in
benefit or other programs, to support civil and criminal law
enforcement activities of those agencies and their components, and to
collect debts and overpayments owed to those agencies and their
components.
17. For Litigation and Mediation Purposes. A record may be
disclosed to DOJ or a state or local prosecutor, in a proceeding before
a court, adjudicative body, or mediation service before which CNCS-OIG
is authorized to appear, when--
a. CNCS-OIG, CNCS, or any component thereof;
b. Any employee of CNCS-OIG or CNCS in his or her official
capacity;
c. Any employee of CNCS-OIG or CNCS in his or her individual
capacity, where the government has agreed to represent the employee; or
d. The United States, where CNCS-OIG determines that the litigation
is likely to affect CNCS-OIG, CNCS, or any of its components,
is a party to litigation or has an interest in such litigation, and the
use of such records by DOJ is deemed relevant and necessary to the
litigation.
18. For Certain Disclosures to the Public. Unless CNCS-OIG or a
designee determines that disclosure of the specific information, in the
context of a particular case, would constitute an unwarranted invasion
of personal privacy, a record may be disclosed to the public:
a. When the matter under investigation has become public knowledge
because information about it is publicly available; or,
b. When CNCS-OIG or a designee determines that such disclosure is
necessary to preserve confidence in the integrity of the CNCS-OIG
investigative process; or
c. To demonstrate the accountability of CNCS-OIG or CNCS employees
or other individuals covered by the system.
19. To Sources of Investigations, Audits, and Inspections. A record
may be disclosed to:
a. Complainants and/or victims to the extent necessary to provide
such persons with information and explanations concerning the results
of the investigation or case arising from the matters about which they
complained and/or with respect to which they were a victim; and,
b. An individual who has been interviewed or contacted by CNCS-OIG
pursuant to an investigation, audit, or inspection, to the extent that
CNCS-OIG may provide copies of that individual's statements, testimony,
or records produced.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Paper records are stored in locked rooms, file cabinets, and desks.
Electronic records and backups are stored on secure servers and
encrypted media to include, but are not limited to, CNCS-OIG's
computers and network drives.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Each CNCS-OIG investigation file is assigned a case number and all
records related to a particular investigation are filed and retrieved
by that case number. Records may also be retrieved by the name of the
subjects, witnesses, and/or complainants.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Closed Investigation Files are retained for three years and then
retired to the Federal Records Center and held for ten years after the
fiscal year they were closed.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Access to the records is limited to authorized personnel
who require the information to complete their assigned tasks and have
been trained how to properly handle and safeguard the records.
Electronic records are maintained in accordance with
National Institute of Standards and Technology Special Publication 800-
53 Rev. 4, Security and Privacy Controls for Federal Information
Systems and Organizations or the updated equivalent.
Paper records are maintained in locked rooms, file
cabinets, and desks when not in use.
RECORD ACCESS PROCEDURES:
In accordance with 45 CFR part 2508, Implementation of the Privacy
Act of 1974, individuals wishing to access their own records must
contact the System Manager at the address listed above, state that they
want access to their own records, and furnish his or her name, address,
telephone number, and a copy of an identification card such as a
driver's license.
CONTESTING RECORD PROCEDURES:
The major part of the system is exempted from this requirement
pursuant to 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2). To the extent that
the system of records is not subject to exemption, it is subject to
contest. A determination as to exemption shall be made at the time a
request for contest is received. Requesters shall direct their request
to the System Manager listed above, stating clearly and concisely what
information is being contested, the reason for contesting it, and the
proposed amendment to the information. Individuals should also be
prepared to confirm their identity as required by 45 CFR part 2508.
NOTIFICATION PROCEDURES:
To determine whether the system of records contains a record
pertaining to the requesting individual, the individual should write to
the System Manager at the address listed above. Individuals who make a
request must include enough identifying information to locate their
records, indicate that they want to be notified whether their records
are included in the system, and be prepared to confirm their identity
as required by 45 CFR part 2508. Upon receipt, the System Manager will
respond within 30 days in the same manner that the request was received
e.g., for a request received by email CNCS-OIG will provide
notification via email.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to, and limited by 5 U.S.C. 552a(j)(2) and 45 CFR
2508.19(a)(1), the system of records maintained by CNCS-OIG that
contains the Investigative Files shall be exempted from the provisions
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), and 45 CFR
2508.11, 2508.12, 2508.13, 2508.14, 2508.15, 2508.16, and 2508.17,
insofar as the system contains information pertaining to criminal law
enforcement investigations.
Pursuant to, and limited by 5 U.S.C. 552a(k)(2) and 45 CFR
2508.19(a)(2), the system of records maintained by CNCS-OIG that
contains the Investigative Files
[[Page 2726]]
shall be exempted from 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G),
(H), and (I), and (f), and 45 CFR 2508.11, 2508.12, 2508.13, 2508.14,
2508.15, 2508.16, and 2508.17, insofar as the system contains
investigatory materials compiled for law enforcement purposes.
HISTORY:
64 FR 10879, 10890, March 5, 1999; 65 FR 46890, 46902, August 1,
2000; 67 FR 4395, 4407, January 30, 2002.
Dated: January 6, 2020.
Ndiogou Cisse,
Senior Agency Official for Privacy and Chief Information Officer.
[FR Doc. 2020-00581 Filed 1-15-20; 8:45 am]
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