[Federal Register Volume 62, Number 19 (Wednesday, January 29, 1997)]
[Notices]
[Pages 4408-4411]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-2177]
Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 /
Notices
[[Page 4408]]
DEPARTMENT OF ENERGY
Privacy Act of 1974; Establishment of a New System of Records
AGENCY: Department of Energy.
ACTION: Proposed establishment of a system of records.
-----------------------------------------------------------------------
SUMMARY: The Department of Energy (DOE) proposes to establish a system
of records identified as DOE-83 and entitled ``Allegation-Based
Inspections Files of the Office of Inspector General.'' The Office of
Inspector General's (OIG's) Office of Inspections compiles various
files that are collected and maintained to assist in the performance of
the functions of the Office of Inspector General (OIG). The Office of
Inspections performs various inspections and analyses as required by
the OIG. An OIG inspection is an examination of a DOE or DOE contractor
organization, program, project, function, or activity.
The proposed system of records will cover only the files of
inspections based on allegations or complaints and which identify
subjects and sources of information by name. Inspections performed
relate to sensitive allegations of wrongdoing received concerning
certain individuals, including agency or DOE contractor employees, or
other persons or entities with some relationship to the agency.
Allegations include, but are not limited to, abuse of authority; misuse
of government time, property, or position; conflicts of interest;
whistleblower reprisal; or other non-criminal violations of law, rules,
or regulations. The proposed system of records will contain work
papers, summaries of work papers, memoranda of interviews, interview
notes, memoranda to the file, memoranda for the record, information
provided by complainants, contractors and other interested parties, and
related documentation.
DATES: Comments should be submitted on or before March 31, 1997.
ADDRESS: Written comments should be addressed to GayLa D. Sessoms,
Director, Freedom of Information Act and Privacy Act Division, U.S.
Department of Energy, HR-78, 1000 Independence Avenue, SW, Washington,
DC 20585, (202) 586-5955.
FOR FURTHER INFORMATION CONTACT:
Jacqueline M. Becker, Office of Inspector General, U.S. Department of
Energy, IG-1, 1000 Independence Avenue, SW, Washington, DC 20585, (202)
586-4393; or
GayLa D. Sessoms, Director, Freedom of Information Act and Privacy Act
Division, U.S. Department of Energy, HR-78, 1000 Independence Avenue,
SW, Washington, DC 20585, (202) 586-5955; or
Abel Lopez, Office of General Counsel, U.S. Department of Energy, GC-
80, 1000 Independence Avenue, SW, Washington, DC 20585, (202) 586-8618.
SUPPLEMENTARY INFORMATION: This notice establishes a new system of
records entitled ``Allegation-Based Inspections Files of the Office of
Inspector General.'' The proposed system of records will cover only the
files of inspections based on allegations or complaints and which
identify subjects and sources of information by name. The system of
records is necessary to perform the functions of the Office of
Inspector General. Exemptions to certain provisions of the Privacy Act
also are necessary and are being published as a Proposed Rule elsewhere
in this issue.
Allegation-Based Inspections Files are maintained to document
information concerning allegations or complaints about DOE or DOE
contrator programs or operations. The files may contain information
about civil or administrative wrongdoing, or about fraud, waste, or
mismanagement, or other violations of law or regulation. This
information could be the basis for administrative corrective action or
referrals to appropriate authorities for civil or criminal
investigation or prosecution.
The Allegation-Based Inspections Files contain information that if
disclosed would substantially compromise the effectiveness of OIG
inspections and inquiries. These files contain information about
informants, complainants, contractor personnel, sources of information,
witnesses, and inspections personnel. These files also contain the
names of persons or agencies who have received certain information
contained in these files.
Information in this system of records will be maintained pursuant
to certain functions of the Inspector General (IG). Those functions
require that the Office of Inspections conduct inspections and analyses
of Departmental operations and programs. Exemptions from certain
provisions of the Privacy Act are needed to accomplish the inspection
function of the Office of Inspector General, to maintain the integrity
and confidentiality of personal information, and to prevent disclosure
of sensitive or classified information. These exemptions are also
needed to prevent subjects of inspections or inquiries from frustrating
the inspection or inquiry process and to prevent the disclosure of
inspection or inquiry techniques. Finally, these exemptions will enable
the IG to fulfill commitments to protect the confidentiality of
sources, to maintain access to sources of information, and to avoid
endangering sources or Office of Inspections personnel.
The information that will be exempt includes, but is not limited
to, information that identifies program operating procedures, program
operation violations, program management violations, and alleged
violators. This information will consist of identifying data and
information about fraud, waste, or mismanagement. Other exempt data
will be documentation, information from informants, complainants,
contractor personnel, reports by inspectors, and information that can
identify an individual.
When a Privacy Act request for exempt records concerning an
individual is received from that individual, that request will be
processed under the Freedom of Information Act. This will provide the
maximum disclosure of responsive records to the individual.
This system is established pursuant to the Inspector General Act of
1978, as amended, 5 U.S.C. App. 3. The statute mandates that the
Inspector General provide leadership and coordination, and recommend
policies for activities designed to promote economy, effectiveness, and
efficiency in the administration of DOE programs or operations. The IG
is also mandated to conduct activities relating to the prevention or
detection of fraud or abuse in these programs or operations.
The maintenance of this system could have a substantial effect on
the privacy and other rights of individuals. However, the Department
has adopted measures to ensure that maintaining this information will
not compromise the privacy and other rights of the affected
individuals. The information will be collected only for the stated
purpose, access to the information will be restricted, and the
information will be maintained in a secured manner.
The text of the system notice is set forth below.
Issued in Washington, DC on December 31, 1996.
Archer L. Durham,
Assistant Secretary for Human Resources and Administration.
DOE-83
SYSTEM NAME:
Allegation-Based Inspections Files of the Office of Inspector
General.
[[Page 4409]]
SECURITY CLASSIFICATION:
Generally unclassified. Some records may contain classified
material.
SYSTEM LOCATION:
Official Allegation-Based Inspections Files are located at:
U.S. Department of Energy, Office of Inspector General,
Headquarters, 1000 Independence Avenue, SW, Washington, DC 20585.
U.S. Department of Energy, Office of Inspector General, PO Box
5400, Albuquerque, New Mexico 87115.
U.S. Department of Energy, Office of Inspector General, PO Box
2270, Livermore, California 94550.
U.S. Department of Energy, Office of Inspector General, PO Box
1328, Oak Ridge, Tennessee 37831.
U.S. Department of Energy, Office of Inspector General, PO Box A,
Aiken, South Carolina 29808.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are the subjects of inspections or inquiries
concerning allegations or complaints, individuals who have pertinent
knowledge about the inspection or inquiry, individuals authorized to
furnish information, confidential informants, or complainants, Office
of Inspector General (OIG) inspections personnel, and other individuals
involved in these inspections.
CATEGORIES OF RECORDS IN THE SYSTEM:
Inspection files predicated on allegations or complaints and which
identify subjects and sources of information by name. Inspections
performed relate to sensitive allegations of wrongdoing received
concerning certain individuals, including agency employees, or other
persons or entities with some relationship to the agency. Allegations
include, but are not limited to, abuse of authority; misuse of
government time, property, or position; conflicts of interest;
whistleblower reprisal; or other non-criminal violations of law, rules,
or regulations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
PURPOSE(S):
Pursuant to the Inspector General Act of 1978, as amended, 5 U.S.C.
App. 3, the records in this system are used by the OIG in furtherance
of the responsibilities of the Inspector General. These
responsibilities include evaluating the effectiveness and efficiency of
an operation, determining compliance with laws and regulations,
evaluating Departmental program operations and results, preventing and
detecting fraud and abuse in such programs and operations, and assuring
the investigation of complaints by contractor employees alleging
retaliation for making disclosures protected under 10 CFR part 708 and
41 U.S.C. 315, section 6006.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Pursuant to the Inspector General Act of 1978, as amended, 5 U.S.C.
App. 3, information contained in the files of the OIG Office of
Inspections is collected and maintained in carrying out the duties and
responsibilities of the Inspector General to evaluate the effectiveness
and efficiency of an operation, determine compliance with laws and
regulations, evaluate Departmental program operations and results, and
prevent and detect fraud and abuse in such programs and operations.
Material compiled is used for prosecutive, civil, or administrative
actions.
1. Pursuant to section 552a(b)(7), the Department will provide a
record within this system of records for law enforcement purposes at
the prior written request of the head (or designee of the head) of a
Federal agency or instrumentality. In the event that a record within
this system of records, alone or in conjunction with other information,
indicates a violation or potential violation of law, regulation, policy
or procedure, whether civil, criminal or regulatory in nature, and
whether arising by general statute or particular program pursuant
thereto, the Department, at its initiative, may refer relevant records
in the system of records as a routine use to the appropriate agency,
whether Federal, State, local, or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule, regulation
or order.
2. To disclose information to any source from which additional
information is requested, when necessary to obtain information relevant
to an IG inspection, the source will be provided such information from
the system of records only to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and to
identify the type of information requested.
3. A record from this system of records may be disclosed to a
Federal agency, in response to its written request, to facilitate the
requesting agency's decision concerning the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit, to the extent that the
information is relevant and necessary to the requesting agency's
decision on the matter and the Department deems the disclosure to be
compatible with the purpose for which the Department collected the
information.
4. For purposes of settlement of claims and the preparation and
conduct of litigation, a record in this system of records may be
disclosed to: (1) The Department's and its contractors' counsel; (2)
other counsel representing the United States Government; (3)
individuals or companies represented by Department counsel or counsel
to other United States Government agencies; (4) opposing counsel; (5)
persons possessing information pertaining to the claims or litigation
to the extent necessary to obtain relevant information; and (6)
claimants or other parties to the claim or litigation.
5. A record from this system of records may be disclosed in court
or administrative proceedings to the tribunals, counsel, other parties,
witnesses, and the public (in publicly available pleadings, filings or
discussion in open court) when individuals or entities listed below are
parties to, or have an interest in, the litigation or proceedings and
the Department determines that such disclosure: (1) Is relevant to, and
necessary for, the procceeding; and (2) is compatible with the purpose
for which the Department collected the records:
(a) The agency, or any component thereof;
(b) Any employee of the agency in his or her official capacity;
(c) Any employee of the agency in his or her individual capacity
where the United States has agreed to represent the employee;
(d) The agency's contractors and contractors' employees where the
Department has agreed, or is obligated by statute, to represent such
persons; and,
(e) The parties and their representatives in a 10 CFR part 708 and
41 U.S.C. 315, section 6006 proceeding.
6. A record from this system of records may be disclosed to foreign
governments or international organizations, in accordance with
treaties, international conventions, or executive agreements.
7. A record from this system of records may be disclosed as a
routine use to the Office of Management and Budget (OMB) in connection
with the
[[Page 4410]]
review of private relief legislation as set forth in OMB Circular No.
A-19 at any stage of the legislative coordination and clearance process
as set forth in that Circular.
8. A record from this system of records may be disclosed to
Department contractors in performance of their contracts, and their
officers and employees who have a need for the record in the
performance of their duties subject to the same limitations applicable
to Department officers and employees under the Privacy Act.
9. A record from this system of records may be disclosed to a
member of Congress submitting a request involving the individual when
the individual has requested assistance from the member with respect to
the subject matter of the record, and the member of Congress provides a
copy of the individual's request or an other written statement clearly
delineating the scope of the individual's request for assistance.
10. A record from this system of records which contains medical
and/or psychological information may be disclosed to the physician or
mental health professional of any individual submitting a request for
access to the record under the Privacy Act of 1974 and the Department's
Privacy Act regulations if, in its sole judgment and good faith, the
Department believes that disclosure of the medical and/or psychological
information directly to the individual who is the subject of the record
could have an adverse effect upon that individual, in accordance with
the provisions of 5 U.S.C. 552a(f)(3) and applicable Department
regulations.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper, micrographic, and/or electronic media.
RETRIEVABILITY:
By name of individual involved, case number, report title or
subject matter.
SAFEGUARDS:
Allegation-Based Inspections Files are maintained within locked
containers or areas. Classified information is maintained in locked
General Services Administration approved class 6 security containers.
Data maintained on personal computers can be accessed only by
authorized staff using established procedures.
RETENTION AND DISPOSAL:
Records retention and disposal authorities are contained in DOE
Order 1324.2. ``Records Disposition.'' Records within DOE are destroyed
by shredding, burning, or burial in a sanitary landfill, as
appropriate. Automated files are handled and maintained according to
approved security processes.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Inspector General for Inspections, U.S. Department of
Energy, Room 5B-250, 1000 Independence Avenue, SW, Washington, DC
20585.
NOTIFICATION PROCEDURE:
The Department of Energy has exempted the system from this
requirement. See the Exemption section of this notice.
RECORD ACCESS PROCEDURES:
Same as Notification Procedures above.
CONTESTING RECORD PROCEDURES:
Same as Notification Procedures above.
RECORD SOURCE CATEGORIES:
Subject individuals; individuals and organizations that have
pertinent knowledge about a subject individual or corporate entity;
those authorized by an individual to furnish information; confidential
informants; and Federal Bureau of Investigation (FBI) and other
Federal, state, and local entities.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Under 5 U.S.C. 552a(k)(1) and (2) of the Privacy Act, this system
is exempt from the following subsections:
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) and (H)
5 U.S.C. 552a(f)
Exemption (k)(1) provides that the head of an agency may exempt an
agency system of records from certain provisions of the Privacy Act if
the system of records is subject to section 552(b)(1) of the Freedom of
Information Act, 5 U.S.C. 552. That section of the Freedom of
Information Act protects from disclosure properly classified national
security information.
The proposed system of records will exempt properly classified
national security information in the OIG's Allegation-Based Inspections
Files. The detailed reasons for exemptions under 5 U.S.C. 552a(k)(1)
follow:
(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 Department of
Energy has programs involving classified material which may be the
subject of Office of Inspections review. The application of this
accounting provision to reviews involving properly classified material
could reveal classified material. If this information about classified
material were disclosed, national security might be compromised.
An example of an issue involving classified material which can
affect national security would be a review of the Department's
maintenance or transportation of special nuclear material. Such
information could be utilized by terrorist groups. Another example
would be Departmental work with intelligence information obtained from
other Federal agencies.
(2) 5 U.S.C. 552a(d), (e)(4) (G) and (H), and (f) relate to the
following: 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 or amendment of records; and agency
procedures relating to access to and amendment of records and the
content of information contained in such records. If these provisions
were applied to classified material in the Allegation-Based Inspections
Files, this could (1) interfere with inspections or inquiries
undertaken in connection with national security; (2) disclose the
identity of sources kept secret to protect national security; (3)
reveal classified information kept secret to protect national security
supplied by these sources; or (4) generally violate the secrecy of the
classification.
For example, the Office of Inspections conducts counterintelligence
administrative inquiries and inspections. These reviews are to uncover
clandestine relationships, contacts with foreign intelligence services,
and other hostile activities. Such actions could be directed against
Departmental facilities, property, personnel, programs, and contractors
and contractor employees. These hostile activities may be conducted by
foreign powers, foreign organizations or their agents. In conducting
these reviews, the Office of Inspections collects classified
information that if disclosed could compromise Federal
counterintelligence activities.
The Office of Inspections may also compile information pertaining
to foreign energy matters. Disclosure of this information could
identify sensitive sources and methods used by the national
intelligence community. The Office of Inspections may compile
[[Page 4411]]
information regarding classified technology being developed by the
Department or other agencies. Disclosure of this information could
identify sensitive Departmental projects or operations that could be
targets for foreign intelligence service collection operations.
(3) 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. The OIG does not create the material it collects and
has no control over the content of that material.
There are additional reasons why application of this provision
could impair inspections and interfere with the statutory
responsibilities of the OIG. It is not always possible to detect the
relevance or necessity of specific information in the early stages of
an inspection or inquiry. This applies when an inspection or inquiry
uses properly classified information. Relevance and necessity are
questions of judgment and timing, and it is only after the information
is evaluated that the relevancy and necessity of such information can
be established. Furthermore, information outside the scope of the OIG's
jurisdiction may be helpful in establishing patterns of activities or
problems or in developing information that should be referred to other
entities. Such information cannot always readily be segregated.
The detailed reasons for the exemptions under 5 U.S.C. 552a(k)(2)
follow:
(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
records and the name and address of the recipient. To apply this
provision would alert those who may be the subjects of an inspection or
inquiry pertaining to an allegation or complaint to the existence of
the inspection or inquiry or that they are the subjects of such an
inspection or inquiry. Release of this information could result in the
altering or destruction of documentary evidence, improper influencing
of witnesses, and other activities that could impede or compromise the
inspection or inquiry.
(2) 5 U.S.C. 552a (d), (e)(4) (G) and (H), and (f) relate to the
following: 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 or amendment of records; and agency
procedures relating to access to and amendment of records and the
content 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 inspection file pertaining to a complaint or allegation about the
individual or to grant access to this type of inspection file could (1)
interfere with inspections proceedings predicated on a complaint or
allegation, (2) constitute an unwarranted invasion of the personal
privacy of others, (3) disclose the identity of confidential sources
and reveal confidential information supplied by those sources, or (4)
disclose inspection techniques and procedures.
In addition, this system is exempt from paragraph (d)(2) of this
section, because to require the Office of the Inspector General, to
amend information thought to be incorrect, irrelevant or untimely,
because of the nature of the information collected and the essential
length of time it is maintained, would create an impossible
administrative and investigative burden by forcing the agency to
continuously retrograde its investigations attempting to resolve
questions of accuracy.
(3) 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 because:
a. It is not always possible to detect the relevance or necessity
of specific information in the early stages of an inspection involving
a complaint or allegation.
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 or the inspection is closed that the relevancy and necessity
of such information can be established.
c. In any inspection involving a complaint or allegation, the
Inspector General may obtain information concerning the violation of
laws other than those within the scope of his jurisdiction. In the
interest of effective law enforcement, the Inspector General should be
able to retain this information as it may aid in establishing patterns
of program violations or criminal activity, and provide leads for those
law enforcement agencies charged with enforcing other segments of
criminal or civil law.
d. In conducting an inspection or inquiry involving a complaint or
allegation, information obtained may relate to the main purpose of the
inspection or inquiry as well as to matters under the jurisdiction of
another agency. Such information is not readily segregable.
[FR Doc. 97-2177 Filed 1-28-97; 8:45 am]
BILLING CODE 6450-01-P
