Freedom of Information Act (FOIA)

NARA Privacy Act Systems: NARA 23

SYSTEM NAME: Office of Inspector General Investigative Case Files.

SECURITY CLASSIFICATION: Some of the material contained in this system of records has been classified in the interests of national security pursuant to Executive Orders 12958, as amended, and 13142.

SYSTEM LOCATION: Investigative case files are located in the Office of Inspector General, and are held for long-term storage at Federal Records Centers.

CATEGORIES OF INDIVIDUALS IN THE SYSTEM: Individuals covered by this system of records may include: People who have been the source of a complaint or an allegation that has been brought to the OIG, witnesses having information or evidence concerning an investigation, and suspects in criminal, administrative, civil, or other actions. Current and former NARA employees, NARA contract employees, members of NARA's Federal advisory committees, contractors, and members of the public are covered under this system of records when they become subjects of, or witnesses to, or are otherwise involved in authorized investigations.

CATEGORIES OF RECORDS IN THE SYSTEM: Investigative case files may include: Statements of alleged administrative, ethical, or criminal wrongdoing; reports; related correspondence; exhibits; copies of forms and decisions; summaries of hearings and meetings; notes; attachments; and other working papers. These records may contain some or all of the following information about an individual: name; address; correspondence symbol; telephone number; birth date; birthplace; citizenship; educational background; employment history; medical history; identifying numbers such as social security and driver's license numbers; insurance information; and other information.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. App. 3.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: Pursuant to the Inspector General Act of 1978, 95, and Inspector General Reform Act of 2008, Public Law 110-409, (codified as amended at 5 U.S.C. App. 3), NARA maintains investigative case files on individuals to: Examine allegations and/or complaints of fraud, waste, abuse, and irregularities and violations of laws and regulations; make determinations resulting from these authorized investigations; and facilitate the preparation of statistical and other reports by the Office of Inspector General (OIG). As described in Appendix A, the routine use statements A, B, C, D, E, G, and H also apply to this system of records.

In addition to the disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act of 1974 and the specified routine uses described in Appendix A, information in this system may be disclosed pursuant to 5 U.S.C. 552a(b)(3) according to following the routine uses:

1. To qualified individuals or organizations, including, but not limited to, the Council of the Inspector General on Integrity and Efficiency, authorized Department of Justice officials, and the Federal Bureau of Investigation, performing peer reviews, qualitative assessment reviews, other studies of internal safeguards and management procedures employed in the operation of the OIG, or investigations of actions taken by the OIG.

2. To a court, magistrate or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witness in the course of civil discovery, litigation, or settlement negotiations, in connection with criminal law proceedings, or in response to a subpoena where arguably relevant to a proceeding.

3. To the Department of Justice for the purpose of litigating an action or seeking legal advice, or for the purpose of obtaining its advice on Freedom of Information Act matters.

4. To third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation.

5. To a congressional office in response to an inquiry made at the request of the individual to whom the record pertains; or in accordance with the OIG's duties described in the Inspector General Act of 1978, as amended.

6. To an individual or individuals who are in danger in situations involving imminent danger of death or physical injury.

7. To independent auditors or other private firms or individuals with which the OIG has contracted to carry out an independent audit, or to provide support for audits, reviews, investigations or other inquiries. These contractors will be required to maintain Privacy Act safeguards with respect to such records.

8. To inform complainants, victims, and witnesses of the results of an investigation or inquiry.

9. To a Federal agency responsible for considering debarment or suspension action if the record would be relevant to such action.

10. To the Office of Management and Budget for the purpose of obtaining its advice on Privacy Act matters.

11. To the Office of Government Ethics to comply with agency reporting requirements established by the Office of Government Ethics in 5 CFR part 2638, subpart F.

12. To the White House, Office of Management and Budget, and other organizations in the Executive Office of the President regarding matters inquired of.

13. To a contractor, subcontractor, or grantee firm or institution, to the extent that the disclosure is in NARA's interest and is relevant and necessary in order that the contractor, subcontractor, or grantee is able to take administrative or corrective action.

14. To the news media and general public, unless the Inspector General determines disclosure to constitute an unwarranted invasion of personal privacy, if:

a. The matter under investigation has become public knowledge;

b. The Inspector General determines that such disclosure is necessary to preserve confidence in the integrity of the OIG investigative process or demonstrate the accountability of NARA officers, employees, or other individuals covered by this system; or

c. A legitimate public interest exists (e.g., to provide information on events in the criminal process, to assist in the location of fugitives, or where necessary for protection from imminent threat of life or property).

15. To individuals performing functions for the OIG while not technically having the status of agency employees, including, but not limited to, student volunteers or individuals working under a personal services contract, if they need access to the records in order to perform their assigned agency functions.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE: Paper records and networked electronic media system with removable media.

RETRIEVABILITY: Information in investigative case files may be retrieved by the primary investigator's name, case title (which may or may not include the subject's or other individual's names), or case file number.

SAFEGUARDS: During business hours, paper records are maintained in areas accessible only to authorized NARA personnel. Electronic records are accessible via password-protected workstations located in attended offices or through a secure remote access network. After business hours, buildings have security guards and/or secured doors, and all entrances are monitored by electronic surveillance equipment.

RETENTION AND DISPOSAL: Nearly all investigative case files are temporary records and are destroyed in accordance with the disposition instructions in the NARA records schedule contained in FILES 203, the NARA Files Maintenance and Records Disposition Manual. However, the retention and disposal of significant investigative case files, such as those that result in national media attention, congressional investigation, and/or substantive changes in agency policy or procedure, are determined on a case-by-case basis. Individuals may request a copy of the disposition instructions from the NARA Privacy Act Officer.

SYSTEM MANAGER(S) AND ADDRESS: The system manager is the Inspector General. The business address for this system manager is listed in Appendix B.

NOTIFICATION PROCEDURE: People interested in inquiring about their records should notify the NARA Privacy Act Officer at the address listed in Appendix B.

RECORD ACCESS PROCEDURES: People who wish to access their records should submit a request in writing to the NARA Privacy Act Officer at the address listed in Appendix B.

CONTESTING RECORD PROCEDURES: NARA rules for contesting the contents of a person's records and appealing initial determinations are found in 36 CFR part 1202.

RECORD SOURCE CATEGORIES: Information in investigative case files may be obtained from any source, such as current and former NARA employees, NARA contract employees, members of NARA's Federal advisory committees, researchers, law enforcement agencies, other Government agencies, informants, educational institutions, the public, and from individuals' employers, references, co-workers, and neighbors.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: In accordance with 5 U.S.C. 552a(j)(2), this system of records, to the extent it pertains to the enforcement of criminal laws, is exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, except subsections (b), (c)(1) and (c)(2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). This exemption applies to those records and information contained in the system of records pertaining to the enforcement of criminal laws.

In accordance with 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5), this system of records is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G) and (H); and (f) of the Privacy Act of 1974 if the system of records is:

(1) Subject to the provisions of section 552(b)(1) of this title;

(2) Investigatory material compiled for law enforcement purposes; however, if any individual is denied any right, privilege, or benefit to which the individual would otherwise be entitled by Federal law or otherwise eligible as a result of the maintenance of such material, the material will be provided to that individual, except to the extent that the disclosure of the material would reveal the identity of a source who furnished information to the government under an express promise that the identity of the source would be held in confidence, or, prior to the effective date of the Act, under an implied promise that the identity of the source would be held in confidence; or

(3) Investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, military service, Federal contracts, or access to classified material, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to the effective date of the Act, under an implied promise that the identity of the source would be held in confidence.

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