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Privacy Act System of Records: Inspector General's Operation and Reporting System Investigative Files, EPA-40

[excerpted from: Federal Register: October 1, 2001 (Volume 66, Number 190)]

System Name: Inspector General's Operation and Reporting (IGOR) System Investigative Files.

System Location: Enterprise Technology Services Division, Environmental Protection Agency, Research Triangle Park, NC 27711.

Categories of Individuals Covered by the System: Subjects, complainants, and witnesses in OIG investigations; OIG employees who perform investigations; and individuals who receive the results of investigations.

Categories of Records in the System: Investigative file information, including the names of the subjects of OIG investigations; the cities, States, and EPA regions in which the subjects were located; the names of complainants in OIG investigations; and the names of important witnesses interviewed during OIG investigations.

Authority for Maintenance of the System (includes any revisions or amendments): Inspector General Act of 1978, 5 U.S.C. app. 3.

Purpose(s): To conduct and supervise audits and investigations relating to programs and operations of the EPA.

Routine Uses of Records Maintained in the System, Including Categories of Users and the Purposes of Such Uses: General routine uses A, B, C, D E, F, G, H, I, and K apply to this system. Records may also be disclosed:

  1. To any source, private or public, to the extent necessary to secure from such source information relevant to a legitimate EPA investigation, audit, decision, or other inquiry.
  2. To a Federal agency responsible for considering suspension or debarment action where such record would be relevant to such action.
  3. To the Department of Justice to obtain its advice on Freedom of Information Act matters.
  4. In response to a lawful subpoena issued by a Federal agency.
  5. To the Department of the Treasury and the Department of Justice when EPA is seeking an ex parte court order to obtain taxpayer information from the Internal Revenue Service.
  6. To a Federal, State, local, foreign, or international agency, or other public authority, for use in a computer matching program, as that term is defined in 5 U.S.C. 552a(a)(8).
  7. To a public or professional licensing organization if the record indicates, either by itself or in combination with other information, a violation or potential violation of professional standards, or reflects on the moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.
  8. To any person when disclosure of the record is needed to enable the recipient of the record to take action to recover money or property of the EPA, when such recovery will accrue to the benefit of the United States, or when disclosure of the record is needed to enable the recipient of the record to take appropriate disciplinary action to maintain the integrity of EPA programs or operations.
  9. To the Office of Government Ethics to comply with agency reporting requirements in 5 CFR part 2638, subpart F.
  10. To officers and employees of other Federal agencies for the purpose of conducting quality assessments of the OIG.
  11. To the news media and public when a public interest justifies the disclosure of information on public events such as indictments or similar activities.
  12. To Members of Congress and the public in the OIG's Semiannual Report to the Congress when the Inspector General determines that the matter reported is significant.
  13. To the public when the matter under audit or investigation has become public knowledge, or when the Inspector General determines that such disclosure is necessary to preserve confidence in the integrity of the OIG audit or investigative process or is necessary to demonstrate the accountability of EPA officers, employees, or individuals covered by this system, unless it is determined that disclosure of the specific information in the context of a particular case could reasonably be expected to constitute an unwarranted invasion of personal privacy.

Policies and Practices For Storing, Retrieving, Accessing, Retaining, and Disposing of Records in the System:

  • Storage: In a computer database.

  • Retrievability: By names of subjects, complainants, and important witnesses interviewed during investigations; investigative case file numbers; and the names and social security numbers of OIG employees.

  • Safeguards: Computer records are maintained in a secure, password protected computer system. All records are maintained in secure, access-controlled areas or buildings.

  • Retention and Disposal: Records are retained and disposed of in accordance with EPA Records Control Schedules, Inspector General Records, approved by the National Archives and Records Administration.

System Manager(s) and Address: Assistant Inspector General for Management, Office of Inspector General, Environmental Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.

Notification Procedures: Any individual who wants to know whether this system of records contains a record about him or her, who wants access to his or her record, or who wants to contest the contents of a record, should make a written request to the System Manager.

Record Access Procedure: To the extent permitted under the Privacy Act of 1974, 5 U.S.C. 552a(j), (k)(2) & (k)(5) this system has been exempted from the provisions of the Privacy Act of 1974 that permit access and correction. However, EPA may, in its discretion, fully grant individual requests for access and correction if it determines that the exercise of these rights will not interfere with an interest that the exemption is intended to protect. The exemption from access is limited in some instances by law to information that would reveal the identity of a confidential source. Requesters will be required to provide adequate identification, such as a driver's license, employee identification card, or other identifying document. Additional identification procedures may be required in some instances.

Contesting Records Procedure: Requests for correction or amendment must identify the record to be changed and the corrective action sought. Complete EPA Privacy Act procedures are set out in 40 CFR Part 16.

Record Source Categories: Subjects of an investigation; individuals with whom the subjects are or were associated (e.g., colleagues, business associates, acquaintances, or relatives); Federal, State, local, international, and foreign investigative or law enforcement agencies; other government agencies; confidential sources; complainants; witnesses; concerned citizens; and public source materials.

Systems Exempted From Certain Provisions of the Act: Under 5 U.S.C. 552a(j)(2), this system is exempt from the following provisions of the Privacy Act of 1974, as amended: 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), and (e)(8); (f); and (g). Under 5 U.S.C. 552a(k)(2) and (k)(5), this system is exempt from the following provisions of the Privacy Act of 1974 as amended, subject to the limitations set forth in this subsection; 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), and (f)(2) through (5).

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