[Federal Register Volume 82, Number 213 (Monday, November 6, 2017)]
[Rules and Regulations]
[Pages 51333-51335]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-24042]



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Rules and Regulations
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains regulatory documents 
having general applicability and legal effect, most of which are keyed 
to and codified in the Code of Federal Regulations, which is published 
under 50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by the Superintendent of Documents. 

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Federal Register / Vol. 82, No. 213 / Monday, November 6, 2017 / 
Rules and Regulations

[[Page 51333]]



COUNCIL OF THE INSPECTORS GENERAL ON INTEGRITY AND EFFICIENCY

5 CFR Part 9801

RIN 3219-AA00


Privacy Act Regulations

AGENCY: Council of the Inspectors General on Integrity and Efficiency.

ACTION: Interim final rule.

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SUMMARY: The Council of the Inspectors General on Integrity and 
Efficiency (CIGIE) is updating its regulations addressing procedures 
relating to access, maintenance, disclosure, and amendment of records 
that are in a CIGIE system of records under the Privacy Act of 1974 
(Privacy Act) to implement changes in accordance with the Inspector 
General Empowerment Act of 2016 and to make minor typographical 
corrections.

DATES: This interim final rule is effective November 6, 2017. Written 
comments may be submitted by December 6, 2017.

ADDRESSES: You may submit comments by any of the following methods:
    <bullet> Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
    <bullet> Email: <a href="/cdn-cgi/l/email-protection#b6d5d9dbdbd3d8c2c5f6d5dfd1dfd398d1d9c0"><span class="__cf_email__" data-cfemail="a1c2ceccccc4cfd5d2e1c2c8c6c8c48fc6ced7">[email protected]</span></a>.
    <bullet> Fax: (202) 254-0162.
    <bullet> Mail: Atticus J. Reaser, General Counsel, Council of the 
Inspectors General on Integrity and Efficiency, 1717 H Street NW., 
Suite 825, Washington, DC 20006.
    <bullet> Hand Delivery/Courier: Council of the Inspectors General 
on Integrity and Efficiency, 1717 H Street NW., Suite 825, Washington, 
DC 20006.

FOR FURTHER INFORMATION CONTACT: Atticus J. Reaser, General Counsel, 
CIGIE, (202) 292-2600.

SUPPLEMENTARY INFORMATION: 

Background Information

    CIGIE published its final rule to provide the procedures and 
guidelines under which CIGIE implements the Privacy Act in the Federal 
Register, 81 FR 86563, December 1, 2016. The final rule is reflected in 
part 9801 of the Code of Federal Regulations. On December 16, 2016, the 
Inspector General Empowerment Act of 2016, Public Law 114-317, 130 
Stat. 1595 (IGEA) was signed into law by the President thereby amending 
the Inspector General Act of 1978, as amended, 5 U.S.C. app., (IG Act) 
and expanding CIGIE's records maintenance responsibilities to include 
maintenance of the records of CIGIE's Integrity Committee (IC) by 
CIGIE's Chairperson. IC records were previously maintained pursuant to 
the IG Act by the Federal Bureau of Investigation.
    In order to conform to the IGEA and meet its obligations 
thereunder, CIGIE is amending its regulations implementing the Privacy 
Act. Specifically, CIGIE is amending 5 CFR 9801.102 to accurately 
reflect the changed custodianship of IC records and adding a new 
subpart D to address the exemptions necessary to maintain the Privacy 
Act system of records associated with IC records. CIGIE is also making 
three minor typographical corrections.

Administrative Procedure Act

    Pursuant to 5 U.S.C. 553(d)(3), CIGIE has found that good cause 
exists for waiving the general notice of proposed rulemaking and public 
comment procedures as to these amendments and for issuing this interim 
final rule without a delayed effective date. The notice and comment 
procedures are being waived because these amendments are being made in 
accordance with the mandates of the IGEA, which took effect without 
delay on December 16, 2016. Additionally, these amendments specify 
exemptions regarding the public's access to information about 
themselves maintained by CIGIE. The absence of well-defined exemptions 
to the Privacy Act regulations could impair confidentiality and privacy 
rights of those who submit sensitive information to CIGIE and the 
ability of CIGIE to use that information to carry out its statutory 
mission.

Executive Orders 12866 and 13563

    In promulgating this amended rule, CIGIE has adhered to the 
regulatory philosophy and the applicable principles of regulation set 
forth in section 1 of Executive Order 12866, Regulatory Planning and 
Review. The Office of Management and Budget (OMB) has determined that 
this rule is not ``significant'' under Executive Order 12866.

Regulatory Flexibility Act

    These amended regulations will not have a significant economic 
impact on a substantial number of small entities. Therefore, a 
regulatory flexibility analysis under the Regulatory Flexibility Act, 
as amended, is not required.

Paperwork Reduction Act

    These amended regulations impose no additional reporting and 
recordkeeping requirements. Therefore, clearance by OMB is not 
required.

Federalism (Executive Order 13132)

    This amended rule does not have Federalism implications, as set 
forth in Executive Order 13132. It will not have substantial direct 
effects on the States, on the relationship between the national 
government and the States, or on the distribution of power and 
responsibilities among the various levels of government.

List of Subjects in 5 CFR Part 9801

    Information, Privacy, Privacy Act, Records.

    For the reasons set forth in the preamble, CIGIE amends part 9801 
to title 5 of the Code of Federal Regulations as follows:

PART 9801--PRIVACY ACT REGULATIONS

0
1. The authority citation for part 9801 continues to read as follows:

    Authority:  Section 11 of the Inspector General Act of 1978, as 
amended, 5 U.S.C. app.; 5 U.S.C. 301, 552a; 31 U.S.C. 9701.


0
2. Revise Sec.  9801.102 to read as follows:


Sec.  9801.102  CIGIE organization.

    (a) Centralized program. CIGIE has a centralized Privacy Act 
program, with one office receiving and coordinating the processing of 
all Privacy Act requests to CIGIE.
    (b) Acceptance of requests and appeals. CIGIE will accept initial 
requests or appeals regarding CIGIE records.

0
3. Amend Sec.  9801.105 by revising paragraphs (d) and (i) to read as 
follows:

[[Page 51334]]

Sec.  9801.105  Employee standards of conduct.

* * * * *
    (d) Maintain no system of records without public notice and notify 
appropriate CIGIE officials of the existence or development of any 
system of records that is not the subject of a current or planned 
public notice;
* * * * *
    (i) Maintain and use records with care to prevent the unauthorized 
or inadvertent disclosure of a record to anyone. No record contained in 
a CIGIE system of records shall be disclosed to another person, or to 
another agency outside CIGIE, except pursuant to a written request by, 
or with the prior written consent of, the individual to whom the record 
pertains, unless the disclosure is otherwise authorized by the Privacy 
Act; and
* * * * *

0
4. Amend Sec.  9801.301 by revising paragraph (b)(2) to read as 
follows:


Sec.  9801.301  Requests for amendment of record.

* * * * *
    (b) * * *
    (2) The exact portion of the record the requester seeks to have 
amended should be indicated clearly. If possible, proposed alternative 
language should be set forth, or, at a minimum, the reasons why the 
requester believes the record is not accurate, relevant, timely, or 
complete should be set forth with enough particularity to permit CIGIE 
to not only understand the requester's basis for the request, but also 
to make an appropriate amendment to the record.
* * * * *

0
5. Add subpart D to read as follows:

Subpart D--Exemptions


Sec.  9801.401  Exemptions.

    (a) General policy. Systems of records maintained by CIGIE are 
authorized to be exempted from certain provisions of the Privacy Act 
under the general and specific exemptions set forth in the Privacy Act. 
In utilizing these exemptions, CIGIE is exempting only those portions 
of systems that are necessary for the proper functioning of CIGIE and 
that are consistent with the Privacy Act. Where compliance would not 
appear to interfere with or adversely affect the law enforcement 
process, and/or where it may be appropriate to permit individuals to 
contest the accuracy of the information collected, e.g., public source 
materials, the applicable exemption may be waived, either partially or 
totally, by CIGIE, at the sole discretion of CIGIE, as appropriate.
    (b) Specific system of records exempted under (j)(2), (k)(1), and 
(k)(2). The system of records maintained in connection with CIGIE's 
Integrity Committee, the Integrity Committee Management System (CIGIE-
04), is subject to general exemption under 5 U.S.C. 552a(j)(2) and the 
specific exemptions under 5 U.S.C. 552a(k)(1) and (2). These exemptions 
apply only to the extent that information in this system is subject to 
exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1) and (k)(2). Where 
compliance would not appear to interfere with or adversely affect the 
law enforcement process, and/or where it may be appropriate to permit 
individuals to contest the accuracy of the information collected, e.g., 
public source materials, the applicable exemption may be waived, either 
partially or totally, by CIGIE, at the sole discretion of CIGIE, as 
appropriate.
    (1) Pursuant to the provisions of 5 U.S.C. 552a(j)(2), CIGIE-04 is 
exempt from the following provisions of the Privacy Act: 5 U.S.C. 
552a(c)(3) and (c)(4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G)-(H), 
(e)(5), and (e)(8); (f); and (g).
    (2) Pursuant to the provisions of 5 U.S.C. 552a(k)(1) and (2), 
CIGIE-04 is exempt from the following provisions of the Privacy Act: 5 
U.S.C. 552a(c)(3); (d); (e)(1) and (e)(4)(G)-(H); and (f).
    (3) Exemptions from the particular subsections are justified for 
the following reasons:
    (i) From subsection (c)(3) because release of disclosure accounting 
could alert the subjects of an investigation of an actual or potential 
criminal, civil, or regulatory violation to the existence of the 
investigation and the fact that they are subjects of the investigation, 
and reveal investigative interest by not only CIGIE, through the IC, 
but also by external agencies such as the Public Integrity Section of 
the Department of Justice. Because release of such information to the 
subjects of an investigation would provide them with significant 
information concerning the nature of the investigation, release could 
result in the destruction of documentary evidence, improper influencing 
of witnesses, and other activities that could impede or compromise the 
investigation. In addition, accounting for each disclosure could result 
in the release of properly classified information which would 
compromise the national defense or disrupt foreign policy.
    (ii) From subsection (c)(4) because this system is exempt from the 
access provisions of subsection (d) pursuant to subsections (j) and (k) 
of the Privacy Act.
    (iii) From the access and amendment provisions of subsection (d) 
because access to the records contained in this system of records could 
inform the subjects of an investigation of an actual or potential 
criminal, civil, or regulatory violation of the existence of that 
investigation and of the nature and scope of the information and 
evidence obtained as to their activities. Such awareness by the 
subjects could prevent the successful completion of an investigation 
and/or lead to the improper influencing of witnesses, the destruction 
of evidence, or fabricated testimony. In addition, granting access to 
such information could disclose security-sensitive or confidential 
business information or information that would constitute an 
unwarranted invasion of the personal privacy of third parties. Finally, 
access to the records could result in the release of classified 
information which would compromise the national defense or disrupt 
foreign policy. Amendment of the records would interfere with ongoing 
investigations and law enforcement activities and impose an impossible 
administrative burden by requiring investigations to be continuously 
reinvestigated.
    (iv) From subsection (e)(1) because the application of this 
provision could impair investigations and interfere with the law 
enforcement responsibilities of CIGIE through the IC for the following 
reasons:
    (A) It is not possible to detect relevance or necessity of specific 
information in the early stages of a civil, criminal, or other law 
enforcement investigation, case, or matter, including investigations in 
which use is made of classified information. Relevance and necessity 
are questions of judgment and timing, and it is only after the 
information is evaluated that the relevance and necessity of such 
information can be established.
    (B) During the course of any investigation, CIGIE, through the IC, 
may obtain information concerning actual or potential violations of 
laws other than those within the scope of its jurisdiction. In the 
interest of effective law enforcement, CIGIE should retain this 
information, as it may aid in establishing patterns of criminal 
activity and can provide valuable leads for Federal and other law 
enforcement agencies.
    (C) In interviewing individuals or obtaining other forms of 
evidence during an investigation, information may be supplied to an 
investigator that relates to matters incidental to the primary purpose 
of the investigation but which may relate also to matters under

[[Page 51335]]

the investigative jurisdiction of another agency. Such information 
cannot readily be segregated.
    (v) From subsection (e)(2) because, in some instances, the 
application of this provision would present a serious impediment to law 
enforcement for the following reasons:
    (A) The subjects of an investigation would be placed on notice as 
to the existence of an investigation and would therefore be able to 
avoid detection or apprehension, to improperly influence witnesses, to 
destroy evidence, or to fabricate testimony.
    (B) In certain circumstances the subjects of an investigation 
cannot be required to provide information to investigators, and 
information relating to their illegal acts, violations of rules of 
conduct, or any other misconduct must be obtained from other sources.
    (C) In any investigation it is necessary to obtain evidence from a 
variety of sources other than the subjects of the investigation.
    (vi) From subsection (e)(3) because the application of this 
provision would provide the subjects of an investigation with 
substantial information which could impede or compromise the 
investigation.
    (vii) From subsection (e)(4)(G)-(I) because this system of records 
is exempt from the access provisions of subsection (d).
    (viii) From subsection (e)(5) because the application of this 
provision may prevent the collection of any data not shown to be 
accurate, relevant, timely, and complete at the moment it is collected. 
In the collection of information for law enforcement purposes, it is 
impossible to determine in advance what information is accurate, 
relevant, timely, and complete. Material which may seem unrelated, 
irrelevant, or incomplete when collected may take on added meaning or 
significance as an investigation progresses. The restrictions of this 
provision could interfere with the preparation of a complete 
investigative report, and thereby impede effective law enforcement.
    (ix) From subsection (e)(8) because the application of this 
provision could prematurely reveal an ongoing criminal investigation to 
the subjects of an investigation and could reveal investigative 
techniques, procedures, or evidence.
    (x) From subsection (f) because CIGIE's rules are inapplicable to 
those portions of the system that are exempt and would place the burden 
on CIGIE of either confirming or denying the existence of a record 
pertaining to a requesting individual, which might in itself provide an 
answer to that individual relating to an ongoing investigation. The 
conduct of a successful investigation leading to the indictment of a 
criminal offender precludes the applicability of established agency 
rules relating to verification of record, disclosure of the record to 
that individual, and record amendment procedures for this record 
system.
    (xi) From subsection (g) to the extent that this system is exempt 
from the access and amendment provisions of subsection (d) pursuant to 
subsections (j)(2), (k)(1), and (k)(2) of the Privacy Act.

    Dated: October 23, 2017.
Michael E. Horowitz,
Chairperson of the Council of the Inspectors General on Integrity and 
Efficiency.
[FR Doc. 2017-24042 Filed 11-3-17; 8:45 am]
 BILLING CODE 6820-C9-P


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