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Privacy Impact Assessment

OIG - FY13

Overview

The eOIG, which was developed by the OIG's Office of Management and Policy (OMAP), is a database that serves the needs of the Office of Labor Racketeering and Fraud Investigations (OLRFI) and the Office of Legal Services (OLS). The system documents the lifecycle of allegations, complaints, investigations, inspections and FOIA requests to their final outcome. The system captures investigative and workflow data used to documents cases which fall within the purview of the DOL OIG. The OLRFI is comprised of databases that support Investigations and Inspection. The OLS consists of databases that support Subpoena, Complaints and Freedom of Information (FOIA).

Characterization of the Information

The information contained in this eOIG system is on a "need-to-know basis," which ensures only those OIG personnel having a business need to the data are given access, and is covered by the Privacy Act System of Records Notices, DOL/OIG 1 & DOL/OIG 3. Information contained in the Investigative and Inspection modules is sensitive and can fall under Rule 6e of the Federal Rules of Criminal Procedures (grand jury information); may contain information provided by a criminal informant or confidential source; and contains PII on individuals involved in the investigations who can be DOL employees, contractors, other Federal agency personnel, and members of the public.

What are the sources of the PII in the information system?

The sources of the PII are information provided by the subject or obtained by using other law enforcement databases (i.e. National Crime Information Center (NCIC)); public records, DOL program records, etc.

What is the PII being collected, used, disseminated, or maintained?

The PII on an individual includes the individual's SSN; date and place of birth; addresses (personal and business); telephone numbers (personal and business); other reference numbers (i.e. workmen's compensation claim number, veterans number, FBI/other law enforcement number; fingerprints or other markings, i.e. tattoos and other markings such as tattoos, etc.)

How is the PII collected?

The PII is collected by requesting the information from the subject or from public records checks, other law enforcement databases (i.e. NCIC, State/local law enforcement databases, FBI, etc.,) and DOL program records.

How will the information be checked for accuracy?

The information is verified through many sources, including the subject, DMV records, SSN, law enforcement databases, and internal case file reviews etc.

What specific legal authorities, arrangements, and/or agreements defined the collection of information?

Inspector General Act of 1978, (Pub. L. 95-452, 1, Oct. 12, 1978, 92 Stat. 1101), as amended by Section 812 of the Homeland Security Act of 2002 (Pub. L. No. 107-296), provides all Inspector General criminal investigators with statutory law enforcement powers.

Privacy Impact Analysis

eOIG collects specific PII on individuals, and the risks are minimized in various ways. Specific information in eOIG can be accessed only through passwords and OIG employees have direct access only to cases that they have been assigned. Case information is limited to each office and top management who have a need-to-know.

Uses of the PII

The following questions are intended to clearly delineate the use of information and the accuracy of the data being used.

Describe all the uses of the PII

Because of the nature of criminal databases containing duplicate names, PII is used to further an investigation by verifying the identity of a subject through SSN, date/place of birth, address (personal and business), telephone numbers (personal and business), other reference numbers, fingerprints and other markings such as tattoos to verify the identity of the subject.

What types of tools are used to analyze data and what type of data may be produced?

Queries and reports are used to analyze data.

Will the system derive new data, or create previously unavailable data, about an individual through aggregation of the collected information?

The system will not derive new data; however, it will take the data in the system and compile it in a format that provides the relevant analysis needed.

If the system uses commercial or publicly available data, please explain why and how it is used.

Commercial and publicly available data are used to advance criminal investigations. Both types of data are used to verify the identity of a subject of an investigation or to provide relevant information on a company or a business owner to support audit findings or to further the investigative process.

Privacy Impact Analysis

Access within the OIG is strictly limited to authorized staff members, and information is safeguarded by requiring the use of access codes to access the computer systems that maintain the data. The OIG regularly conducts risk analyses to identify and mitigate risks associated with all aspects of information security including the unauthorized disclosure of PII. OIG employees are given instructions on the sensitivity of the eOIG files and the restrictions on disclosure. OIG employees with access to OIG databases maintaining PII must sign a sanction document annually, acknowledging their accountability for making unauthorized access to or disclosure of such information. Access within the DOL OIG is strictly limited to employees on a need-to-know basis.

Retention

The following questions are intended to outline how long information will be retained after the initial collection.

How long is information retained in the system?

Information is retained in accordance with record keeping schedules for Program Fraud (10 years), Labor Racketeering Files (20 years), from the date when the case is officially closed. Significant cases of historical value are retained permanently. With regard to the tracking system, information is deleted as necessary in accordance with the official record schedule. The outcome of the allegation or complaint and the subject (program fraud or labor racketeering) determines the retention, i.e. the record might be converted into a different file for future investigative use or a full blown investigation.

Privacy Impact Analysis

The risk is minimal.

How is it determined that PII is no longer required?

PII is collected only as necessary for the investigation, and the PII is held as part of the case. When case is disposed, all information relative to the case is disposed.

What efforts are being made to eliminate or reduce PII that is collected, stored, or maintained by the system if it is no longer required?

PII fields are evaluated when the SORN is reviewed to ensure information that is collected is compatible with its use.

Privacy Impact Analysis

Risks are mitigated by SORN reviews, compliance with the records schedules and limited access to restricted electronic files. All OIG employees are given instructions on the sensitivity of the eOIG files and the restrictions on disclosure. Access within the DOL/OIG is strictly limited to employees on a need-to-know basis.

Internal Sharing and Disclosure

The following questions are intended to define the scope of sharing within the Department of Labor.

With which internal organization(s) is the PII shared, what information is shared, and for what purpose?

PII is shared with internal DOL agencies usually in paper format or encrypted electronic format based on a need-to-know basis for making administrative decisions based on investigations, which is covered within the SORN..

How is the PII transmitted or disclosed?

The PII is either transmitted over encrypted links or it is transmitted/hand carried to the DOL agency in a double-sealed envelope with a warning statement that this information is to be used for official business only and not to be disseminated without the consent of the OIG.

Privacy Impact Analysis

All OIG employees are given instructions on the sensitivity of the eOIG files and the restrictions on disclosure. Access within the DOL/OIG is strictly limited to employees on a need-to-know basis. The impact is minimal because of secure measures in place for safeguarding files and system access is protected.

External Sharing and Disclosure

The following questions are intended to define the content, scope, and authority for information sharing external to DOL which includes federal, state and local government, and the private sector.

With which external organization(s) is the PII shared, what information is shared, and for what purpose?

Information is shared with other law enforcement agencies that are conducting the investigation jointly with the OIG and also shared with the United States Attorneys Office or the State/local prosecutor to further the investigative process towards an indictment/information. It is also shared with DOJ based on case disposition and with the DOJ Organized Crime Drug Enforcement Fusion Center.

Is the sharing of PII outside the Department compatible with the original collection? If so, is it covered by an appropriate routine use in a SORN? If so, please describe. If not, please describe under what legal mechanism the program or system is allowed to share the PII outside of DOL.

Yes, sharing of the PII outside the Department is compatible with the original collection, and this sharing of information is covered by SORNs DOL/OIG-1 and DOL/OIG-3.

How is the information shared outside the Department and what security measures safeguard its transmission?

The information is shared with other law enforcement agencies who are working the case jointly with the OIG, and with the Department of Justice, United States Attorneys Offices or State/local prosecutors for prosecutorial determination.

The information is provided to the agencies with a warning statement that disclosure cannot be made without the consent of the OIG. The information is either transmitted in hard copy format or provided to the agency on an encrypted disk.

Privacy Impact Analysis

The privacy risks are minimal. The external agencies are law enforcement agencies that are covered by similar Privacy Act Systems of Records and are being provided the information on a need-to-know basis to assist in furthering the investigative process.

Notice

The following questions are directed at notice to the individual of the scope of PII collected, the right to consent to uses of said information, and the right to decline to provide information.

Was notice provided to the individual prior to collection of PII?

Notice to individuals is provided in the SORN published in the Federal Register which describes what information is collected, its purpose, how it will be used, where it will be stored, how it is secured, and where an individual may place a request.

Do individuals have the opportunity and/or right to decline to provide information?

Yes. All individuals being interviewed are given a warning against self-incrimination and the right to have an attorney or union representative present.

Do individuals have the right to consent to particular uses of the information? If so, how does the individual exercise the right?

The SORN addresses uses of information collected.

Privacy Impact Analysis

PII information contained in eOIG is used to support OIG investigations and for personnel matters. This information is integral to the OIG purpose and function as provided in the SORN. This information is used for official OIG operations and is not assessable to non-OIG personnel or to unauthorized OIG personnel without a valid work requirement.

Access, Redress and Correction

The following questions are directed at an individual's ability to ensure the accuracy of the information collected about them.

What are the procedures that allow individuals to gain access to their information?

The users access the email properties to verify the information.
Individuals can only request access to their records under the Freedom of Information Act (FOIA).

What are the procedures for correcting inaccurate or erroneous information?

To correct any erroneous information, the user is to notify the Branch of Information Technology (BIT).

Individuals desiring to contest or amend information maintained in the system should direct their request to the OIG Disclosure Officer and should state clearly what information is being contested, the reasons for contesting it, and the proposed amendment to the information sought.

How are individuals notified of the procedures for correcting their information?

The user is notified via email or phone.

Notice is provided in the corresponding SORNs, DOL/OIG-1 and OIG-3: Federal Register Volume 67, No. 67/Monday April 8, 2002

If no formal redress is provided, what alternatives are available to the individual?

Redress is provided as stated above

Privacy Impact Analysis

Redress measures are provided to individuals. When an individual makes a FOIA/PA request and if they identify inaccurate information and request that it be corrected, the OIG Records Officer will respond to the correction request.

Technical Access and Security

The following questions are intended to describe technical safeguards and security measures.

What procedures are in place to determine which users may access the system and are they documented?

Within the eOIG System, the case manager is responsible for allowing individuals to access case information. These individuals are the lead agent, assisting agents/analysts, as well as regional managers and HQ personnel. Permissions are documented. OIG personnel that access the eOIG use their ID and password to access records that they have been approved to view and/or update.

Will Department contractors have access to the system?

Yes, the Database Administrator has access.

Describe what privacy training is provided to users, either generally or specifically relevant to the program or system?

All agents must complete the Basic Criminal Investigator Training Program at FLETC which includes Privacy Act training and the confidentiality of investigative records. The same applies to OLRFI analysts who complete the Basic Intelligence Analyst Training and the Basic Non-Criminal Investigator Training at FLETC.

In addition, during regional training conferences, Privacy Act and confidentiality of records are covered. OIG and OLRFI policy also provides employees guidance regarding the Privacy Act and confidentiality of records.

What auditing measures and technical safeguards are in place to prevent misuse of data?

The data will be in password-protected files accessible only to OIG staff. Given the fact that employees can only access their own cases and managers can only access cases that they manage in their region, no auditing or specific technical measures are in place other than the access controls previously described.

Privacy Impact Analysis

Security controls such as limited access, online audit trails, and case file reviews mitigate privacy risks. DOL/OIG employees having access to OIG databases maintaining personal information must sign a sanction document annually, acknowledging their accountability for making unauthorized access to or disclosure of such information.

Technology

The following questions are directed at critically analyzing the selection process for any technologies utilized by the system, including system hardware, RFID, biometrics, and other technology.

What stage of development is the system in, and what project development life cycle was used?

Operations and Maintenance Phase

Does the project employ technology which may raise privacy concerns? If so please discuss their implementation?

No.

Determination

As a result of performing the PIA, what choices has the agency made regarding the information technology system and collection of information?

The Office of Inspector General (OIG) has completed the PIA for the eOIG which is currently in operation. The OIG has determined that the safeguards and controls for this moderate system adequately protect the information.

The OIG has determined that it is collecting the minimum necessary information for the proper performance of a documented agency function.