Office of the Inspector General

CIG-16

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SYSTEM NAME:

Defense Case Activity Tracking System (D-CATS)  (March 16, 2016,  81 FR 14427)

SYSTEM LOCATION:

Office of the Deputy Inspector General for Administrative Investigations, Office of Inspector General Department of Defense (DoD), 4800 Mark Center Drive, Alexandria, VA 22350-1500.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

DoD employees, military personnel, members of the general public, and contractors who file hotline complaints; individuals alleged to have been involved in administrative or criminal misconduct including but not limited to fraud, waste, mismanagement, or whistleblower reprisal; individuals involved in matters investigated by the Office of Inspector General; and individuals identified as having been adversely affected by matters being investigated by the Office of Inspector General.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records resulting from the referral of, and inquiry into, hotline complaints, whistleblower reprisal investigations, improper mental health evaluations, and senior official investigations, including the allegations submitted to the DoD Inspector General, referral documents to DoD components, investigative reports, information received from witnesses, information gathered by investigators, records of action taken, disposition of the case, and supporting documentation. Data points include names, case numbers, home and work addresses, email addresses, duty positions, phone numbers (work, mobile).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Pub. L. 95-452 as amended, Inspector General Act of 1978; and DoD Directive 5106.01, Inspector General of the Department of Defense.

PURPOSE(S):

The OIG maintains this system of records in order to carry out its responsibilities pursuant to the Inspector General Act of 1978, as amended. The OIG is statutorily directed to conduct and supervise investigations relating to the programs and operations of the Department of Defense, to promote economy, efficiency, and effectiveness in the administration of such programs and operations, and to prevent and detect fraud, waste, and abuse in such programs and operations. Accordingly, the records in this system are used in the course of investigating individuals suspected of administrative or criminal misconduct.

This system is also used for case management, case tracking, information storage, to respond to requests for information, and to fulfill mandatory reporting requirements. It fulfills these purposes by enabling users to record complaints, allegations of wrongdoing, and requests for assistance; to document inquiries; to store investigative case records; to compile statistical information; to provide prompt, responsive and accurate information regarding the status of ongoing cases; to provide a record of complaint disposition; and to record actions taken and notifications of interested parties and agencies.

Complaints appearing to involve criminal wrongdoing are referred to the Defense Criminal Investigative Service or other criminal investigative units of DoD components.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act of 1974, as amended, the records contained therein may specifically be disclosed outside the DoD as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

To appropriate officials and employees of a federal agency or entity to which information may be relevant to a decision concerning the hiring, appointment, or retention of an individual; the issuance, renewal, suspension, or revocation of a security clearance; the execution of a security or suitability investigation; the letting of a contract; or the issuance or revocation of a grant or benefit.

To the news media and the public, unless it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

To complainants, to the extent necessary to provide such persons with information and explanations concerning the progress and/or results of the investigation or case arising from the matters of which they complained.

The DoD Blanket Routine Uses set forth at the beginning of the Office of the Inspector General compilation of systems of records notices may apply to this system. The complete list of DoD Blanket Routine Uses can be found online at: http://dpcld.defense.gov/Privacy/SORNsIndex/BlanketRoutineUses.aspx.

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


STORAGE:

Paper records in file folders and electronic storage media.

RETRIEVABILITY:

By complainant's name, subject's name, or case number.

SAFEGUARDS:

Full access is limited to Administrative Investigations staff. Read only access is provided to authorized DoD IG personnel consistent with their official duties. Paper and electronic records are stored in rooms protected by cipher lock, common access card RFID, and PIN. Necessary government and contractor IT staff also have full access to the electronic system, but not paper records. Regular back-ups of the electronic data are performed and stored at the Mark Center and at an off-site location, for the purpose of providing continuity of operations.

RETENTION AND DISPOSAL:

Hotline case files not referred for further review are destroyed after 2 years. Automated and paper records of Hotline cases referred for investigation, whistleblower reprisal cases and senior official cases are destroyed ten years after case closure.

SYSTEM MANAGER(S) AND ADDRESS:

Deputy Inspector General for Administrative Investigations, Office of Inspector General, Department of Defense, 4800 Mark Center Drive, Alexandria, VA 22350-1500.

NOTIFICATION PROCEDURE:

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the Chief, Freedom of Information Act Requester Service Center/Privacy Act Office, Office of General Counsel, Office of Inspector General, DoD, 4800 Mark Center Drive, Alexandria, VA 22350-1500.

For verification purposes, individuals shall provide their full name, address, any details which may assist in locating records of the individual, and their signature.

In addition, the requester must provide a notarized statement or a signed declaration made in accordance with 28 U.S.C. 1746, in the following format:

If executed outside the United States: "I declare under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on (date).' (Signature)."

If executed within the United States, its territories, possessions, or commonwealths: "I declare under penalty of perjury that the foregoing is true and correct. Executed on (date).' (Signature)."

RECORD ACCESS PROCEDURES:

Individuals seeking access to information about themselves contained in this system, should address written inquiries to the Chief, Freedom of Information Act Requester Service Center/Privacy Act Office, Office of General Counsel, Office of Inspector General, DoD, 4800 Mark Center Drive, Alexandria, VA 22350-1500.

For verification purposes, individuals shall provide their full name, address, any details which may assist in locating records of the individual, and their signature.

In addition, the requester must provide a notarized statement or a signed declaration made in accordance with 28 U.S.C. 1746, in the following format:

If executed outside the United States: "I declare under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on (date).' (Signature)."

If executed within the United States, its territories, possessions, or commonwealths: "I declare under penalty of perjury that the foregoing is true and correct. Executed on (date).' (Signature).”

CONTESTING RECORD PROCEDURES:

The OIG's rules for accessing records and for contesting contents and appealing initial agency determinations are published in 32 CFR part 312 or may be obtained from the system manager.

RECORD SOURCE CATEGORIES:

Complainants, sources, subjects, witnesses, all levels of government, private businesses, and nonprofit organizations, internet Web sites, DoD Global Directory Service, DoD white-pages.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Parts of this system may be exempt pursuant to 5 U.S.C. 552a(j)(2), if the information is compiled and maintained by a component of the agency which performs as it principal function any activity pertaining to the enforcement of criminal laws.

Investigatory material compiled for law enforcement purposes, other than material within the scope of subsection 5 U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2). However, if an individual is denied any right, privilege, or benefit for which he would otherwise be entitled by Federal law or for which he would otherwise be eligible, as a result of the maintenance of the information, the individual will be provided access to the information exempt to the extent that disclosure would reveal the identity of a confidential source.

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 information may be exempt pursuant to 5 U.S.C. 552a(k)(5), but only to the extent that such material would reveal the identity of a confidential source.

An exemption rule for this record system has been promulgated in accordance with the requirements of 5 U.S.C. 553(b)(1), (2), and (3), (c) and (e) and published in 32 CFR part 312.

FEDERAL REGISTER HISTORY:

March 17, 2016, 81 FR 14427; July 26, 2013, 78 FR 45185; October 15, 2008, 73 FR 61089; May 31, 2006, 71 FR 30882; May 9, 2003, 68 FR 24937; February 22, 1993, 58 FR 10213