[Federal Register Volume 59, Number 195 (Tuesday, October 11, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-25007]


[[Page Unknown]]

[Federal Register: October 11, 1994]


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DEPARTMENT OF AGRICULTURE
 

Privacy Act of 1974; Systems of Records

AGENCY: Office of the Secretary, USDA.

ACTION: Notice of revision of Privacy Act systems of records.

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SUMMARY: Notice is hereby given pursuant to 5 U.S.C. 552a(e)(4) that 
the United States Department of Agriculture (USDA) proposes to revise 
the Privacy Act Systems of Records maintained by the Office of 
Inspector General (OIG) in order to update the information in the 
systems and provide individuals with more current and more detailed 
information concerning the records maintained in the USDA/OIG systems 
of records. The proposed revisions include removing two categories of 
records from existing systems and setting them up as separate systems, 
deleting two systems for which records are no longer maintained, 
establishing one entirely new system of records, and condensing/
consolidating routine uses.

DATES: This revision is effective upon final publication of the 
amendments to 7 CFR 1.122 and 1.123 published in proposed form 
elsewhere in today's issue of the Federal Register unless changes are 
made in response to comments received from the public. Comments must be 
submitted on or before December 12, 1994.

ADDRESSES: Interested persons may submit comments to Paula F. Hayes, 
Assistant Inspector General for Policy Development and Resources 
Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington , DC 20250-2310.

FOR FURTHER INFORMATION CONTACT:
Paula F. Hayes, Assistant Inspector General for Policy Development and 
Resources Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2310 (202-720-6979).

SUPPLEMENTARY INFORMATION: Proposed updates applicable to all USDA/OIG 
systems include changes in addresses to reflect changes in addresses to 
reflect changes in office locations, and changes in titles of system 
managers and contact persons to reflect organizational changes. Other 
proposals specifically applicable to particular systems are as follows.

    For USDA/OIG-1, ``Employee Records, USDA/OIG,'' to clarify further 
the types of records that may be on file USDA/OIG proposes to add two 
categories, security clearance forms and exit interviews, and to add an 
explanation that the qualifications category in regard to law 
enforcement employees may include such records as Attorney General 
designations, training certificates, physical fitness data, and the 
medical officer's certification section of medical examination forms. 
Also to assist employees in locating their records, USDA/OIG proposes 
to add references to two OPM systems and one USDA system which also 
cover employee records. Furthermore, the proposed changes include the 
addition of citations to the National Archives and Records 
Administration General Records Schedules which govern the retention and 
disposition of employee records.
    The routine uses listed under system USDA/OIG-1, which are 
basically the same for all systems and which were last published in 54 
FR 39552, September 27, 1989, are proposed to be condensed, 
consolidated, and reduced in number from 17 to 12. The proposed routine 
use changes, which are primarily for clarification purposes, are as 
follows:

--The use providing for release of records to an entity to enable the 
entity to recover money or property of USDA (previously numbered 14), 
and the use pertaining to release of records to a licensing agency 
where violations or potential violations of licensing standards are 
indicated (previously numbered 16), would be incorporated with other 
enforcement type releases under the routine use numbered 1.
--The use governing the release of records to contractors for debt 
collection purposes (previously numbered 17), would be included as part 
of the routine use numbered 2 which covers the release of records to 
obtain information relevant to an OIG decision.
--The use allowing release of records to another agency that is 
considering suspension or debarment action (previously numbered 13), 
would become part of the routine use numbered 3 which generally 
pertains to the release of records to another agency for use in hiring 
or licensing decisions.
--The use covering the release of records for use in a proceeding 
before a court or adjudicative body (previously numbered 6), would be 
combined with the routine use numbered 5 concerning release of records 
to the Department of Justice for litigation purposes. Ad Hoc forums and 
administrative tribunals would also be added.
--The use pertaining to the disclosure of records to private 
contractors performing work for OIG (previously numbered 11) would be 
reworded to identify more precisely what the use covers and to include 
Privacy Act safeguards. It would be renumbered as 9.
--The use providing for the release of records pursuant to a grand jury 
subpoena or request (previously numbered 12), is proposed to be revised 
to recognize the role of the cognizant U.S. Attorney and it would be 
renumbered as 11.

    The other routine uses would remain basically the same as 
previously published except for the following changes in the numbering 
sequence: routine uses previously numbered 7, 8, 9, and 15, would now 
be numbered 6, 7, 8, and 12, respectively.
    Concerning USDA/OIG-2, ``Intelligence Records, USDA/OIG,'' the 
proposal would change the system name to ``Informant and Undercover 
Agent Records'' which represents a more descriptive title for the 
records contained in the system. Also, to clarify the categories of 
individuals covered by the system, USDA/OIG proposes to delete 
subjects, who are covered in USDA/OIG-3, and add confidential 
informants, investigative operatives, and undercover OIG special agents 
or other law enforcement personnel. In addition, the proposal includes 
adding criminal histories and undercover identification documents as 
categories of records in the system.
    For USDA/OIG-3, ``Investigative Files and Subject/Title Index, 
USDA/OIG,'' the proposal would change the system name to 
``Investigative Files and Automated Investigative Indices System'' to 
reflect computerization of part of the system. This proposed change 
from manually prepared index cards to an automated indices system is 
also reflected throughout the system description. Concerning categories 
of individuals covered by the system, USDA/OIG proposes to delete 
applicants for employment (who are covered under USDA/OIG-1), 
individuals whose names have been checked through the system, and 
complainants who have requested anonymity or confidentiality regarding 
their identity. The proposal also changes the retention period for 
records in this system from 15 years to 10 years to bring it into line 
with the guidelines in the National Archives and Records Administration 
General Records Schedules.
    In regard to the system numbered USDA/OIG-4, the system now called 
``Liaison Records'' is being deleted because these records are no 
longer maintained, and it is proposed to assign the number USDA/OIG 4 
to ``OIG Hotline Complaint Records,'' which records are proposed to be 
taken out of the ``Investigative Files'' system (USDA/OIG-3) and set up 
as a separate system of records. OIG has a special staff just for the 
initial handling of incoming hotline complaints and the volume of 
activity in this area is sufficient to justify a separate system. Also, 
not all complaints result in investigations and in those instances 
there would not be an investigative file as such. In addition, this 
would be of assistance to individual complainants in that OIG would be 
able to respond more quickly to followup requests from individuals as 
to the status or disposition of their complaints. This record system 
would be exempt from certain provisions of the Privacy Act just as the 
hotline records are currently exempt under system USDA/OIG-3.
    For USDA/OIG-5, ``Management Information and Data Analysis System, 
USDA/OIG,'' the proposal would change the name of the system to 
``Consolidated Assignments, Personnel Tracking, and Administrative 
Information Network (CAPTAIN),'' to reflect an update of this 
computerized data base system. The proposal also includes changes in 
various data elements of the system so that they accurately reflect the 
information in these updated automated records. The routine uses are 
basically the same as in the previous system.
    Concerning the system numbered USDA/OIG-6, the proposal is to 
eliminate the system now called ``Audit Information System'' because 
these records are no longer maintained in such a manner that they can 
be retrieved by individual name or other individual identifier, and 
then reassign the number USDA/OIG-6 to the ``Training Tracking 
System,'' which records will be separated from the ``Employee Records'' 
system (USDA/OIG-1). The majority of employee training records will 
still remain part of the ``Employee Records'' system. The proposed 
system is only for tracking OIG audit employee training. This separate 
computerized system is needed because of the complex continuing 
education requirements for auditors. For instance, General Accounting 
Office Government Auditing Standards require that every 2 years 
auditors complete 80 hours of training contributing to their 
professional proficiency, of which at least 20 hours of the training 
should be completed in any 1 year, and for auditors working on 
Government audits, at least 24 of the 80 hours should be directly 
related to Government auditing. The data elements in this system are 
similar to those in ``Employee Records'' except that a routine use has 
been added concerning the furnishing of records to a Federal agency or 
professional organization if relevant to a determination of 
professional proficiency and compliance with general qualification 
standards for Government auditing.
    USDA/OIG-7, ``Freedom of Information Act and Privacy Act Request 
Records, USDA/OIG,'' is a proposed new system covering requests from 
individuals, under either of the cited Acts, for OIG records. The 
volume of requests is such that some form of control system is needed. 
This proposal would benefit both the agency and the individual by 
providing a control mechanism for ensuring requests are acted upon and 
for determining the status of pending requests when necessary to 
respond to a followup inquiry from a requester.
    Accordingly, USDA hereby proposes to revise the full text of the 
OIG Systems of Records last published in full in 50 FR 50814, December 
12, 1985, and amended in part in 54 FR 39552, September 27, 1989.
    A Privacy Act Systems Report relating to these changes, required by 
5 U.S.C. 552a(r), has been sent to the Committee on Government 
Operations of the House of Representatives, the Committee on 
Governmental Affairs of the Senate, and the Office of Management and 
Budget.

    Done at Washington, DC, this 28th of September 1994.
Mike Espy,
Secretary of Agriculture.
USDA/OIG-1
    Employee Records, USDA/OIG.
    In the headquarters offices of the U.S. Department of Agriculture 
(USDA), Office of Inspector General (OIG) and Office of Personnel (OP) 
in the Agriculture Administration Building, 14th Street and 
Independence Avenue SW, Washington, DC 20250-2307, and in the following 
OIG regional offices and suboffices:

OIG Regional Offices

600 Harrison Street, Suite 225, San Francisco, California 94107
401 West Peachtree Street NW., Room 2328, Audit; Room 2329, 
Investigations, Atlanta, Georgia 30365-3520
111 North Canal Street, Suite 1130, Chicago, Illinois 60606-7295
6505 Belcrest Road, Room 428-A, Hyattsville, Maryland 20782
9435 Holmes Road, Room 233, Audit; Room 220, Financial Management 
and ADP Audit Operations; Room 210, Investigations, Kansas City, 
Missouri 64141
26 Federal Plaza, Room 1409, New York, New York 10278
101 South Main, Room 324, Audit; Room 311, Investigations, Temple, 
Texas 76501

OIG/Audit Suboffices

700 West Capitol, Room 2518, Little Rock, Arkansas 72201
1510 ``J'' Street, Suite 120, Sacramento, California 95814
2850 McClellan, Suite 3500, Fort Collins, Colorado 80525
3008 NW. 13th Street, Suite B, Gainesville, Florida 32609
3736 Government Street, Alexandria, Louisiana 71302
13800 Old Gentilly Road, New Orleans, Louisiana 70129
3001 Coolidge Road, Suite 150, East Lansing, Michigan 48823-6321
375 Jackson Street, Suite 320, St. Paul, Minnesota 55101-1850
Millsaps Building, Suite 400, 201 West Capitol Street, Jackson, 
Mississippi 39201
1520 Market Street, Room 1624, St. Louis, Missouri 63103
100 Centennial Mall North, Room 276, Lincoln, Nebraska 68508
Mercer Corporate Park, 310 Corporate Boulevard, Robinsville, NJ 
08691-1598
26 Federal Plaza, Room 1415, New York, New York 10278
4407 Bland Road, Room 100, Raleigh, North Carolina 27609
200 N. High Street, Room 346, Columbus, Ohio 43215-2408
511 Northwest Broadway, Room 501, Portland, Oregon 97209
One Credit Union Place, Suite 350, Harrisburg, Pennsylvania 17110-
2992
233 Cumberland Bend, Room 204, Nashville, Tennessee 37228
1200 Main Tower, Room 880, Dallas, Texas 75202

OIG/Investigation Suboffices

522 N. Central Avenue, Room 206, Phoenix, Arizona 85004
300 N. Los Angeles Street, Room 3124, Los Angeles, California 90012
1510 ``J'' Street, Suite 110, Sacramento, California 95814
Federal Building, Customs House, 721 19th Street, Room 404, Denver, 
Colorado 80202
6039 Lakeside Boulevard, Indianapolis, Indiana 46278-1989
3001 Coolidge Road, Suite 150, East Lansing, Michigan 48823-6321
375 Jackson Street, Suite 320, St. Paul, Minnesota 55101-1850
Millsaps Building, Suite 410, 201 West Capitol Street, Jackson, 
Mississippi 39201
911 Washington Avenue, Suite 203, St. Louis, Missouri 63101
4407 Bland Road, Room 110, Raleigh, North Carolina 27609
200 North High Street, Room 350, Columbus, Ohio 43215-2408
120 South Warner Road, King of Prussia, Pennsylvania 19406
233 Cumberland Bend, Room 208, Nashville, Tennessee 37228
1200 Main Tower, Room 880, Dallas, Texas 75202
1000 Second Avenue, Suite 1950, Seattle, Washington 98104
    OIG temporary and permanent employees, former employees of OIG and 
predecessor offices, and applicants for employment.
    These records show or relate to employment, personnel management, 
and work-related information, including position, classification, 
title, grade, pay rate, pay, temporary and permanent addresses and 
telephone numbers for home and work, copies of security clearance 
forms, program and performance evaluations, promotions, retirement, 
disciplinary actions, appeals, incentive programs, unemployment 
compensation, leave, complaints and grievances, health benefits, equal 
employment opportunity, automation of personnel data, travel 
information, accident reports and related information, activity 
reports, participation in savings and contribution programs, 
availability for employment, for assignment, or for transfer, 
qualifications (for law enforcement employees this includes Attorney 
General designations, training certificates, physical fitness data, and 
medical officer's certification excluding any personal medical data), 
awards, hours worked, issuance of credentials, passports, and other 
identification, assignment and accountability of property and other 
things of value, parking space assignments, training and development, 
special assignments, and exit interviews.
    Other employee records are covered by other systems as follows: For 
Official Personnel Folder (OPF) data refer to USDA/OP-1, Personnel and 
Payroll System for USDA Employees; for medical records, including SF-
78, Certificate of Medical Examination, and drug testing records, refer 
to OPM/GOVT-10, Employee Medical File System; for pre-employment 
inquiries refer to USDA/OIG-3, Investigative Files and Automated 
Investigative Indices; for annual financial disclosure statements refer 
to OPM/GOVT-8, Confidential Statements of Employment of Financial 
Interests.
    Pub. L. 95-452, as amended, 5 U.S.C. App.; 5 U.S.C. 301; 7 U.S.C. 
2270.
    (1) A record from the system of records which indicates either by 
itself or in combination with other information, a violation or 
potential violation of a contract or of law, whether civil, criminal, 
or regulatory, or which otherwise reflects on the qualifications or 
fitness of a licensed (or seeking to be licensed) individual, may be 
disclosed to a Federal, State, local, foreign, or self-regulatory 
agency (including but not limited to organizations such as professional 
associations or licensing boards), or other public authority that 
investigates or prosecutes or assists in such investigation, 
prosecution, enforcement, implementation, or issuance of this statute, 
rule, regulation, order, or license.
    (2) A record from the system of records may be disclosed to a 
Federal, State, local, or foreign agency, other public authority, 
consumer reporting agency, or professional organization maintaining 
civil, criminal, or other relevant enforcement or other pertinent 
records, such as current licenses, in order to obtain information 
relevant to an OIG decision concerning employee retention or other 
personnel action, issuance of a security clearance, letting of a 
contract or other procurement action, issuance of a benefit, 
establishment of a claim, collection of a delinquent debt, or 
initiation of an administrative, civil, or criminal action.
    (3) A record from the system of records may be disclosed to a 
Federal, State, local, foreign, or self-regulatory agency (including 
but not limited to organizations such as professional associations or 
licensing boards), or other public authority, to the extent the 
information is relevant and necessary to the requestor's hiring or 
retention of an individual or any other personnel action, issuance or 
revocation of a security clearance, license, grant, or other benefit, 
establishment of a claim, letting of a contract, reporting of an 
investigation of an individual, for purposes of a suspension or 
debarment action, or the initiation of administrative, civil, or 
criminal action.
    (4) A record from the system of records may be disclosed to any 
source--private or public--to the extent necessary to secure from such 
source information relevant to a legitimate OIG investigation, audit, 
or other inquiry.
    (5) A record from the system of records may be disclosed to the 
Department of Justice in the course of litigation when the use of such 
records by the Department of Justice is deemed relevant and necessary 
to the litigation and may be disclosed in a proceeding before a court, 
Ad Hoc forum, adjudicative body, or administrative tribunal, or in the 
course of civil discovery, litigation, or settlement negotiations, when 
a party to a legal action or an entity or individual having an interest 
in the litigation includes of the following:
    (a) The OIG are any component thereof;
    (b) Any employee of the OIG in his or her official capacity;
    (c) Any employee of the OIG in his or her individual capacity where 
the Department of Justice has agreed to represent the employee; or
    (d) The United States, where the OIG determines that litigation is 
likely to affect USDA or any of its components.
    (6) A record from the system of records may be disclosed to a 
Member of Congress from the record of an individual in response to an 
inquiry from the Member of Congress made at the request of that 
individual. In such cases however, the Member's right to a record is no 
greater than that of the individual.
    (7) A record from the system of records may be disclosed to the 
Department of Justice for the purpose of obtaining its advice an 
inquiry relating to an OIG audit, investigation, or other inquiry, 
including Freedom of Information or Privacy Act matters.
    (8) A record from the system of records may be disclosed to the 
Office of Management and Budget for the purpose of obtaining its advice 
regarding OIG obligations under the Privacy Act or in connection with 
the review of private relief legislation.
    (9) A record from system of records may be disclosed to a private 
firm with which OIG comtemplates it will contract or with which its has 
contracted for the purpose of performing any functions or analyses that 
facilitate, or are relevant to an OIG investigation, audit, inspection, 
or other inquiry. Such contractor or private firm shall be required to 
maintain Privacy Act safeguards with respect to such information.
    (10) record from the system of records may be disclosed in response 
to a subpoena issued by a Federal agency having the power to subpoena 
records of other Federal agencies if the OIG determines that: (a) The 
records are both relevant and necessary to the proceeding, and (b) such 
release is compatible with the purpose for which the records were 
collected.
    (11) A record from the system of records may be disclosed to a 
grand jury agency pursuant either to a Federal or State grand jury 
subpoena, or to a prosecution request that such record be released for 
the purpose of its introduction to a grant jury provided that the grand 
jury channels its request through the cognizant U.S. Attorney, that the 
U.S. Attorney has been delegated the authority to make such requests by 
the Attorney General, that she or he actually signs the letter 
specifying both the information sought and the law enforcement purpose 
served. In the case of a State grand jury subpoena, the State 
equivalent of the U.S. Attorney and Attorney General shall be 
substituted.
    (12) A record from the system for records may be disclosed, as a 
routine use, to a Federal, State, local, or foreign agency, or other 
public authority, for use in computer matching programs to prevent and 
detect fraud and abuse in benefit programs administered by any agency, 
to support civil and criminal law enforcement activities of any agency 
and its components, and to collect debts and overpayments owed to any 
agency and its components.
    Records are maintained on computers and automated image filing 
systems, and in file folders, notebooks, and card file boxes.
    By name of individual employee and by social security number.
    Computer files are password protected and other records are kept in 
limited-access areas during duty hours and in locked offices during 
nonduty hours.
    Retention periods and disposal methods vary by record categories as 
set forth in National Archives and Records Administration General 
Records Schedules 1 (Civilian Personnel Records) and 2 (Payrolling and 
Pay Administration Records). Personal information that the agency deems 
to be potentially derogatory or embarrassing, is shredded when 
retention period expires.
    Director, Resources Management Division, Policy Development and 
Resources Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2307.
    Any individual may request information regarding this system of 
records, or information as to whether the system contains records 
pertaining to him/her from the Director, Information Management 
Division, Policy Development and Resources Management, Office of 
Inspector General, U.S. Department of Agriculture, Washington, DC 
20250-2309.
    An individual may request access to a record in this system which 
pertains to him/her by submitting a written request to the Director, 
Information Management Division, Policy Development and Resources 
Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2309.
    An individual may contest information in this system which pertains 
to him/her by submitting a written request to the Assistant Inspector 
General for Policy Development and Resources Management, Office of 
Inspector General, U.S. Department of Agriculture, Washington, DC 
20250-2310.
    The primary information is furnished by the individual employee. 
Additional information is provided by supervisors, coworkers, 
references, and others.
USDA/OIG-2
    Informant and Undercover Agent Records, USDA/OIG.
    In the OIG headquarters office in the Agriculture Administration 
Building, 14th Street and Independence Avenue SW, Washington, DC 20250-
2317, and in the OIG regional offices and Investigations suboffices 
listed in the system of records designated USDA/OIG-1.
    Confidential informants, investigative operatives, and undercover 
OIG special agents or other law enforcement personnel.
    Names, occupations, criminal histories, and other information about 
confidential informants and investigative operatives, together with 
allegations against them, and the types of information previously 
furnished by or to be expected from them. Types, dates of issuance and 
destruction, and details of false identification documents used by OIG 
special agents and other law enforcement personnel for undercover 
activities.
    Pub. L. 95-452, as amended, 5 U.S.C. APP.; 5 U.S.C. 301; 7 U.S.C. 
2270.
    Routine uses (1) through (12) listed in the system of records 
designated USDA/OIG-1.
    Stored on sheets of paper and index cards, and in file folders and 
computers.
    Retrievable by name of confidential informant, investigative 
operative, or special agent.
    Computer files are password protected and other records are kept in 
limited-access areas during duty hours and in locked offices during 
nonduty hours.
    Confidential informant and investigative operative information is 
kept for 5 years after the date it is put into inactive status. It is 
then destroyed. Undercover identification documents are kept until the 
agency determines them to be outdated. They are then destroyed.
    Assistant Inspector General for Investigations, Office of Inspector 
General, U.S. Department of Agriculture, Washington, DC 20250-2317.
    Inquiries and requests should be addressed to the Director, 
Information Management Division, Policy Development and Resources 
Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2309.
    To request access to information in this system write to the 
Director, Information Management Division, Policy Development and 
Resources Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2309.
    To contest information in this system, send request to the 
Assistant Inspector General for Policy Development and Resources 
Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2310.
    Pursuant to 5 U.S.C. 552a(j)(2), this system of records has been 
exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, 
as amended, except subsections (b), (c) (1) and (2), (e)(4) (A) through 
(F), (e)(6), (7), (9), (10) and (11), and (i).
    Pursuant to 5 U.S.C. 552a (k)(2) and (k)(5), this system has been 
exempted from the following provisions of the Privacy Act of 1974, 5 
U.S.C. 552a: subsections (c)(3), (d), (e)(1), (e)(4) (G), (H) and (I), 
and (f).
USDA/OIG-3
    Investigative Files and Automated Investigative Indices System, 
USDA/OIG.
    Physical files are kept in the OIG headquarters office in the 
Agriculture Administration Building, 14th Street and Independence 
Avenue SW, Washington, DC 20250-2307, and in the OIG regional offices 
and Investigations suboffices listed in the system of records 
designated USDA/OIG-1.
    The OIG regional offices and Investigations suboffices maintain 
physical files containing the report of investigation and the 
workpapers for each case investigated by that office. The headquarters 
files contain a copy of every investigative report, but no workpapers 
and not necessarily the copies of all correspondence in all cases. 
Older investigative files may be stored in Federal Records Centers or 
on microfiche, microfilm, or electronic image filing systems. 
Therefore, delays in retrieving this material can be expected.
    Selected portions of records have been computerized--see section 1 
of ``Categories of records'' below. These records, used as a research 
tool, are accessible by computer terminals located in each OIG office. 
These records are maintained on a computer in the Agriculture 
Administration Building.
    The individual names in the OIG index fall into one or more of the 
following categories:
    Subjects. These are individuals against whom allegations of 
wrongdoing have been made. In some instances, these individuals have 
been the subjects of investigations conducted by OIG to establish 
whether allegations were true. In other instances, the allegations were 
deemed too frivolous or indefinite to warrant inquiry.
    Principals. These are individuals who are not named subjects of 
investigative inquiries, but may be responsible for potential 
violations. For example, the responsible officers of a firm alleged to 
have violated laws or regulations might be individually listed in the 
OIG index.
    Complainants. These are individuals, who have not requested 
anonymity or confidentiality regarding their identity, who allege 
wrongdoing, mismanagement, or unfair treatment relating to USDA 
employees and/or programs.
    Others. These are all other individuals closely connected with a 
matter of investigative interest.
    The OIG Investigative Files and Automated Investigative Indices 
System consist of:
    1. Computerized records searchable by case number or alphabetically 
by the names of individuals, organizations, and firms, with a separate 
record for each containing, if applicable, identification of the OIG 
file or files which contain information on that subject, and if such 
information was available when the record was created or modified, the 
individual's name, address, sex, race, date and place of birth, 
relationship to the investigation, FBI or State criminal identification 
number, and social security number (very few have the dates when 
entries were made into the index);
    2. Files containing sheets of paper or microfiche of such sheets 
from investigative and other reports, correspondence, and informal 
notes and notations concerning (a) one investigative matter or (b) a 
number of incidents of the same sort of alleged violation or 
irregularity; and
    3. Where an investigation is being or will be conducted, but has 
not been completed, various case management records, investigator's 
notes, statements of witnesses, and copies of records. These are 
contained on cards and sheets of paper located in an OIG office or in 
the possession of the OIG investigator. Certain management records are 
retained after the investigative report is released as a means of 
following action taken on the basis of the OIG investigative report.
    Pub. L. 95-452, as amended, 5 U.S.C. App.; 5 U.S.C. 301; 7 U.S.C. 
2270.
    Routine uses (1) through (12) listed in the system of records 
designated USDA/OIG-1.
    The OIG Automated Investigative Indices System consists of 
computerized records. The investigative files are stored in steel 
lektriever cabinets, on microfiche sheets, microfilm, electronic image 
filing systems, or in Federal Records Centers.
    Computerized records are retrievable alphabetically or by using the 
case number, with each record identifying one or more OIG investigative 
case files or administrative files arranged numerically by file number. 
Information in investigative or administrative files concerning 
individuals not indexed is considered irretrievable.
    These records are kept in limited-access areas during duty hours, 
in locked offices during nonduty hours, or in the possession of the 
investigator. Computer files are password protected.
    The investigative case files are maintained for 10 years after the 
case is closed. Administrative files are kept for 5 years after the 
case is closed. Computerized records are destroyed at the same time as 
the physical files to which they relate.
    Director, Resources Management Division, Policy Development and 
Resources Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2307.
    To request access to information in this system, write to Director, 
Information Management Division, Policy Development and Resources 
Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2309.
    To contest information in this system, send request to Assistant 
Inspector General for Policy Development and Resources Management, 
Office of Inspector General, U.S. Department of Agriculture, 
Washington, DC 20250-2310.
    Pursuant to 5 U.S.C. 552a(j)(2), this system of records has been 
exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, 
as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through 
(F), (e)(6), (7), (9), (10) and (11), and (i).
    Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), this system has been 
exempted from the following provisions of the Privacy Act of 1974, 5 
U.S.C. 552a: subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), 
and (f).
USDA/OIG-4
    OIG Hotline Complaint Records, USDA/OIG.
    In the OIG headquarters office in the Agriculture Administration 
Building, 14th Street and Independence Avenue SW., Washington, DC 
20250-2317.
    1. Complainants are persons who report or complain of possible 
criminal, civil, or administrative violations of law, rule, regulation, 
policy, or procedure, or fraud, waste, abuse, mismanagement, gross 
waste of funds, or abuse of authority in USDA programs or operations, 
or specific dangers to public health or safety, misuse of government 
property, personnel misconduct, discrimination, or other irregularities 
affecting USDA.
    2. Subjects are persons against whom such complaints are made.
    1. Identities of complainants, if known, and subjects.
    2. Details of each allegation.
    3. OIG case number and control number(s) used by other agencies for 
tracking each complaint.
    4. Responses from agencies to which complaints are referred for 
inquiry.
    5. Summary of substantiated information and results of agency 
inquiry into the complaint.
    Pub. L. 95-452, as amended, 5 U.S.C. APP.; 5 U.S.C. 301.
    Routine uses (1) through (12) listed in the system of records 
designated USDA/OIG-1.
    Stored in a computer and on sheets of paper in file folders.
    Retrievable by name of subject or complainant or by case number.
    Files are kept in a limited access area and are in locked storage 
when not in use. Access to computerized information is protected by 
requiring a confidential password.
    Physical files and computerized records are retained 10 years after 
closing, after which they are shredded and deleted, respectively.
    Assistant Inspector General for Investigations, Office of Inspector 
General, U.S. Department of Agriculture, Washington, DC 20250-2317.
    Inquiries and requests should be addressed to Director, Information 
Management Division, Policy Development and Resources Management, 
Office of Inspector General, U.S. Department of Agriculture, 
Washington, DC 20250-2309.
    To request access to information in this system, write to Director, 
Information Management Division, Policy Development and Resources 
Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2309.
    To contest information in this system, send request to Assistant 
Inspector General for Policy Development and Resources Management, 
Office of Inspector General, U.S. Department of Agriculture, 
Washington, DC 20250-2310.
    Identities of complainants and subjects are provided by individual 
complainants. Additional information may be provided by individual 
complainants, subjects, and/or third parties.
    Pursuant to 5 U.S.C. 552a(j)(2), this system of records has been 
exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, 
as amended, except subsection (b), (c)(1) and (2), (e)(4)(A) through 
(F), (e)(6), (7), (9), (10) and (11), and (i).
    Pursuant to 5 U.S.C. 552(k)(2) and (k)(5), this system has been 
exempted from the following provisions of the Privacy Act of 1974, 5 
U.S.C. 552a: subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), 
and (f).
USDA/OIG-5
    Consolidated Assignments Personnel Tracking Administrative 
Information Network (CAPTAIN), USDA/OIG.
    U.S. Department of Agriculture, National Computer Center, 8930 Ward 
Parkway, Kansas City, Missouri 64114.
    OIG professional employees who participate in either audit or 
investigative assignments.
    Subjects of investigations.
    CAPTAIN provides OIG management officials with a wide range of 
information of Audit and Investigations operations. The system 
identifies individual assignments of employees and provides information 
on their use of direct and indirect time, significant dates relating to 
each assignments, reported dollar deficiencies, recoveries, penalties, 
the number of investigative prosecutions, convictions, other legal and 
administrative actions, the identify of all professionals who 
participated in the assignment, and subjects of investigation. The 
system is used to manage audit and investigative assignments and to 
facilitate reporting of OIG activities to Congress and other 
Governmental entities.
    Pub. L. 95-452, as amended, 5 U.S.C. App.; 5 U.S.C. 301; 7 U.S.C. 
2270.
    Routine uses (1) through (12) listed in the system of records 
designated USDA/OIG-1.
    Records are maintained on computer discs, magnetic tape, and in 
file folders and notebooks.
    Information in the system generally can be retrieved by OIG 
personnel in headquarters and the regions. Information is generally 
retrieved by assignment number or geographic location. However, 
information can be retrieved by any field in the system, including 
subject name, employee name, and employee social security number.
    Normal computer security is maintained including password 
protection. Printouts and source documents are kept in limited-access 
areas during duty hours and in locked offices during nonduty hours.
    Computer files and other records are cleared, retired, or 
destroyed, when no longer useful, in accordance with National Archives 
and Records Administration and USDA record retention and/or destruction 
schedules.
    Audit Subsystem--Assistant Inspector General for Audit, Office of 
Inspector General, U.S. Department of Agriculture, Washington, DC 
20250-2311.
    Investigations Subsystem--Assistant Inspector General for 
Investigations, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2317.
    Any individual may request information regarding this system of 
records, or information as to whether the system contains records 
pertaining to him/her, from the Director, Information Management 
Division, Policy Development and Resources Management, Office of 
Inspector General, U.S. Department of Agriculture, Washington, DC 
20250-2309.
    An individual may request access to a record in this system which 
pertains to him/her by submitting a written request to the Director, 
Information Management Division, Policy Development and Resources 
Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2309.
    Any individual may contest information in this system which 
pertains to him/her by submitting a written request to the Assistant 
Inspector General for Policy Development and Resources Management, 
Office of Inspector General, U.S. Department of Agriculture, 
Washington, DC 20250-2310.
    Information in the system is obtained from various source documents 
related to audit and investigation activities including assignment 
letters, employee time reports, case entry sheets, etc.
    Pursuant to 5 U.S.C. 552a(j)(2), the Investigations Subsystem and 
the Employee Time System are exempted from all provisions of the 
Privacy Act of 1974, 5 U.S.C. 552a, as amended, except subsections (b), 
(c) (1) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10) and 
(11), and (i).
    Pursuant to 5 U.S.C. 552a (k)(2) and (k)(5), the Investigations 
Subsystem and the Employee Time System are exempted from the following 
provisions of the Privacy Act of 1974, 5 U.S.C. 552a: subsections 
(c)(3), (d), (e)(1), (e)(4) (G), (H) and (I), and (f).
USDA/OIG-6
    Training Tracking System, USDA/OIG.
    U.S. Department of Agriculture, National Computer Center, 8930 Ward 
Parkway, Kansas City, Missouri 64114.
    OIG audit employees.
    The system contains records of audit employee training history.
    Pub. L. 95-452, as amended, 5 U.S.C. App.; 5 U.S.C. 301; 7 U.S.C. 
2270.
    (1) A record from the system of records may be disclosed, as a 
routine use, to a Federal agency or professional organization, to 
document continuing education credits required by the Government 
Auditing Standards, U.S. General Accounting Office Standards of Audit 
of Governmental Organizations, Programs, Activities, and Functions, if 
relevant to the determination of professional proficiency and 
compliance with the general qualification standard for government 
auditing, and retention of an employee or other personnel action.
    (2) Routine uses (1) through (12) listed in the system of records 
designated USDA/OIG-1.
    Records are maintained on computer and in file folders.
    By name of individual, social security number, or group of 
employees.
    Computer files are password protected and other records are kept in 
limited-access areas during duty hours and in locked offices during 
nonduty hours.
    Records are retained as long as the agency determines they are 
needed. They are then destroyed.
    Assistant Inspector General for Audit, Office of Inspector General, 
U.S. Department of Agriculture, Washington, DC 20250-2311.
    Any individual may request information regarding this system of 
records, or information as to whether the system contains records 
pertaining to him/her from the Director, Information Management 
Division, Policy Development and Resources Management, Office of 
Inspector General, U.S. Department of Agriculture, Washington, DC 
20250-2309.
    An individual may request access to a record in this system which 
pertains to him/her by submitting a written request to the Director, 
Information Management Division, Policy Development and Resources 
Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2309.
    An individual may contest information in this system which pertains 
to him/her by submitting a written request to the Assistant Inspector 
General for Policy Development and Resources Management, Office of 
Inspector General, U.S. Department of Agriculture, Washington, DC 
20250-2310.
    Informaiton in the system comes entirely from OIG audit employees.
USDA/OIG-7
    Freedom of Information Act and Privacy Act Request Records, USDA/
OIG.
    Files are kept in the OIG headquarters office in the Agriculture 
Administration Building, 14th Street and Independence Avenue SW., 
Washington, DC 20250-2309.
    This system contains records of individuals who have made requests 
under the Freedom of Information Act or Privacy Act.
    The request records consist of the incoming request, all 
correspondence developed during the processing of the request, and the 
final reply.
    Pub. L. 95-452, as amended, 5 U.S.C. App.; 5 U.S.C. 301.
    Used by OIG employees as an internal control mechanism for tracking 
the disposition of requests and for responding to individuals who are 
checking on the status of their requests.
    Records are stored in file folders.
    Records are retrievable by name using a control number that is 
assigned upon date of receipt.
    Freedom of Information Act and Privacy Act request records are 
stored in file cabinets in limited-access areas during duty hours and 
in locked offices during nonduty hours.
    Records are disposed of in accordance with National Archives and 
Records Administration General Records Schedule 14 pertaining to 
informational services records.
    Director, Information Management Division, Policy Development and 
Resources Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2309.
    Any individual may request information regarding this system of 
records, or information as to whether the system contains records 
pertaining to him/her, from the Director, Information Management 
Division, Policy Development and Resources Management, Office of 
Inspector General, U.S. Department of Agriculture, Washington, DC 
20250-2309.
    An individual may request access to a record in this system which 
pertains to him/her by submitting a written request to the Director, 
Information Management Division, Policy Development and Resources 
Management, Office of Inspector General, U.S. Department of 
Agriculture, Washington, DC 20250-2309.
    An individual may contest information in this system which pertains 
to him/her by submitting a written request to the Assistant Inspector 
General for Policy Development and Resources Management, Office of 
Inspector General, U.S. Department of Agriculture, Washington, DC 
20250-2310.
    Information in this system comes from the individual making the 
request and from OIG employees processing the request.

[FR Doc. 94-25007 Filed 10-7-94; 8:45 am]
BILLING CODE 3410-23-M