[Federal Register Volume 61, Number 144 (Thursday, July 25, 1996)]
[Notices]
[Pages 38750-38753]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18946]


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GENERAL SERVICES ADMINISTRATION


Privacy Act of 1974; System of Record

AGENCY: General Services Administration (GSA).

ACTION: Notice to amend a record system that is subject to the Privacy 
Act of 1974.

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SUMMARY: GSA proposes amending a record system that is subject to the 
Privacy Act of 1974 (5 U.S.C. 522a), as amended.

DATES: The proposed action becomes effective 30 days after the 
publication of this notice, unless comments received result in a 
contrary decision.

ADDRESSES: Send comments to Ms. Elaine P. Dade, Acting Records Officer, 
18th and F Streets NW., Washington, DC 20405.

FOR FURTHER INFORMATION CONTACT: Wm. McHugh, Privacy Act Liaison (202) 
501-2983).

SUPPLEMENTARY INFORMATION: The record system Investigation Case Files, 
GSA/ASM-24, is used for deciding employment suitability, issuing 
subpoenas and security clearances; and taking civil, criminal, and 
administrative actions.

[[Page 38751]]

    The changes to the record system are set forth below. The proposed 
amendments do not fall within the scope of subsection (r) of the 
Privacy Act of 1974, which requires submitting a new or altered system 
report.
    Dated July 17, 1996.
Kenneth S. Stacey,
Acting Director, Information Management Division.
System name:
    Investigation Case Files.
Changes:
System location:
    Delete entry and insert: ``The system is located in the Office of 
Inspector General, 18th and F Streets NW., Washington, DC 20405. The 
data base for the system, known as the Investigative Information System 
(IIS), is on a local area network and is located in room 5315 of the GS 
Building. The IIS is operated by the System Development and Support 
Division of the Office of Inspector General (JPM).''
Authority for maintenance of the system:
    The citation to the United States Code should read ``5 U.S.C., App. 
3, sec. 2 et seq.'' The citation to the first Executive Order should 
read ``EO 10450.'' Also, the second citation to the United States Code 
should read ``40 U.S.C., secs. 275a through a-7, 276c, 318 (a) through 
(d), and 327 through 331.''
Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    For routine use 1(C), add the quoted words below: A record related 
to a case or matter may be disclosed in an appropriate Federal, State, 
local, or foreign court or grand jury proceeding in accordance with 
established constitutional, substantive or procedural law or practice, 
``even when the agency is not a party to the litigation.''
    For routine use 1(h), the quoted words represent updated material: 
A record may be ``disclosed'' to a Federal agency, in response to its 
request, in connection with the hiring or retention of an employee, the 
issuing of a security clearance, the reporting of an investigation of 
an employee, ``the reporting of an arrest or investigative information, 
or disposition thereof, of an employee received from a State, local, or 
Federal law enforcement unit,'' the letting of a contract, or the 
issuing of a license, grant, or other benefit by the requesting agency 
to the extent that the information relates to the requesting agency's 
decision on the matter;* * *.
    For routine use 2, the first part of the sentence should read: ``A 
record from this system of records * * *.'' Also, the quoted words 
below provide more specific information: Grievance, complaint, appeal: 
A record from this system of records may be disclosed to an authorized 
official engaged in investigation or settlement of a grievance, 
complaint, or appeal filed by an employee, ``which includes matters and 
investigations involving the Merit Systems Protection Board or the 
Office of Special Counsel.'' A record from the system or records may be 
disclosed to the United States Office of Personnel Management in 
accordance with the agency's responsibility for evaluation of Federal 
personnel management.
    For routine use 4, the second part of the first sentence should 
read ``* * * as set forth in OMB Circular No. A-19 at any stage of the 
legislative clearance process.''
    For routine use 5, the quoted words below represent new 
information: a record from this system of records may be disclosed as a 
routine use (a) to an expert, a consultant, or a contractor of GSA 
``engaged in a duty related to an agency function'' to the extent 
necessary to further the performance of ``and agency function'' and (b) 
to a physician to conduct a fitness-for-duty examination of a GSA 
officer or employee.
    For all routine uses, the verb ``disclose'' is used in place of 
``disseminate.''

Storage:

    Delete entry and insert: ``Paper records are kept in files and file 
folders, and electronic records are kept on hard or floppy disks and on 
tapes.''

Retrievability:

    Delete entry and insert: ``Paper records are retrievable by name 
from files indexed alphabetically and filed numerically by location and 
incident. Electronic records are retrievable by letter or number.''

Safeguards:

    Delte entry and insert: ``Paper records are stored in locked, 
alarmed vault-type rooms or in locked safes with access limited to 
authorized persons. Computer-based records are available only to 
authorized users with a need to know and are protected by a network 
logon password, user password, and right of access to the software, 
system (IIS), file, date element, and report.''

Retention and disposal:

    Delete entry and insert: ``The records are destroyed by shredding 
or burning as scheduled in the handbook, GSA Records Maintenance and 
Disposition System (OAD P 1820.2A).''

System manager and address:

    Delete entry and insert: ``The system manager is an employee of the 
Investigations Operations Division (JIB) of the Office of Inspector 
General, Room 5321, 18th and F Streets NW., Washington, DC 20405.''

Notification procedure:

    Delete entry and insert: ``An individual who wishes to be notified 
whether the system contains a record concerning him- or herself should 
address a request to the Office of Counsel to the Inspector General 
(JC), General Services Administration, Room 5324, 18th and F Streets 
NW., Washington, DC 20405.''

Record access procedures:

    Delete entry and insert: ``An individual seeking access to a record 
should put his or her request in writing and address it to the Office 
of Counsel to the Inspector General (JC), including full name (maiden 
name if appropriate), address, and date and place of birth. General 
inquiries may be made by telephone.''

Contesting record procedures:

    Delete entry and insert: ``GSA rules for contesting the content of 
a record or appealing the denial of a request to amend a record are in 
41 CFR part 105-64, published in the Federal Register.''
GSA/ADM-24 (23-00-0024)
System name:
    Investigation Case Files.
Security classification:
    Some of the material contained in the system has been classified in 
the interest of national security pursuant to EO 11652.
System location:
    The system is located in the Office of Inspector General, 18th and 
F Streets NW., Washington, DC 20405. The data base for the system, 
known as the Investigative Information System (IIS), is on a local area 
network in room 5315 of the GS Building. The IIS is operated by the 
System Development and Support Division of the Office of Inspector 
General (JPM).
Categories of individuals covered by the system:
    The individuals covered by the system are employees, former 
employees, applicants for employment with GSA, and commissions, 
committees, and small agencies serviced

[[Page 38752]]

by GSA. It includes historical researchers, employees of contractors 
performing custodial or guard services in buildings under GSA control, 
any person who was the source of a complaint or an allegation that a 
crime had taken place, a witness who has information or evidence on any 
side of an investigation, and any possible or actual suspect in a 
criminal, administrative, or civil action.
Categories of records in the system:
    Investigative files contain information such as name, date and 
place of birth, experience, and investigative material. The records are 
used as a basis for issuance of subpoenas, security clearances, 
suitability decisions; and civil, criminal, and administrative actions.
Authority for maintenance of the system:
    5 U.S.C. App. 3, sec. 2 et seq.; Executive Order (EO) 10450, April 
27, 1953; EO 11246, September 24, 1965; EO 11478, August 8, 1969; EO 
11652, March 8, 1972 and 40 U.S.C. secs. 276 a through a-7, 276c, 318 
(a) through (d), and 327 through 331.
Purpose(s):
    The system serves as the basis for deciding employment suitability, 
issuing security clearances and subpoenas; and taking civil, criminal, 
and administrative actions.
Routine uses of records in the system, including categories of users 
and the purposes for such uses:
    The records are used by GSA officials and representatives of other 
Government agencies on a need-to-know basis in performing their 
official duties under the authorities set forth above and for the 
following routine uses.
    1. Records maintained by the Office of Inspector General may be 
disclosed as follows:
    a. A record of any case in which there is an indication of a 
violation of law, whether civil, criminal, or regulatory in nature, may 
be disclosed to the appropriate Federal, State, local, or foreign 
agency charged with the responsibility for investigating or prosecuting 
the violation or charged with enforcing or implementing the law.
    b. A record may be disclosed to a Federal, State, local, or foreign 
agency or to an organization in the course of investigating a potential 
or actual violation of any law, whether civil, criminal, or regulatory 
in nature, or during the course of a trial or hearing or in preparing 
for a trial or hearing on such a violation, if there is reason to 
believe that the agency, individual, or organization possesses 
information related to the investigation and disclosing information is 
reasonably necessary to elicit such information or to obtain the 
cooperation of a witness or an informant.
    c. A record related to a case or matter may be disclosed in an 
appropriate Federal, State, local, or foreign court or grand jury 
proceeding in accordance with established constitutional, substantive, 
or procedural law or practice, even when the agency is not a party to 
the litigation.
    d. A record related to a case or matter may be disclosed to an 
actual or potential party or to his or her attorney for the purpose of 
negotiation or discussion on matters such as settlement of the case or 
matter, plea bargaining, or informal discovery proceedings.
    e. A record related to a case or matter that has been referred by 
an agency for investigation, prosecution, or enforcement or that 
involves a case or matter within the jurisdiction of any agency may be 
disclosed to the agency to notify it of the status of the case or 
matter or of any determination or decision that has been made or to 
make such other inquiries and reports as are necessary during the 
processing of the case or matter.
    f. A record related to a case or matter may be disclosed to a 
foreign country under an international treaty or convention ratified by 
the United states or by Executive agreement.
    g. A record may be disclosed to a Federal, State, local, foreign, 
or international law enforcement agency to assist in crime prevention 
and detection or to provide leads for investigation.
    h. A record may be disclosed to a Federal agency in connection with 
the hiring or retaining of an employee, the issuance of a security 
clearance, the reporting of an investigation of an employee, the 
reporting of an arrest or investigative information or the disposition 
thereof, or an employee received from a State, local, or Federal law 
enforcement unit, the letting of a contract, or the issuing of a 
license, grant, or other benefit by the requesting agency, to the 
extent that the information relates to the requesting agency's decision 
on the matter.
    i. A record may be disclosed to the public, news media, trade 
associations, or organized groups when the purpose is educational or 
informational, such as describing crime trends or a distinctive modus 
operandi, provided the record does not identify a specific individual.
    2. A record may be disclosed to an appeal or grievance examiner, 
formal complaints examiner, equal opportunity investigator, arbitrator, 
or other authorized official engaged in investigation or settlement of 
a grievance, complaint, or appeal filed by an employee. This includes 
matters and investigations involving the Merit Systems Protection Board 
or the Office of Special Counsel. A record may also be disclosed to the 
Untied States Office of Personnel Management under the agency's 
responsibility for evaluating Federal personnel management.
    3. A record may be disclosed to a Member of Congress or to a 
congressional staff member in response to a request from the person who 
is the subject of the record.
    4. Information may be disclosed to the Office of Management and 
Budget for reviewing private relief legislation as set forth in OMB 
Circular No. A-19 at any stage of the legislative clearance process.
    5. A record may be disclosed (a) to an expert, consultant, or 
contractor of GSA engaged in a duty related to an agency function to 
the extent necessary to perform the function and (b) to a physician to 
conduct a fitness-for-duty examination of a GSA officer or employee.
Policies and practices for storing, retrieving, reviewing, retaining, 
and disposing of records in the system:
Storage:
    Paper records are kept in files and file folders, and electronic 
records are stores on hard or floppy disks and on tapes.
Retrievability:
    Paper records are retrievable manually by name from files indexed 
alphabetically and filed numerically by location and incident. 
Electronic records are retrievable by number or letter.
Safeguards:
    Paper records are stored in locked, alarmed vault-type rooms or in 
a locked safe with access limited to authorized persons. Computer-based 
records are available only to authorized users with a need to know and 
are protected by a network logon password, user password, and right of 
access to the software, system (IIS), file, date element, and report.
Retention and Disposal:
    The records are disposed of by shredding or burning, as scheduled 
in the handbook, GSA Records Maintenance and Disposition System (OAD P 
1820.2A).
System manager(s) and address:
    The system manager is an employee of the Investigations Operations

[[Page 38753]]

Division (JIB) of the Office of Inspector General, Room 5321, 18th and 
F Streets, NW., Washington, DC 20405.
Notification procedure:
    An individual who wishes to be notified whether the system contains 
a record concerning him- or herself should address a request to the 
Office of Counsel to the Inspector General (JC), General Services 
Administration, Room 5324, 18th and F Streets, NW., Washington, DC 
20405.
Record access procedure:
    An individual seeking access to a record should put his or her 
request in writing and address it to the Office of Counsel to the 
Inspector General (JC), including full name (maiden name if 
appropriate), address, and date and place of birth. General inquiries 
may be made by telephone.
Contesting record procedure:
    GSA rules for contesting the content of a record or appealing a 
denial of a request to amend a record are in 41 CFR part 105-64, 
codified in the Code of Federal Regulations.
Record source categories:
    The sources are individuals, employees, informants, law enforcement 
agencies, other Government agencies, employers, reference, co-workers, 
neighbors, educational institutions, and intelligence sources.
System exempt from certain provisions of the act:
    Under 5 U.S.C. 552a(j), the record system is exempt from the 
Privacy Act of 1974 except subsections (b); (c) (1) and (2); (e)(4) (A) 
through (F); (e) (6), (7), (9), (10) and (11); and (i) of the Act, to 
the extent that the information in the system relates to enforcing 
criminal laws, including police efforts to prevent, control, or reduce 
crime or to arrest criminals; to the activities of prosecutors, courts, 
and correctional, probation, pardon, or parole authorities; and to (1) 
information compiled to identify criminal offenders and alleged 
offenders and consisting only of identifying data and notations of 
arrests, and nature and disposition of criminal charges, sentencing, 
confinement, release, and parole and probation status; (2) information 
compiled for criminal investigation, including reports of informants 
and investigators that is associated with an identifiable person; or 
(3) reports of criminal law enforcement, from arrest or indictment 
through release from supervision. The system is exempted to maintain 
the efficiency and integrity of law enforcement by the Office of 
Inspector General.
    Under 5 U.S.C. 552a(k), this system of records is exempt from 
subsections (c)(3); (d); (e)(1); (e)(4) (G), (H), and (I) and (f) of 
the Privacy Act of 1974. The system is exempt:
    a. To the extent that the system consists of investigative material 
compiled for law enforcement; however, if any individual is denied any 
right, privilege, or benefit to which he or she would otherwise be 
eligible as a result of maintaining such material, the material will be 
provided to the individual, except to the extent that disclosing it 
would reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, or, before the effective date of the Act, 
under an implied promise that the identity of the source would be held 
in confidence; and
    b. To the extent that the system consists of investigative material 
compiled solely for deciding suitability, eligibility, or qualification 
for Federal civilian employment, military service, Federal contracts, 
or access to classified information, but only to the extent that 
disclosing the material would reveal the identity of a source who 
furnished information to the Government under an express promise that 
the identify of the source would be held in confidence, or, before the 
effective date of the Act, under an implied promise that the identity 
of the source would be held in confidence.
    The system of records has been exempted to maintain the efficiency 
and integrity of lawful investigations conducted under the Office of 
Inspector General's law enforcement responsibilities, and 
responsibilities in the areas of Federal employment, Government 
contracts, and access to security-classified information.

[FR Doc. 96-18946 Filed 7-24-96; 8:45 am]
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