[Federal Register Volume 62, Number 45 (Friday, March 7, 1997)]
[Notices]
[Pages 10580-10582]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-5664]


-----------------------------------------------------------------------

DEPARTMENT OF JUSTICE
[AAG/A Order No. 128-97]


Privacy Act System of Records

    This notice is provided as required by the Privacy Act (5 U.S.C. 
552a). The Department of Justice, Immigration and Naturalization 
Service (INS), is republishing Subsection M. of ``The Immigration and 
Naturalization Service Index System, Justice/INS-001,''--last published 
October 5, 1993 (58 FR 51847)--as a separate system of records to be 
entitled ``Office of Internal Audit Investigations Index and Records, 
JUSTICE/INS-002.'' Subsection M. is being redescribed as a separate 
system of records to improve the clarity and accuracy of the system 
description, e.g., to remove inapplicable routine use disclosure 
provisions and exemptions, re-evaluate and promulgate the appropriate 
exemptions, and add two new routine use disclosure provisions 
identified as C. and H.
    5 U.S.C. 552a(e) (4) and (11) provide that the public be given a 
30-day period in which to comment on new routine use disclosures. The 
Office of Management and Budget (OMB), which has oversight 
responsibilities under the Act, requires a 40-day period in which to 
conclude its review of the proposal.
    Therefore, please submit any comments by April 7, 1997. The public, 
OMB, and the Congress are invited to send written comments to Patricia 
E. Neely, Program Analyst, Information Management and Security Staff, 
Justice Management Division, Department of Justice, Washington, DC 
20530 (Room 850, WCTR Building).
    In accordance with 5 U.S.C. 552a(r), the Department has provided a 
report to OMB and the Congress.

    Dated: February 11, 1997.
Stephen R. Colgate,
Assistant Attorney General for Administration.
JUSTICE/INS-002

SYSTEM NAME:
    Office of Internal Audit Investigations Index and Records

SYSTEM LOCATION:
    Headquarters office, Immigration Naturalization Service (INS), 425 
I Street, NW, Washington, DC In addition, field offices of the INS have 
access only to hardcopy files during an investigation. A complete 
address list is detailed in JUSTICE/INS-999.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    In connection with its investigative duties, the Office of Internal 
Audit (OIA) will maintain records on the following categories of 
individuals:
    (a) Individuals or entities who are or have been the subject of 
inquiries or investigations conducted by the INS including current or 
former employees; current and former consultants, contractors, and 
subcontractors with whom the agency has contracted and their employees; 
and such other individuals or entities whose association with the INS 
relates to alleged violation(s) of the INS' rules of conduct, the Civil 
Service merit system, and/or criminal or civil law, which may affect 
the integrity of the INS.

[[Page 10581]]

    (b) Individuals who are witnesses; complainants; confidential or 
nonconfidential informants; and parties who have been identified by the 
INS or by other Federal Government agencies, or parties to an 
investigation under the jurisdiction of the INS.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information relating to investigations, including:
    a. Letters, memoranda, and other documents citing complaints of 
alleged criminal, civil or administrative misconduct.
    b. Investigative files which include: Reports of investigations to 
resolve allegations of misconduct or violations of law with related 
exhibits, statements, affidavits or records obtained during 
investigations; prior criminal or noncriminal records of individuals as 
they relate to the investigations; reports from or to other law 
enforcement bodies; information obtained from informants and 
identifying data with respect to such informants; nature of allegations 
made against suspects and identifying data concerning such subjects; 
and public source materials.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    (1) Sections 103, 265 and 290 and Title III of the Immigrations and 
Nationality Act (66 Stat. 163), as amended (8 U.S.C. 1103; 8 U.S.C. 
135; 8 U.S.C. 1360), and the regulations pursuant thereto; and (2) 
Inspector General Act of 1978, 5 U.S.C. App., as amended by the 
Inspector General Act Amendments of 1988.

PURPOSE(S):
    The INS OIA will maintain this system of records in order to meet 
its responsibilities as assigned pursuant to the Inspector General Act 
of 1978, 5 U.S.C. App., as amended by the Inspector General Act 
Amendments of 1988. Records in this system are used in the course of 
investigating individuals and entities suspected of having committed 
illegal or unethical acts and in the course of conducting related 
criminal prosecutions, civil proceedings, or administrative actions. 
Further, this system of records is used to monitor case assignment, 
disposition, status, and results.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Relevant information contained in this system of records may be 
disclosed as follows:
    A. To a Member of Congress or staff acting upon the Member's behalf 
when the Member or staff requests the information on behalf of and at 
the request of the individual who is the subject of the record.
    B. To General Services Administration and National Archives and 
Records Administration in records management inspections conducted 
under the authority of 44 U.S.C. 2904 and 2906.
    C. To complainants and/or victims 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 and/or of which they were a victim.
    D. In the event that records indicate a violation or potential 
violation of law, whether arising by general statute or particular 
program statute, or by rule, regulation, or order pursuant thereto, or 
if records indicate a violation or potential violation of the terms of 
a contract or grant, the relevant records may be disclosed to the 
appropriate agency, whether Federal, State, local, foreign, or 
international, charged with the responsibility of investigating or 
prosecuting such contract or grant.
    E. To a Federal, State, local, foreign or international agency, or 
to an individual or organization when necessary to elicit information 
which may assist an INS investigation, inspection or audit.
    F. To a Federal, State, local, foreign, or international agency 
maintaining civil, criminal or other relevant information if necessary 
to obtain information relevant to an INS decision concerning the 
reassignment, promotion or retention of an individual, the issuance or 
revocation of a security clearance, the reporting of an investigaiton 
of an individual, the letting of a contract, or the issuance or 
revocation of a license or other benefit.
    G. To a Federal, State, local, foreign or international agency in 
response to its request in connection with the assignment, hiring or 
retention of an individual, the issuance or revocation of a security 
clearance, the reporting of an investigation of an individual, letting 
of a contract, or the issuance or revocation of a license, grant or 
other benefit by the requesting agency to the extent that the 
information is relevant and necessary to the requesting agency's 
decision on the matter.
    H. To an administrative forum, including forums which may or may 
not include an Administrative Law Judge, and which may or may not 
convene public hearings/proceedings, or to other established 
adjudicatory or regulatory agenices, e.g., the Merit System Protection 
Board, the National Labor Relations Board, or other agencies with 
similar or related statutory responsibilities, where necessary to 
adjudicate decisions affecting individuals who are the subject of OIA 
investigations and/or who are covered by this system, including (but 
not limited to) decisions to effect any necessary remedial actions; 
e.g., the initiation of debt collection activity, disciplinary and/or 
other appropriate personnel actions, and/or other law enforcement 
related actions, where appropriate.
    I. A record, or any facts derived therefrom, may be disseminated in 
a proceeding before a court or adjudicative body before which INS is 
authorized to appear when any of the following is a party to litigation 
or has an interest in litigation and such records are determined by INS 
to be arguably relevant to the litigation: (i.) INS, or any subdivision 
thereof, or (ii.) any employee of INS in his or her official capacity, 
or (iii.) any employee of INS in his or her individual capacity where 
the Department of Justice has agreed to represent the employee, or 
(iv.) the United States, where INS determines that the litigation is 
likely to afford it or any of its subdivisions.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored in locked file cabinets and in a computerized 
environment.

RETRIEVABILITY:
    Generally, records are indexed and retrieved by OIA Case Number, 
Office of the Inspector General (OIG) Case Number, and surnames of the 
individuals covered by the system. These items are cross referenced 
within the data base and can be used alone or in conjunction with each 
other to retrieve a file.

SAFEGUARDS:
    INS offices are located in buildings under security guard, and 
access to premises is by official identification. All records are 
stored in spaces which are locked outside of normal office hours. Many 
records are stored in cabinets or machines which are locked outside of 
normal office hours. Access to the automated system is controlled by 
restricted password for use of remote terminals in secured areas.

RETENTION AND DISPOSAL:
    Records in this system are retained and disposed of in accordance 
with General Records Schedule 22.

[[Page 10582]]

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Office of Internal Audit, Immigration and Naturalization 
Service, 425 I Street, NW Washington, DC 20536.

NOTIFICATION PROCEDURE:
    Inquiries should be addressed to the system manager noted above or 
to the FOIA/PA Officer at the INS office where the record is maintained 
or the FOIA/PA Officer at 425 I Street NW, Washington, DC, 20536.

RECORD ACCESS PROCEDURE:
    The major part of this system is exempted from this requirement 
pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). To the extent that this 
system of records is not subject to exemption, it is subject to access. 
A determination as to the granting or denial of access shall be made at 
the time a request is received. Requests for access to records in this 
system shall be in writing, and should be addressed to the System 
Manager or the appropriate FOIA/PA Officer. Such request may be 
submitted either by mail or in person. If a request for access is made 
in writing, the envelope and letter shall be clearly marked ``Privacy 
Access Request.'' The requester shall include a description of the 
general subject matter and, if known, the related file number. To 
identify a record relating to an individual, the requester should 
provide his or her full name, date and place of birth, verification of 
identity (in accordance with 8 CFR 103.21(b)), and any other 
identifying information which may be of assistance in locating the 
record. The requester shall also provide a return address for 
transmitting the records to be released.

CONTESTING RECORD PROCEDURES:
    The major part of this system is exempted from this requirement 
pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). To the extent that this 
system of records is not subject to exemption, it is subject to access 
and contest. A determination as to the granting or denial of a request 
shall be made at the time a request is received. An individual desiring 
to request amendment of records maintained in the system should direct 
his or her request to the System Manager or the appropriate FOIA/PA 
officer at the INS office where the record is maintained or (if 
unknown) to the INS FOIA/PA Officer at 425 I Street, NW, Washington, DC 
20536. The request should state clearly what information is being 
contested, the reasons for contesting it, and the proposed amendment to 
the information.

RECORD SOURCE CATEGORIES:
    The subjects of investigations; individuals with whom the subjects 
of investigations are associated; current and former INS officers and 
employees; officials of Federal, State, local and foreign law 
enforcement and non-law enforcement agencies; private citizens, 
witnesses; confidential and nonconfidential informants; and public 
source materials.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    The Attorney General has exempted this system from subsections (c) 
(3) and (4); (d); (e) (1), (2), (3), (5) and (8); and (g) of the 
Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, the system 
has been exempted from subsections (c)(3); (d) and (e)(1) pursuant to 5 
U.S.C. 552a(k)(2). Rules have been promulgated in accordance with the 
requirements of 5 U.S.C. 553 (b), (c), and (e) and have been published 
in the Federal Register as additions to Title 28, Code of Federal 
Regulations (28 CFR 16.99).

[FR Doc. 97-5664 Filed 3-6-97; 8:45 am]
BILLING CODE 4410-10-M