[Federal Register Volume 63, Number 199 (Thursday, October 15, 1998)]
[Notices]
[Pages 55416-55418]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-27717]


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POSTAL SERVICE


Privacy Act of 1974, System of Records

AGENCY: Postal Service.

ACTION: Notice of system of records.

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SUMMARY: This document publishes notice of a proposed Privacy Act 
system of records, USPS 300.010, Office of Inspector General (OIG) 
Investigative File System, which partially duplicates an existing 
Postal Inspection Service file.

DATES: Any interested party may submit written comments on the proposed 
system of records. This proposal will become effective without further 
notice on November 23, 1998, unless comments received on or before that 
date result in a contrary determination.

ADDRESSES: Written comments on this proposal should be mailed or 
delivered to Payroll Accounting/Records, United States Postal Service, 
475 L'Enfant Plaza, SW, Washington, DC 20260-5243. Copies of all 
written comments will be available at the above address for public 
inspection and photocopying between 8 a.m. and 4:45 p.m., Monday 
through Friday.

FOR FURTHER INFORMATION CONTACT: Kirt West (703) 248-2100.

SUPPLEMENTARY INFORMATION: The Postal Service is proposing to establish 
a system of records entitled Office of Inspector General (OIG) 
Investigative File System, 300.010. This proposed system of records 
will cover only the files of investigation which identify by name 
individuals who are subjects or sources of information. The system of 
records is necessary to the functions performed by the Office of 
Inspector General. The files may contain information about civil, 
criminal, or administrative wrongdoing, or about fraud, waste, or 
mismanagement, or other violations of law or regulation. This 
information could be the basis for administrative corrective action or 
referrals to appropriate authorities for prosecution. The collection 
and maintenance of records subject to this system are not new, because 
records of the same type are covered by an existing system, USPS 
080.010, under the jurisdiction of the Chief Postal Inspector, who 
previously also served as the Inspector General. With the establishment 
of an independent Office of Inspector General, system of records 
300.010 is created to cover the investigative activities carried out 
under the authority of the OIG and the records maintained by that 
office. A complete description of system 300.010 appears below.

[[Page 55417]]

    Maintenance of these records is not expected to have a significant 
impact on individual privacy rights. Information will be kept in a 
secured environment, with automated data processing physical and 
administrative security and technical software applied to information 
on computer media. Computers and hard copy records are maintained in a 
secured environment.
    Pursuant to 5 U.S.C. 552a(e)(11), interested persons are invited to 
submit written data, views, or arguments on this proposal. A report on 
the following proposed system has been sent to Congress and the Office 
of Management and Budget for their evaluation.
USPS 300.010

System Name:
    Office of Inspector General-Investigative File System, 300.010.

System Location:
    Office of the Inspector General (OIG): (1) Headquarters, and (2) 
respective OIG field offices (see ADDRESSES at end of system notice).

Categories Of Individuals Covered By The System:
    (a) Subjects of investigations, unsolicited information, 
surveillance; complainants, informants, witnesses; and other 
individuals related to investigations.
    (b) Applicants and current and former Postal Service personnel and 
contractors and individuals providing information related to employment 
suitability checks on those individuals.
    (c) Applicants for and appointees to sensitive positions in the 
Postal Service and individuals providing information related to 
security clearance checks on those individuals.

Categories Of Records In The System:
    Information within this system relates to OIG investigations 
carried out under applicable statutes, regulations, policies, and 
procedures. The investigations may relate to criminal, civil, or 
administrative matters, including personnel suitability and security 
clearance. Generally, investigative case files are physically located 
in the responsible OIG field office or at Headquarters. These files may 
contain investigative reports, background data including arrest 
records, statements of informants and witnesses, laboratory reports of 
evidence analysis, search warrants, summons and subpoenas, and other 
information related to the investigation. Personal data in the system 
may consist of fingerprints, handwriting samples, reports of 
confidential informants, physical identifying data, voiceprints, 
polygraph tests, photographs, and individual personnel and payroll 
information. OIG database systems contain additional or summary 
duplicative case files and other information in support of 
investigations. In addition, OIG Headquarters and field offices 
maintain reference files and indexes, as needed, for quick access in 
day-to-day operations.
    The specific authority for the OIG to investigate postal offenses 
and civil matters relating to the Postal Service is conferred at 39 
U.S.C. 202(e)(1)-(3) and 404(a)(7); 18 U.S.C. 3061; and 5 U.S.C. App 3. 
In the exercise of that authority, the OIG conducts investigations 
under all appropriate federal statutes and administrative rules.

Authority For Maintenance Of The System:
    39 U.S.C. 202 and 404, 18 U.S.C. 3061, and 5 U.S.C. App. 3.

Purpose(s):
    To provide information related to investigation of criminal, civil, 
or administrative matters, including employee and contractor background 
investigations.

Routine Uses Of Records Maintained In The System, Including Categories 
Of Users And The Purposes Of Such Uses:
    General routine use statements a, b, c, d, e, f, g, h, j, k, l, and 
m listed in the prefatory statement at the beginning of the Postal 
Service's published system notices apply to this system. Other routine 
uses are as follows:
    1. When conducting any official investigation or during a trial or 
hearing or the preparation of a trial or hearing, a record may be 
disseminated to an agency, organization, or individual when reasonably 
necessary to elicit information relating to the investigation, trial, 
or hearing or to obtain the cooperation of a witness or informant.
    2. A record relating to a case or matter may be disseminated to a 
federal, state, or local administrative or regulatory proceeding or 
hearing in accordance with the procedures governing such proceeding or 
hearing.
    3. A record relating to a case or matter may be disseminated in an 
appropriate federal, state, local, or foreign court or grand jury 
proceeding in accordance with established constitutional, substantive, 
or procedural law or practice.
    4. A record relating to a case or matter may be disseminated to an 
actual or potential party or his or her attorney for the purpose of 
negotiation or discussion on such matters as settlement of the case or 
matter, plea bargaining, or informal discovery proceedings.
    5. A record relating 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 an agency, may be 
disseminated to such agency to notify the agency of the status of the 
case or matter or of any decision or determination that has been made, 
or to make such other inquiries and reports as are necessary during the 
processing of the case or matter.
    6. A record relating to a person held in custody pending or during 
arraignment, trial, sentence, or extradition proceedings, or after 
conviction may be disseminated to a federal, state, local, or foreign 
prison, probation, parole, or pardon authority, or to any other agency 
or individual involved with the maintenance, transportation, or release 
of such a person.
    7. A record relating to a case or matter may be disseminated to a 
foreign country under an international treaty or convention entered 
into and ratified by the United States or under an executive agreement.
    8. A record may be disseminated to a federal, state, local, 
foreign, or international law enforcement agency to assist in the 
general crime prevention and detection efforts of the recipient agency 
or to provide investigative leads to such agency.
    9. A record from this system may be disclosed to the public, news 
media, trade associations, or organized groups to provide information 
of interest to the public about the activities and the accomplishments 
of the Postal Service or its employees.
    10. A record may be disseminated to a foreign country, through the 
United States Department of State or directly to the representative of 
such country, to the extent necessary to assist such country in 
apprehending or returning a fugitive to a jurisdiction that seeks that 
individual's return.
    11. A record may be disclosed to members of the American Insurance 
Association Index System to provide them with information relating to 
accidents and injuries.

Policies And Practices For Storing, Retrieving, Accessing, Retaining, 
And Disposing Of Records In The System:
Storage:
    Case records are stored in paper folders. Abbreviated, summary, and 
identifying information pertaining to cases and criminal intelligence 
information are stored on computer storage media.

[[Page 55418]]

Retrievability:
    Name of the individual who is the subject of the file.

Safeguards:
    Investigative records are maintained in locked file cabinets, 
safes, or secured areas under the scrutiny of OIG personnel who have 
been subjected to security clearance procedures. Access is further 
restricted by computer passwords when stored in electronic format. 
Automated records can only be accessed through authorized terminals by 
authorized users. Computer software has been designed to protect data 
by controlling access, logging actions, and reporting exceptions and 
violations.

Retention And Disposal:
    (a) Records are maintained 1 to 15 years depending on type. 
Exceptions may be granted for longer retention in specific instances. 
Paper records are destroyed by burning, pulping, or shredding. Computer 
tape/disk records are erased or destroyed.
    (b) Duplicate copies of investigative memorandums maintained by 
postal officials other than OIG are retained in accordance with a 
generally applicable Postal Service retention schedule rather than the 
OIG disposition schedules.

System Manager(s) And Address:
    Inspector General, U.S. Postal Service, 1735 North Lynn St, 
Arlington, VA 22209-2020.

Notification Procedure:
    Individuals wanting to know whether information about them is in 
this system of records or if they were the subject of an investigation 
must furnish the system manager sufficient identifying information to 
distinguish them from other individuals of like name; identifying data 
will contain date of birth, name, address, type of investigation, 
dates, places, and the individual's involvement.

Record Access Procedures:
    Requests for access must be made in accordance with the 
notification procedure above and the Postal Service Privacy Act 
regulations regarding access to records and verification of identity 
under 39 CFR 266.6. The address of the OIG Freedom of Information/
Privacy Acts Officer is 1735 N. Lynn Street, Arlington, VA 22209-2020, 
telephone (703) 248-2300.

Contesting Record Procedures:
    See Notification and Record Access Procedures above.

Record Source Categories:
    Personal interviews, written inquiries, and other records about 
individuals involved with an investigation, whether subjects, 
applicants, witnesses, references, or custodians of record information.

Systems Exempted From Certain Provisions Of The Act:
    The Postal Service has established regulations at 39 CFR 266.9 that 
exempt information contained in this system of records from various 
provisions of the Privacy Act depending on the purpose for which the 
information was gathered and for which it will be used. Compliance with 
the disclosure (5 U.S.C. 552a(d)) and other subsections of the Act are 
not compatible with investigative practice, and would substantially 
compromise the efficacy and integrity of OIG operations. The purposes 
for which records are kept within this system and the exemptions 
applicable to those records are as follows:
    (a) Criminal law enforcement--Under 5 U.S.C. 552a(j)(2), 
information compiled for this purpose is exempt from all the provisions 
of the Act except the following sections: (b), (c)(1) and (2), 
(e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i).
    (b) Noncriminal investigatory--under 5 U.S.C. 552a(k)(2), material 
compiled for law enforcement purposes (and not exempted by 5 U.S.C. 
552a(j)(2)) is exempted from the following provisions of the Act: 
(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f).
    (c) Background investigations--material compiled solely for the 
purpose of a background security investigation is exempted by 5 U.S.C. 
552a(k)(5) from the following provisions of the Act: (c)(3), (d), 
(e)(1), (e)(4)(G), (H) and (I), and (f).

Addresses of Office of Inspector General

Headquarters:
    1735 N. Lynn Street, Arlington, VA 22209-2020
Field Offices:
    St Louis: 1720 Market St, PO Box 78579, St. Louis, MO, 63178-
8579
    Dallas: 101 E McKinney St, PO Box 2144, Denton, TX 76201-2144
    Minneapolis: 1 Federal Dr, PO Box 32, Fort Snelling, MN, 55111-
0032

Stanley F. Mires,
Chief Counsel, Legislative.
[FR Doc. 98-27717 Filed 10-14-98; 8:45 am]
BILLING CODE 7710-12-U