[Federal Register Volume 66, Number 222 (Friday, November 16, 2001)]
[Notices]
[Pages 57698-57700]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-28727]


 ========================================================================
 Notices
                                                 Federal Register
 ________________________________________________________________________
 
 This section of the FEDERAL REGISTER contains documents other than rules 
 or proposed rules that are applicable to the public. Notices of hearings 
 and investigations, committee meetings, agency decisions and rulings, 
 delegations of authority, filing of petitions and applications and agency 
 statements of organization and functions are examples of documents 
 appearing in this section.
 
 ========================================================================
 

  Federal Register / Vol. 66, No. 222 / Friday, November 16, 2001 / 
Notices  

[[Page 57698]]



DEPARTMENT OF AGRICULTURE

Animal and Plant Health Inspection Service

[Docket No. 99-024-1]


Privacy Act of 1974, as Amended; Systems of Records

AGENCY: Animal and Plant Health Inspection Service, USDA.

ACTION: Notice of revision of an existing Privacy Act System of 
Records.

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

SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as 
amended (5 U.S.C. 552a), the U.S. Department of Agriculture is updating 
three systems of records managed by the Animal and Plant Health 
Inspection Service. The systems of records being updated are: Plant 
Protection and Quarantine--Regulatory Actions; Veterinary Services--
Animal Quarantine Regulatory Actions; and Veterinary Services--Animal 
Welfare and Horse Protection Regulatory Actions.
    We are combining these three systems of records into one system: 
Investigative and Enforcement Records Regarding Regulatory Activities. 
We are also expanding routine uses of the new combined system of 
records, adding categories of records, and adding categories of 
individuals on whom we maintain records. In addition, we are changing 
the location of the new combined system of records, updating the 
authority for maintaining it, and changing some of the Animal and Plant 
Health Inspection Service's policies and practices for storing, 
retrieving, accessing, retaining, and disposing of records in the new 
combined system.

DATES: The changes covered by this notice will be effective on January 
15, 2002.
    We invite you to comment on this notice. We will consider all 
comments we receive that are postmarked by December 17, 2001. If we 
decide to make changes in this notice based on your comments, we will 
publish another notice in the Federal Register.

ADDRESSES: Please send your comment and three copies to: Docket No. 99-
024-1, Regulatory Analysis and Development, PPD, APHIS, Suite 3C03, 
4700 River Road, Unit 118, Riverdale, MD 20737-1238.
Please state that your comment refers to Docket No. 99-024-1.
    You may read any comments that we receive on this docket in the 
APHIS reading room. The reading room is located in room 1141 of the 
USDA South Building, 14th Street and Independence Avenue, SW., 
Washington, DC. Normal reading room hours are 8 a.m. to 4:30 p.m., 
Monday through Friday, except holidays. To be sure someone is there to 
help you, please call (202) 690-2817.
    APHIS documents published in the Federal Register, and related 
information, including the names of organizations and individuals who 
have commented on APHIS dockets, are available on the Internet at 
http://www.aphis.usda.gov/ppd/rad/webrepor.html.

FOR FURTHER INFORMATION CONTACT: Kimberly Pacheco, APHIS Privacy Act 
Officer, Legislative and Public Affairs, APHIS, 4700 River Road Unit 
50, Riverdale, MD 20737-1232; (301) 734-4893.

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
as amended (5 U.S.C. 552a) (Privacy Act), we must publish a notice in 
the Federal Register advising the public of changes to our systems of 
records. A system of records is a group of any records under the 
control of any agency, from which information is retrieved by the name 
of an individual or by some identifying number, symbol, or other 
identifying particular assigned to an individual.
    The Animal and Plant Health Inspection Service (APHIS) must 
implement the Treasury Offset provisions of the Debt Collection 
Improvement Act of 1996 (Pub. L. 104-134, 110 Stat. 1321-358) (DCIA). 
To do this, we must update APHIS' systems of records to add a new 
routine use. At the same time, we are making various minor changes to 
APHIS' systems of records.
    The Debt Collection Act of 1982, as amended (Pub. L. 97-365, 96 
Stat. 1749), and the DCIA authorize the Federal government to collect 
delinquent debts owed to agencies by using administrative offset. Under 
the DCIA, APHIS must refer debts that are more than 180 days delinquent 
to the Treasury Offset Program (TOP). TOP requires all agencies to 
submit Taxpayer Identification Numbers (TIN's) for all debts referred. 
For individuals, the TIN is the person's social security number; for 
businesses, the TIN is the Employer Identification Number or assigned 
vendor number. When APHIS collects TIN's, we must notify creditors that 
we are collecting the TIN's for debt collection purposes. We must also 
notify creditors that we may disclose information about delinquent 
debtors to Treasury and other officials so the debts can be collected 
through administrative offset.
    APHIS records debts owed to it in several systems of records. APHIS 
records a majority of debts in billings and collections systems 
maintained by the United States Department of Agriculture National 
Finance Center (NFC). We record debts for civil penalties in a separate 
system maintained by APHIS. We transmit a monthly summary of debt 
information to Administrative Billings and Collections (ABCO) at the 
NFC. This ensures that accounting records are accurate.
    NFC updated its system of records, USDASS/OCFO-3, ``Administrative 
Billings and Collections,'' on November 10, 1997, by adding a new 
routine use to implement the Treasury Offset provisions of the DCIA 
(see 62 FR 47622-47623, September 10, 1997.) NFC refers most APHIS 
debts to TOP from the NFC ABCO system. APHIS debts referred to TOP in 
this way are covered by the NFC system of records. However, we want to 
refer debts for civil penalties directly to TOP.
    APHIS currently has seven systems of records. Civil penalties could 
possibly be recorded in five of these systems. These systems are:

USDA-APHIS-1--Plant Protection and Quarantine--Regulatory Actions
USDA-APHIS-3--Veterinary Services--Animal Quarantine Regulatory Actions
USDA-APHIS-4--Animal Welfare and Horse Protection Regulatory Actions
USDA-APHIS-6--Brucellosis Information System and Brucellosis Recording 
and

[[Page 57699]]

Reporting System

USDA-APHIS-8--Veterinary Services--Animal Welfare
    These systems of records need to be updated to account for debt 
records we send to TOP. We are updating three of the systems of records 
in this notice. The systems of records we are updating are those 
concerned with investigative and enforcement services. We will update 
the remaining two systems of records in a later notice.
    As part of our update, we are combining USDA-APHIS-1, USDA-APHIS-3, 
and USDA-APHIS-4 into one system of records. The new combined system of 
records is known as USDA-APHIS-1--Investigative and Enforcement Records 
Regarding Regulatory Activities. Combining the systems of records 
brings all records concerning investigation and enforcement together. 
In addition, we are adding a new routine use--to refer debts to TOP. In 
connection with this new use, we are amending the new combined system 
of records to state that we collect TIN's and maintain data on 
individuals who are indebted to the Federal government and individuals 
whose debts are serviced by APHIS. Information includes names, 
addresses, amounts of indebtedness, amounts of current collections, and 
amounts of total billings. We are also amending the new combined system 
of records to state that we collect names of Investigative Enforcement 
Services investigators assigned to cases. Eventually, these records are 
transferred to a history file, which can be used to answer questions. 
We are also adding references to the Investigative and Enforcement 
Services (IES) Tracking System. The IES Tracking System is a computer 
database developed by APHIS.

Subsequent Notices

    We will consider comments that are received within 60 days of 
publication of this notice in the Federal Register. If we receive any 
comments, we will publish another notice in the Federal Register. The 
notice will include a discussion of any comments we receive and any 
amendments we are making to the System of Records as a result of the 
comments.

Report on New System

    A ``Report on New System,'' required by 5 U.S.C. 552a(r), as 
implemented by Transmittal Memoranda 1 and 3 to OMB Circular A-130, was 
sent to the Chairman, Committee on Governmental Affairs, United States 
Senate; the Chairman, Committee on Government Reform and Oversight, 
House of Representatives; and the Administrator, Office of Information 
and Regulatory Affairs, Office of Management and Budget, on November 9, 
2001.

    Done in Washington, DC, this 4th day of October 2001.
Ann M. Veneman,
Secretary of Agriculture.
USDA-APHIS-1

SYSTEM NAME:
    Investigative and Enforcement Records Regarding Regulatory 
Activities, USDA/APHIS.

SYSTEM LOCATION:
    Investigative and Enforcement Services (IES) Program, USDA, APHIS, 
4700 River Road, Riverdale, MD 20737-1232. The electronic and paper 
files are maintained by IES Offices at headquarters and area offices. 
Hard copy files from which IES will compile its database will be kept 
on file at IES, 4700 River Road, Riverdale, MD, 20737-1232, and at 
APHIS regional IES offices in Raleigh, NC, and Fort Worth, TX. 
Addresses for the regional offices may be obtained from the Director, 
Investigative and Enforcement Services, 4700 River Road, Riverdale, MD, 
20737-1232.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Violators, alleged violators, and witnesses of violations of plant 
protection and quarantine laws, animal quarantine laws, and animal 
welfare and horse protection laws; individuals who have outstanding 
civil penalties; individuals who are indebted to the Federal Government 
and whose debts are serviced by the Animal and Plant Health Inspection 
Service; and IES investigators assigned to cases.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system consists of all paper and electronic investigative files 
on violators and alleged violators and contains copies of names and 
addresses, social security numbers or assigned vendor numbers, type of 
infraction, copies of violation reports, compliance agreements, witness 
statements, warning notices, Office of General Counsel recommendations 
to the Department of Justice (DOJ), court disposition documents, 
complaints, consent decision documents, decisions and orders, and the 
amount of civil penalties assessed by the Department. The automated 
Investigative and Enforcement Services Tracking System contains the 
name and address of each alleged violator, the tracking number assigned 
to the case, social security number or assigned vendor number, type of 
violation, names of witnesses, name of inspector, dates of actions 
taken, status of case, final decision, dollar amount of penalty, name 
of investigator, and sanction information.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    7 U.S.C. 7701-7772; 21 U.S.C. 101-105, 111-134, 7 U.S.C. 2131 et 
seq.; 15 U.S.C. 1821 et seq.; 31 U.S.C. 3711-3719; the records in this 
system are used to issue bills and collect funds due to the Government 
in compliance with the Debt Collection Act of 1982, Pub.L. 97-365, 96 
Stat. 1749, as amended by Pub.L. 98-167, 97 Stat. 1104, and the Debt 
Collection Improvement Act of 1996, Pub.L. 104-134, 110 Stat. 1321; and 
case management information in this system is used to monitor 
compliance with the Government Performance and Results Act of 1996.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (1) Referral to other Federal, State, local or foreign 
investigative, prosecuting, or enforcement agencies, when information 
available indicates a violation or potential violation of law, general 
statute, particular program statute, rule, regulation or order, whether 
civil, criminal or regulatory in nature.
    (2) Disclosure to the DOJ for use in litigation when: (a) The 
Agency, or any component thereof; or (b) any employee of the Agency or 
his or her official capacity where the Department of Justice has agreed 
to represent the employee; or (c) the United States Government, is a 
party to litigation or has an interest in such litigation; and by 
careful review, the Agency determines that the records are both 
relevant and necessary to the litigation and the use of such records by 
the DOJ is therefore deemed by the Agency to be for a purpose that is 
compatible with the purpose for which the records were collected.
    (3) Disclosure to a court or adjudicative body in a proceeding 
when: (a) The Agency or any component thereof; or (b) any employee of 
the Agency in his or her official capacity; or (c) any employee of the 
Agency in his or her individual capacity where the Agency has agreed to 
represent the employee; or (d) the United States Government, is a party 
to litigation or has an interest in such litigation, and by careful 
review, the Agency determines that the records are both relevant and 
necessary to the litigation and the use of such records is therefore 
deemed by the Agency to be for a purpose that is

[[Page 57700]]

compatible with the purpose for which the Agency collected the records.
    (4) Disclosure may be made to a congressional office from the 
record of an individual in response to an inquiry from the 
congressional office made at the request of that individual.
    (5) Information contained in this system of records may be 
disclosed to a debt collection agency when USDA determines such 
referral is appropriate for collecting the debtor's account as provided 
for in US Government contracts with collection agencies executed 
pursuant to 31 U.S.C. 3718.
    (6) Where prior collection efforts have failed, the USDA will refer 
to the Department of the Treasury information from this system of 
records concerning past due legally enforceable debts for offset 
against tax refunds that may become due the debtors for the tax year in 
which referral is made in accordance with IRS regulations at 26 CFR 
301.6402-6T, offset of past-due Legally Enforceable Debt Against 
Overpayment, and under the authority contained in 31 U.S.C. 3720A
    (7) Information contained in this system of records may be 
disclosed to a consumer reporting agency in accordance with 31 U.S.C. 
3711(f).
    (8) Information contained in this system of records, related to 
non-tax debts or claims that are delinquent for 180 days, will be sent 
to the Department of the Treasury or to other Federal agencies 
designated by the Secretary of the Treasury for the purpose of 
offsetting Federal payments to collect delinquent debts, owed to the 
Federal Government. Records will be matched by Taxpayer Identification 
Number (TIN) and name. For an individual, the TIN is the social 
security number. For a business, the TIN is the Employer Identification 
Number. The release of this information is in accordance with 31 U.S.C. 
3716 and 4 CFR part 102.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Case files are maintained in file folders in file drawers, computer 
printouts, magnetic tape, and in the databases in the Investigative and 
Enforcement Services Tracking System.

RETRIEVABILITY:
    Records can be accessed by alleged violator's name, name of 
business if other than alleged violator's name, and violation case 
number.

Safeguards:
    Records, both paper and electronic, are accessible only to 
authorized personnel. Multiple security measures are in place to 
prevent outsiders from entering the system.

Retention and disposal:
    Records are transferred to the Federal Records Center for storage 
and disposition in accordance with General Services Administration 
regulations. Master history and magnetic tapes are retained in 
accordance with tape library management schedule.

System manager(s) and address:
    Director, Investigative and Enforcement Services, USDA, APHIS, 4700 
River Road, Riverdale, MD 20737-1232.

Notification procedure:
    Any individual may request information regarding this system of 
records or request information on whether the system contains records 
pertaining to him/her from the system manager. A request for 
information pertaining to an individual should be in writing and should 
contain: name, address, social security number or assigned vendor 
number, and particulars involved.

Record access procedures:
    Any individual may obtain information from a record in the system 
which pertains to him/her by submitting a written request to the 
Privacy Act Officer, LPA, USDA, APHIS, 4700 River Road, Riverdale, MD, 
20737-1232.

Contesting record procedures:
    Any individual may contest information contained within a record in 
the system which pertains to him/her by submitting a written request to 
the system manager.

RECORD SOURCE CATEGORIES:
    Information in this system comes primarily from USDA employees or 
other investigative personnel.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    This system has been exempted pursuant to 5 U.S.C. 552(a)(k)(2) 
from the requirements of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 
(H), and (I) and (f). See 7 CFR 1.23. Individual access to these 
records would impair investigations and alert subjects of 
investigations that their activities are being scrutinized, and thus 
allow them time to take measures to prevent detection of illegal action 
to escape prosecution. Any individual who believes, however, that he or 
she has been denied any right, privilege or benefit for which he or she 
would otherwise be eligible as a result of the maintenance of such 
material may request access to the material. Such requests should be 
addressed to the APHIS Privacy Act Officer, LPA, USDA, APHIS, 4700 
River Road, Riverdale, MD 20737-1232.
[FR Doc. 01-28727 Filed 11-15-01; 8:45 am]
BILLING CODE 3410-34-U