[Federal Register Volume 69, Number 82 (Wednesday, April 28, 2004)]
[Notices]
[Pages 23213-23216]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-9647]


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DEPARTMENT OF JUSTICE

[AAG/A Order No. 006-2004]


Privacy Act of 1974; System of Records

AGENCY: Department of Justice.

ACTION: Notice of modified system of records.

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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974 (5 
U.S.C. 552a), the United States Marshals Service (USMS), Department of 
Justice, is issuing public notice of its proposal to modify the system 
of records entitled ``U.S. Marshals Service Prisoner Processing and 
Population Management/Prisoner Tracking System (PPM/PTS), JUSTICE/USM-
005.'' This system of records was last published in the Federal 
Register on November 8, 1999 (64 FR 60836). Title 5 U.S.C. 552a(e)(4) 
and (11) provide that the public be given a 30-day period in which to 
comment on routine uses. The Office of Management and Budget (OMB), 
which has oversight responsibility under the Act, requires a 40-day 
period in which to review the system modifications. The public, OMB and 
Congress are invited to comment on the modifications to this system.

DATES: The proposed changes will be effective June 7, 2004, unless 
comments are received that result in a contrary determination.

ADDRESSES: Submit written comments to the Department of Justice (DOJ), 
ATTN: Mary E. Cahill, Management and Planning Staff, Justice Management 
Division, Washington, DC 20530 (Room 1400, NPB).

FOR FURTHER INFORMATION CONTACT: Mary E. Cahill at (202) 307-1823.

SUPPLEMENTARY INFORMATION: Modifications to the USMS PPM/PTS system of 
records expands the category of individuals covered by the system, 
corrects the office address for the primary system, describes 
additional

[[Page 23214]]

locations of certain records in the system, corrects the Internet 
location of addresses for USMS district offices, clarifies the location 
of certain medical records, clarifies existing routine uses, adds 
certain routine uses, and updates the retrieval, safeguards and 
retention and disposal sections.
    In accordance with 5 U.S.C. 552a(r), the Department has provided a 
report on the modified system to OMB and the Congress. A description of 
this system is reprinted below.

    Dated: April 21, 2004.
Paul R. Corts,
Assistant Attorney General for Administration.
JUSTICE/USM-005

System name:
    U.S. Marshals Service Prisoner Processing and Population 
Management/Prisoner Tracking System (PPM/PTS).

Security classification:
    Limited Official Use.

System location:
    Primary System: Prisoner Services Division, U.S. Marshals Service, 
11th Floor, CS-4, Washington, DC 20530-1000.
    Decentralized Segments: Each district office of the U.S. Marshals 
Service (USMS) maintains only files on prisoners taken into custody of 
the U.S. Marshal for the respective district. The addresses of USMS 
district offices are on the Internet at (http://www.usmarshals.gov).
    Centralized Segment: The Contractor with whom the USMS has 
contracted to establish and manage a nationwide integrated health care 
delivery system and to process and pay medical claims will maintain a 
single site for appropriate paper documents (e.g., invoices) and 
automated files online related to these activities (e.g., names and 
addresses of hospitals, physicians and other health care providers and 
support service systems).
    Medical Records: Records generated by community physicians, 
hospitals, and ancillary support service systems developed by the 
Contractor as participants in the Preferred Provider Network (PPN) to 
deliver health care services for USMS prisoners are maintained by the 
respective offices of these licensed providers. Addresses of these 
licensed providers may be obtained by contacting the USMS Office of 
Interagency Medical Services (OIMS), Prisoner Services Division at the 
address above.

Categories of individuals covered by the system:
    Prisoners taken into custody of the U.S. Marshal and providers of 
prisoner health care services under the USMS Managed Health Care 
Contract.

Categories of records in the system:
    Any and all information necessary to complete administrative 
processes, safekeeping, health care, and disposition of individual 
Federal prisoners who are in custody pending criminal proceedings, 
together with any law enforcement related records generated during such 
custody. Records include a compilation of basic information on each 
prisoner taken into custody of the U.S. Marshal covering identifying 
data, the reason for U.S. Marshal custody (e.g., Federal indictment, 
complaint, or writ), the court disposition of charges, dates of 
custody, and institutions to which committed or housed. Also included 
are Form USM-129, Prisoner Custody, Detention and Disposition Record 
(formerly DJ-100); prisoner photograph; personal history statement; 
fingerprint card; identification record; detainer notice; speedy trial 
notice; prisoner remand or order to deliver prisoner, and receipt for 
U.S. prisoner; property receipt; court records including writs, bail/
bond release information, judgment and commitment and other court 
orders; prisoner alert notice; prisoner complaints or serious incident 
reports (and related investigatory information) filed by either the 
prisoner or by officials or by other individuals at the institution 
where the prisoner is housed and covering a wide range of potentially 
serious issues, e.g., medical treatment of prisoners, and attempted 
escapes or alleged prisoner misconduct or criminal activity; 
designation requests to Bureau of Prisons (BOP) and BOP responses; 
information identifiable to informants, protected witnesses, and 
confidential sources; access codes and data entry codes and message 
routing symbols used to communicate with law enforcement officials 
regarding the custody and safekeeping of prisoners; and prisoner 
transportation requests to the Prisoner Transportation Division (and 
any related records) which may include sensitive security data. Medical 
records included in this system consist of nurses' notes of medical 
problems, diagnosis, treatment recommended; names of health care 
providers at the housing unit, social workers, attorneys, family 
members and USMS contact personnel; special issue or treatment notices; 
names and addresses of community treatment facilities, physicians and 
other community health care providers and support service systems, 
dates of service, provider tax identification numbers; medical care 
given, cost of care, and billing records. Medical records generated by 
health care providers may be included in this system of records, as 
necessary for continuity of care/appropriate care or infectious disease 
control.

Authority for maintenance of the system:
    18 U.S.C. 3149, 3193, 3604, 3621, 4002, 4006, 4086, 4285; 28 U.S.C. 
509, 510, 568, 569; 5 U.S.C. 301; 44 U.S.C. 3101; and 28 CFR 0.111.

Purpose(s):
    The Prisoner Processing and Population Management/Prisoner Tracking 
System (PPM/PTS) is maintained to cover law enforcement and security 
related records which are generated in the local USMS district offices 
in connection with the processing, safekeeping, and disposition of 
Federal prisoners who are in custody pending criminal proceedings. 
Medical records included in this system assist consultation and 
coordination between the USMS district office, the housing unit, 
treatment facility, health care provider, transportation facility, and 
other Federal agencies, e.g., BOP, to ensure that prisoners in custody 
of the U.S. Marshal are given proper treatment. Through USMS nursing 
staff, districts are assisted in determining medical treatment 
necessary while the prisoner is in custody of the U.S. Marshal and in 
ensuring the prisoner's medical clearance for travel.

Routine uses of records maintained in the system, including categories 
of users and purposes of such uses:
    Relevant records or information may be disclosed under subsection 
(b)(3) of the Privacy Act as follows:
    1. To other Federal, State, local or foreign law enforcement 
agencies, contract detention or medical facilities and health care 
providers (1) who provide temporary custody or housing or care of 
prisoners, or who otherwise require information (a) to protect the 
safety and/or health of the prisoners, the public, and of law 
enforcement officials or (b) to otherwise ensure fair and proper 
treatment of prisoners during custody and transfer of custody or (2) 
who may also assist the USMS in pursuing any necessary inquiry/
investigation of complaints, alleged misconduct or criminal activity. 
For example, relevant records or information may be disclosed to secure 
the safe and efficient transfer of prisoners to other jurisdictions, to 
court appearances, or to the designated

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institution for service of sentence; to ensure that appropriate credit 
for time in custody is given; that appropriate medical treatment is 
provided; that all rights of the prisoner, whether statutory, 
humanitarian, or otherwise, are provided and protected; and to elicit 
information from which to initiate an inquiry/investigation and/or 
respond to prisoner complaints and reports of alleged misconduct or 
criminal activity; or, conversely, to enable those entities to respond 
to, or provide information relating to, such prisoner complaints or 
reports of misconduct or criminal activity.
    2. Where a record, either on its face or in conjunction with other 
information, indicates a violation or potential violation of law--
criminal, civil, or regulatory in nature--the relevant records may be 
referred to the appropriate Federal, State, local, foreign, or tribal 
law enforcement authority or other appropriate agency charged with the 
responsibility of investigating or prosecuting such a violation or 
enforcing or implementing such law.
    3. To Federal, state or local public health agencies for infectious 
disease control.
    4. In an appropriate proceeding before a court, or administrative 
or adjudicative body, when the Department of Justice determines that 
the records are arguably relevant to the proceeding; or in an 
appropriate proceeding before an administrative or adjudicative body 
when the adjudicator holds the records to be relevant to the 
proceeding.
    5. To an actual or potential party to litigation or the party's 
authorized representative for the purpose of negotiation or discussion 
on such matters as settlement, plea bargaining, or in informal 
discovery proceedings.
    6. To the news media and the public pursuant to 28 CFR 50.2 unless 
it is determined that release of the specific information in the 
context of a particular case would constitute an unwarranted invasion 
of personal privacy.
    7. 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.
    8. To the National Archives and Records Administration (NARA) in 
records management inspections conducted under the authority of 44 
U.S.C. 2904 and 2906.
    9. To the extent that it is appropriate, relevant and necessary to 
enable the Contractor and/or subcontractor(s) to ensure continuity of 
care/appropriate health care for USMS prisoners, to process and pay 
medical claims, and to carry out program performance evaluation 
responsibilities.
    10. To appropriate officials and employees of a Federal agency or 
entity which requires information relevant to a decision concerning the 
hiring, appointment, or retention of an employee; the issuance, 
renewal, suspension, or revocation of a security clearance; the 
execution of a security or suitability investigation; the letting of a 
contract, or the issuance of a grant or benefit.
    11. To Federal, State, local, tribal, or foreign licensing agencies 
or associations which require information concerning the suitability or 
eligibility of an individual for a license or permit.
    12. A record may be disclosed to designated officers and employees 
of State or local (including the District of Columbia), or tribal law 
enforcement or detention agencies in connection with the hiring or 
continued employment of an employee or contractor, where the employee 
or contractor would occupy or occupies a position of public trust as a 
law enforcement officer or detention officer having direct contact with 
the public or with prisoners or detainees, to the extent that the 
information is relevant and necessary to the recipient agency's 
decision.
    13. To contractors, grantees, experts, consultants, students, and 
others performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for the Federal Government, when 
necessary to accomplish an agency function related to this system of 
records.
    14. The Department of Justice may disclose relevant and necessary 
information to a former employee of the Department for purposes of: 
responding to an official inquiry by a Federal, state, or local 
government entity or professional licensing authority, in accordance 
with applicable Department regulations; or facilitating communications 
with a former employee that may be necessary for personnel-related or 
other official purposes where the Department requires information and/
or consultation assistance from the former employee regarding a matter 
within that person's former area of responsibility.

Policies and procedures for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Information is stored in standard file cabinets. Duplicate copies 
of certain paper and electronic records are stored on magnetic discs.

Retrievability:
    Information is retrieved by name and/or number of prisoner, and/or 
health care provider. Records retrieved by name or number of health 
care provider will consist of the provider's address and, by name and 
number of prisoners treated, claim number, dates of service, nature of 
service, amount billed, USMS amount allowed, amount saved, and 
percentage saved.

Safeguards:
    Paper records are stored in locked files. Access to computerized 
data is restricted through user identification and discrete password 
functions. In addition, USMS district and headquarters offices are 
secured behind locked doors around the clock and access is restricted 
to USMS personnel with official identification.
    All USMS contractors must have personnel security clearances 
commensurate with the highest level of information processed by the 
system, in this case Limited Official Use. Encryption technology shall 
be applied to passwords and symmetric or private asymmetric keys, 
activities of a system administrator or for system maintenance, and 
information stored on laptop computers. All information technology 
systems within a component are subject to the certification and 
accreditation process.

Retention and disposal:
    General prisoner records are kept in active files until a prisoner 
has been transferred from the custody of USMS. After a prisoner leaves 
USMS custody, the file is closed, and at the end of the year, closed 
files are separated from active files. Closed files are maintained for 
one year after separation, then are transferred to a Federal Records 
Center, and are destroyed after 10 years, or sooner, if ordered by the 
Court. This does not apply to records maintained by the Contractor, 
which are discussed below.
    The Contractor will maintain all appropriate paper documents (i.e., 
invoices, etc.) and automated online files for the duration of the 
contract performance. Computer storage media containing Limited 
Official Use information will be overwritten or degaussed prior to 
release of the storage media outside the USMS. At the end of the 
contract, the contractor shall turn over all paper documents and an 
automated file of the database offline to the USMS within two weeks of 
contract expiration. All paper documents and

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automated files of the database will be maintained in accordance with 
the General Records Schedule 6, Item 1a (Accountable Officers' Files), 
as published by NARA, unless a longer retention period is necessary 
because of pending administrative or judicial proceedings.
    The retention and disposal procedures for this system of records 
are in accordance with the NARA disposition authority for the USMS 
which is NI 527-99-1, or the General Records Schedule as appropriate.

System manager(s) and address:
    Assistant Director, Prisoner Services Division, United States 
Marshals Service, 11th Floor, CS-4, Washington, DC 20530-1000.

Notification procedure:
    Same as ``Record access procedures.''

Record access procedures:
    Requests for access must be in writing and should be addressed to 
the System Manager named above, Attention: FOI/PA Officer. The envelope 
and letter should be clearly marked ``Privacy Act Access Request.'' The 
request should include a general description of the records sought and 
must include the requesters's full name, current address, and date and 
place of birth. The request must be signed, dated, and either notarized 
or submitted under penalty of perjury. Some information may be exempt 
from access provisions as described in the section entitled 
``Exemptions Claimed for the System.'' An individual who is the subject 
of a record in this system may access those records that are not exempt 
from disclosure. A determination whether a record may be accessed will 
be made at the time a request is received.

Contesting record procedures:
    Individuals desiring to contest or amend information maintained in 
the system should direct their request to the system manager listed 
above, Attention: FOI/PA Officer, stating clearly and concisely the 
identifying information required above in ``Record access procedures'', 
what information is being contested, the reasons for contesting it, and 
the proposed amendment to the information sought. Some information may 
be exempt from contesting record procedures as described in the section 
entitled ``Exemptions Claimed for the System.'' An individual who is 
the subject of a record in this system may amend those records that are 
not exempt. A determination whether a record may be amended will be 
made at the time a request is received.

Record source categories:
    Information is received from the prisoner, the courts, Federal, 
State, local, tribal and foreign law enforcement agencies, and medical 
care professionals.

Exemptions claimed for the system:
    The Attorney General has exempted this system from subsections 
(c)(3) and (4), (d), (e)(1), (2), (3), (e)(5) and (e)(8) and (g) of the 
Privacy Act pursuant to 5 U.S.C. 552a(j)(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. The rules are 
codified at 28 CFR 16.101(q) and (r).

[FR Doc. 04-9647 Filed 4-27-04; 8:45 am]
BILLING CODE 4410-04-P