[Federal Register Volume 76, Number 178 (Wednesday, September 14, 2011)]
[Notices]
[Pages 56787-56789]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-23340]
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DEPARTMENT OF THE INTERIOR
Bureau of Indian Affairs
Privacy Act of 1974; as Amended; Notice To Amend an Existing
System of Records
AGENCY: Bureau of Indian Affairs, Interior.
ACTION: Notice of amendment to an existing system of records.
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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as
amended, the Department of the Interior (DOI) is issuing a public
notice of its intent to amend Bureau of Indian Affairs (BIA) Privacy
Act system of records, ``Indian Social Services Case Files--Interior,
BIA-8'' to change the name of the system to the ``Financial Assistance
and Social Services--Case Management System, Interior/BIA-8,'' and
update the categories of individuals and records in the system, the
authorities, routine uses, and policies and practices for records
storage and disposition. This system is used to provide services to
individual Indians who apply for and receive social services and direct
assistance from the BIA.
DATE: Comments must be received by October 24, 2011. The amendments to
the system will be effective October 24, 2011.
ADDRESSES: Any person interested in commenting on this notice may do so
by: submitting comments in writing to Willie Chism, Indian Affairs
Privacy Act Officer, 625 Herndon Parkway, Herndon, Virginia 20170;
hand-delivering comments to Willie Chism, Indian Affairs Privacy Act
Officer, 625 Herndon Parkway, Herndon, Virginia 20170; or e-mailing
comments to [email protected].
FOR FURTHER INFORMATION CONTACT: Deputy Bureau Director for Indian
Services, Division of Human Services, 1849 C Street, NW., MS 4513-MIB,
Washington, DC 20240, telephone number (202) 513-7640.
SUPPLEMENTARY INFORMATION:
I. Background
The Bureau of Indian Affairs (BIA) maintains the ``Indian Social
Services Case Files--Interior, BIA-8'' system of records, which it is
renaming the ``Financial Assistance and Social Services--Case
Management System, Interior/BIA-8.'' The purpose of this system is to
provide assistance to individual Indians who apply for and receive
social services and direct assistance from the Bureau of Indian
Affairs. The amendments to the system will include revising the system
name and adding a routine use to comply with 5 U.S.C. 552a(b)(3) of the
Privacy Act for appropriate systems specifically applying to the
disclosure of information in connection with response and remedial
efforts in the event of a data breach. Other amendments to the system
will include updating data in the following fields: System location,
categories of individuals covered by the system; categories of records
in the system; authority for maintenance of the system; routine uses of
records maintained in the system, including categories of users and the
purposes of such uses; policies and practices for storing, retrieving,
accessing, retaining, and disposing of records in the system. This
system notice was last published on August 21, 1990 (55 FR 34085).
The amendments to the system will be effective as proposed at the
end of the comment period (the comment period will end 40 days after
the publication of this notice in the Federal Register), unless
comments are received which would require a contrary determination. DOI
will publish a revised notice if changes are made based upon a review
of the comments received.
II. Privacy Act
The Privacy Act of 1974, as amended (5 U.S.C. 552a), embodies fair
information principles in a statutory framework governing the means by
which Federal Agencies collect, maintain, use, and disseminate
individuals' personal information. The Privacy Act applies to
information that is maintained in a ``system of records.'' A ``system
of records'' is a group of any records under the control of an agency
for which information is retrieved by the name of an individual or by
some identifying number, symbol, or other identifying particular
assigned to the individual. In the Privacy Act, an individual is
defined to encompass U.S. citizens or lawful permanent residents. As a
matter of policy, DOI extends administrative Privacy Act protections to
all individuals. Individuals may request access to their own records
that are maintained in a system of records in the possession or under
the control of DOI by complying with DOI Privacy Act regulations, 43
CFR part 2.
The Privacy Act requires each agency to publish in the Federal
Register a description denoting the type and character of each system
of records that the agency maintains, the routine uses that are
contained in each system in order to make agency record keeping
practices transparent, to notify individuals regarding the uses of
their records, and to assist individuals to more easily find such
records within the agency. Below is the description of the Bureau of
Indian Affairs, Financial Assistance and Social Services--Case
Management System, Interior/BIA-8, system of records.
In accordance with 5 U.S.C. 552a(r), DOI has provided a report of
this system of records to the Office of Management and Budget and to
Congress.
III. Public Disclosure
Before including your address, phone number, e-mail address, or
other personal identifying information in your comment, you should be
aware that your entire comment, including your personal identifying
information, may be made publicly available at any time. While you can
ask us in your comment to withhold your personal identifying
information from public review, we cannot guarantee that we will be
able to do so.
Dated: September 1, 2011.
Willie S. Chism,
Indian Affairs Privacy Act Officer, Assistant Secretary--Indian
Affairs.
SYSTEM NAME:
Financial Assistance and Social Services--Case Management System,
Interior/BIA-8.
SYSTEM LOCATION:
This system is located at the Bureau of Indian Affairs, Office of
Information Operations (OIO), 1011 Indian School Rd., NW., Suite 177,
Albuquerque, NM 87104. Records may also be located in regional offices
providing social services and direct assistance to individual Indians.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have applied for or are receiving social services
or direct
[[Page 56788]]
assistance from the BIA, including children, adults, elderly, and
family members; individuals who provide services such as foster care,
residential care, guardianship, and adoption subsidy; and individuals
who provide services from funeral homes, local businesses and other
Federal, state, local and tribal provider agencies.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains records and information pertaining directly to
individuals including name, Social Security Number, Date of Birth, Date
of Death, Tribal Enrollment Information, Individual Indian Monies (IIM)
Trust Account Information, telephone number, address, aliases, marital
status, financial and educational information, and account number.
Records also includes information on business entities, organizations,
individuals, and Federal, state, local or tribal agencies that provide
social services or assistance to individuals covered by this system.
Other records may include case files and related card files giving
history of social services and direct assistance to individual Indians,
and records concerning individuals which have arisen as a result of
that individual's receipt of payment or overpayment of direct
assistance funds which the individual was not entitled and/or for the
misuse of funds disbursed under the direct entitlement program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
25 U.S.C. 13, the Snyder Act of 1924; 25 CFR part 20, Financial
Assistance and Social Services Program; 25 CFR Part 23, Indian Child
Welfare Act; and 25 CFR Part 115, Trust Funds for Tribes and Individual
Indians.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The purposes of the system are (a) To provide individual records on
social services and direct assistance to individual Indians; (b) to
provide management with an automated information system for program
planning, management utilization, and adequate reporting for
performance and compliance management; (c) to improve the case worker's
productivity and decision-making process by providing more complete
case information, while enabling better resource management; (d) to
automate the application process and case workflow to ensure compliance
with eligibility criteria; (e) to provide adequate tracking and record-
keeping; and (f) to support the financial payments to eligible Indian
clientele.
Disclosures outside DOI may be made without the consent of the
individual to whom the record pertains under the routine uses listed
below:
(1) (a) To any of the following entities or individuals, when the
circumstances set forth in paragraph (b) are met:
(i) The U.S. Department of Justice (DOJ);
(ii) A court or an adjudicative or other administrative body;
(iii) A party in litigation before a court or an adjudicative or
other administrative body; or
(iv) Any DOI employee acting in his or her individual capacity if
DOI or DOJ has agreed to represent that employee or pay for private
representation of the employee;
(b) When:
(i) One of the following is a party to the proceeding or has an
interest in the proceeding:
(A) DOI or any component of DOI;
(B) Any other Federal agency appearing before the Office of
Hearings and Appeals;
(C) Any DOI employee acting in his or her official capacity;
(D) Any DOI employee acting in his or her individual capacity if
DOI or DOJ has agreed to represent that employee or pay for private
representation of the employee;
(E) The United States, when DOJ determines that DOI is likely to be
affected by the proceeding; and
(ii) DOI deems the disclosure to be:
(A) Relevant and necessary to the proceeding; and
(B) Compatible with the purpose for which the records were
compiled.
(2) To a congressional office in response to a written inquiry that
an individual covered by the system, or the heir of such individual if
the covered individual is deceased, has made to the office.
(3) To any criminal, civil, or regulatory law enforcement authority
(whether Federal, state, territorial, local, tribal or foreign) when a
record, either alone or in conjunction with other information,
indicates a violation or potential violation of law--criminal, civil,
or regulatory in nature, and the disclosure is compatible with the
purpose for which the records were compiled.
(4) To an official of another Federal agency to provide information
needed in the performance of official duties related to reconciling or
reconstructing data files or to enable that agency to respond to an
inquiry by the individual to whom the record pertains.
(5) To Federal, state, territorial, local, tribal, or foreign
agencies that have requested information relevant or necessary to the
hiring, firing or retention of an employee or contractor, or the
issuance of a security clearance, license, contract, grant or other
benefit, when the disclosure is compatible with the purpose for which
the records were compiled.
(6) To representatives of the National Archives and Records
Administration to conduct records management inspections under the
authority of 44 U.S.C. 2904 and 2906.
(7) To state and local governments and tribal organizations to
provide information needed in response to court order and/or discovery
purposes related to litigation, when the disclosure is compatible with
the purpose for which the records were compiled.
(8) To an expert, consultant, or contractor (including employees of
the contractor) of DOI that performs services requiring access to these
records on DOI's behalf to carry out the purposes of the system.
(9) To appropriate agencies, entities, and persons when:
(a) It is suspected or confirmed that the security or
confidentiality of information in the system of records has been
compromised; and
(b) The Department has determined that as a result of the suspected
or confirmed compromise there is a risk of harm to economic or property
interest, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs whether maintained by the
Department or another agency or entity that rely upon the compromised
information; and
(c) The disclosure is made to such agencies, entities and persons
who are reasonably necessary to assist in connection with the
Department's efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm.
(10) To the Office of Management and Budget during the coordination
and clearance process in connection with legislative affairs as
mandated by OMB Circular A-19.
(11) To the Department of the Treasury to recover debts owed to the
United States.
(12) To the news media when the disclosure is compatible with the
purpose for which the records were compiled.
(13) To a consumer reporting agency if the disclosure requirements
of the Debt Collection Act, as outlined at 31 U.S.C. 3711(e)(1), have
been met.
(14) To another Federal agency, state or local government, Indian
tribal group, or to any individual or establishment that will have
jurisdiction whether by contract to the BIA, by assumption of trust
responsibilities or by other means,
[[Page 56789]]
for social services programs now controlled by the BIA.
(15) To another Federal agency, state or local government, or
Indian tribal governmental officials responsible for administering
child protective services in carrying out his or her official duties.
(16) To a guardian or guardian ad litem of a child named in the
report.
(17) To another Federal agency, state or local government, or
Indian tribal agencies authorized to care for, treat, or supervise
abused or neglected children whose policies also require confidential
treatment of information.
(18) To members of community child protective teams for the
purposes of establishing a diagnosis, formulating a treatment plan,
monitoring the plan, investigating report of suspected physical child
abuse or neglect and making recommendations to the appropriate court of
competent jurisdiction, whose policies also require confidential
treatment of information.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE:
Records are maintained in paper form in file folders stored in file
cabinets, and electronic media such as personal computers, magnetic
disk, diskette, and computer tapes. The electronic records are
contained in removable drives, computers, email and electronic
databases.
RETRIEVABILITY:
Information within this system can be retrieved by an individual's
first name, last name, Social Security Number, Date of Birth, Date of
Death, Tribal Enrollment Information, IIM Trust Account Information,
telephone number, aliases and account number.
SAFEGUARDS:
Records are maintained in accordance with 43 CFR 2.51, Privacy Act
safeguards for records. Access is provided on a need-to-know basis.
During working hours, paper records are maintained in locked filed
cabinets under the control of authorized personnel.
Electronic records are safeguarded by permissions set to
``Authenticated Users'' which requires password login. The computer
servers in which records are stored are located in Department of the
Interior facilities that are secured by alarm systems and off-master
key access. Access granted to individuals is password protected. The
Department's Privacy Act Warning notice appears on the monitor screens
when users access the System. Backup tapes are stored in a locked and
controlled room, in a secure off-site location. The tapes are kept on
the Data Center floor for several weeks and then shipped to Iron
Mountain, a secure off site location. Access to the Data Center floor
is controlled by key card and only a select number of people have
access. The Security Plan addresses the Department's Privacy Act
minimum safeguard requirements for Privacy Act systems at 43 CFR 2.51.
A Privacy Impact Assessment was conducted to ensure that Privacy Act
requirements and safeguard requirements are met. The assessment
verified that appropriate controls and safeguards are in place.
Personnel authorized to access the system must complete all Security,
Privacy, and Records management training and sign the Rules of
Behavior.
RETENTION AND DISPOSAL:
Paper records are covered by Indian Affairs Records Schedule (IARS)
records series 3600, and have been scheduled as permanent records under
NARA Job No. N1-075-05-1 approved on March 31, 2005. Records are
maintained in the office of records for a maximum of 5 years after the
end of the calendar year in which the case or agreement is closed and
then retired to the American Indian Records Repository which is a
Federal Records Center. In accordance with the Indian Affairs Records
Schedule, the subsequent legal transfer of records to the National
Archives of the United States will be as jointly agreed to between the
United States Department of the Interior and the National Archives and
Records Administration (NARA).
A records retention schedule for the electronic records in this
system is being developed and will be submitted to NARA for scheduling
and approval. Pending approval by NARA, electronic records will be
treated as permanent records. Data backups or copies captured on
magnetic disk, diskette and computer tapes that are maintained
separately from database files are temporary and are retained in
accordance with General Records Schedules (GRS) 20/8 and 24/4(a).
SYSTEM MANAGER AND ADDRESS:
Deputy Bureau Director for Indian Services, Division of Human
Services, 1849 C Street, NW., MS 4513-MIB, Washington, DC 20240.
NOTIFICATION PROCEDURES:
An individual requesting notification of the existence of records
on himself or herself should send a signed, written inquiry to the
System Manager identified above. The request envelope and letter should
both be clearly marked ``PRIVACY ACT INQUIRY.'' A request for
notification must meet the requirements of 43 CFR 2.60.
RECORDS ACCESS PROCEDURES:
An individual requesting records on himself or herself should send
a signed, written inquiry to the System Manager identified above. The
request should describe the records sought as specifically as possible.
The request envelope and letter should both be clearly marked ``PRIVACY
ACT REQUEST FOR ACCESS.'' A request for access must meet the
requirements of 43 CFR 2.63.
CONTESTING RECORDS PROCEDURES:
An individual requesting corrections or the removal of material
from his or her records should send a signed, written request to the
System Manager identified above. A request for corrections or removal
must meet the requirements of 43 CFR 2.71.
RECORD SOURCE CATEGORIES:
The information in the system is obtained from individuals applying
for or receiving social services or direct assistance from BIA;
individuals providing services for foster care, residential care,
guardianship, and adoption subsidy; and individuals providing services
from funeral homes, local businesses, and provider agencies. The
Application for Financial Assistance and Social Services and the
Individual Self-Sufficiency Plan (OMB Control No. 1076-0017), signed by
the client, permits the BIA to gather information from other agencies
and programs, including tribal, local, state, and/or Federal programs
from which the individual received services or assistance.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
[FR Doc. 2011-23340 Filed 9-13-11; 8:45 am]
BILLING CODE 4310-4J-P