[Privacy Act Issuances (1997)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF JUSTICE
Office of the Attorney General
JUSTICE/OAG-001
System name: General Files System of the Office of the Attorney
General.
System location:
Office of the Attorney General, United States Department of
Justice, 10th and Constitution Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
The system encompasses individuals who relate to official Federal
investigations, policy decisions, and administrative matters of such
significance that the Attorney General maintains information indexed
to the name of that individual including, but not limited to,
subjects of litigation, targets of investigations, Members and staff
members of Congress, upper-echleon government officials, and
individuals of national prominence or notoriety.
Categories of records in the system:
Records may include case files, litigation materials, exhibits,
internal memoranda or reports, or other records on a given subject or
individual. Records vary in number and kind according to the breadth
of the Attorney General's responsibilities (28 CFR 0.05) and are
limited to those which are of such significance that the Attorney
General has investigative, policy, law enforcement, or administrative
interest. An index to these records is described under the caption
''Retrievability.''
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be disclosed 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 privacy.
These records may be disclosed to a Member of Congress or staff
acting on the Member's behalf when the Member or staff requests the
information for investigative or policy decisionmaking purposes or to
provide constituent assistance.
These records may be disclosed to members of the judicial branch
of the Federal Government in response to a specific request where
disclosure appears relevant to the authorized function of the
recipient judicial office or court system.
These records may be disclosed to any civil or criminal law
enforcement authorities, whether Federal, State, local or foreign,
which require information relevant to a civil or criminal
investigation.
These records may be disclosed to the National Archives and
Records Administration (NARA) in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
These records may be disclosed to officials and employees of the
White House or any Federal agency which requires information relevant
to an agency decision concerning the hiring, appointment, or
retention of an employee, the issuance of a security clearance, the
conducting of a security or suitability investigation, the
classifying of a job, or the issuance of a grant or benefit.
These records may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the eligibility or suitability of an individual for a
license or permit.
These records may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Associate Attorney
General is authorized to appear when (a) the Office of the Attorney
General, or any subdivision thereof, or (b) any employee of the
Office of the Attorney General in his or her official capacity, or
(c) any employee of the Office of the Attorney General in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where the Office of
the Attorney General determines that the litigation is likely to
affect it or any of its subdivisions, is a party to litigation or has
an interest in litigation and such records are determined by the
Office of the Attorney General to be arguably relevant to the
litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in paper folders and on index cards. As of May
1982, the index record is also stored on magnetic disks.
Retrievability:
Records created before 1975 are indexed and retrieved manually by
subject title. Records created since 1975 are indexed and retrieved
manually by subject title, individual's name, the Department
component which created the record, and by name of the Attorney
General under whose administration the records were created. As of
May 1982 records may also be retrieved through a computerized
indexing system.
Safeguards:
Records are maintained in locked cabinets stored in a locked room
or, in the case of those records that are classified, in safes or
vaults stored in a locked room. The computer is also maintained in a
locked room. The computer has a key lock and may be accessed only by
persons with a Top Secret clearance by use of a code.
Retention and disposal:
Records are kept indefinitely.
System manager(s) and address:
Special Assistant to the Attorney General, Office of the Attorney
General, United States Department of Justice, 10th and Constitution
Avenue NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the system manager. These records will
be exempted from subsections (c) (3) and (4); (d); (e) (1), (2) and
(3), (e)(4) (G) and (H), (e)(5); and (g) of the Privacy Act pursuant
to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), and (k)(5).
Record access procedures:
Make all requests for access to records from this system in
writing to the system manager and clearly mark both the letter and
the envelope ``Privacy Act Request.''
Contesting record procedures:
Make all requests to contest or amend information maintained in
the system in writing to the system manager. State clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment(s) to the information.
Record source categories:
Sources of information contained in this system include
individuals, State, local and foreign government agencies as
appropriate, the executive and legislative branches of the Federal
Government, and interested third parties.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4); (d); (e) (1), (2), and (3), (e)(4) (G) and (H),
(e)(5); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2),
(k)(1), (k)(2), and (k)(5). 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. These exemptions apply only to the
extent that information in a record pertaining to a particular
individual relates to official Federal investigations and law
enforcement matters. Those files indexed under an individual's name
which concern policy formulation or administrative matters are not
being exempted pursuant to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2) or
(k)(5).
DEPARTMENT OF JUSTICE
Office of the Associate Attorney General
JUSTICE/AAG-001
System name: General Files System of the Office of the Associate
Attorney General.
System location:
Office of the Associate Attorney General, United States
Department of Justice, 10th and Constitution Avenue, NW, Washington,
DC 20530.
Categories of individuals covered by the system:
The system encompasses individuals who relate to official federal
investigations, policy decisions and administrative matters of such
significance that the Associate Attorney General maintains
information indexed to the name of that individual including, but not
limited to, subjects of litigation, targets of investigations,
Members and staff members of Congress, upper-echelon government
officials, and individuals of national prominence or notoriety.
Categories of records in the system:
Records may include case files, litigation materials, exhibits,
internal memoranda and reports, or other records on a given subject
or individual. Records vary in number and kind according to the
breadth of the Associate Attorney General's responsibilities (28 CFR
0.10) and are limited to those which are of such significance that
the Associate Attorney General has investigative, policy, law
enforcement, or administrative interest. An index record containing
the subject title and/or individual's name is also maintained in the
form of a paper logging system.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be disclosed 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 privacy.
These records may be disclosed to a Member of Congress or staff
acting on the Member's behalf when the Member or staff requests the
informaton for investigative or policymaking purposes or to provide
constituent assistance.
These records may be disclosed to members of the judicial branch
of the Federal Government in response to a specific request where
disclosure appears relevant to the authorized function of the
recipient judicial office or court system.
These records may be disclosed to any civil or criminal law
enforcement authorities, whether Federal, State, local, or foreign,
which requires information relevant to a civil or criminal
investigation.
These records may be disclosed to the National Archives and
Records Administration (NARA) in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
These records may be disclosed to officials and employees of the
White House or any Federal agency which requires information relevant
to an agency decision concerning the hiring, appointment, or
retention of an employee, the issuance of a security clearance, the
conducting of a security or suitability investigation, the
classifying of a job, or the issuance of a grant or benefit.
These records may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the eligibility or suitability of an individual for a
license or permit.
These records may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Associate Attorney
General, is authorized to appear when (a) the Office of the Associate
Attorney General, or any subdivision thereof, or (b) any employee of
the Office of the Associate Attorney General in his or her official
capacity, or (c) any employee of the Office of the Associate Attorney
General in his or her individual capacity where the Department of
Justice has agreed to represent the employee, or (d) the United
States, where the Office of the Associate Attorney General determines
that litigation is likely to affect it or any of its subdivisions, is
a party to litigation or has an interest in litigation and such
records are determined by the Office of the Associate Attorney
General to be arguably relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in paper folders. An index record containing
the subject title and/or individual's name is also maintained in the
form of a paper logging system.
Retrievability:
By subject title or individual's name.
Safeguards:
Records are maintained in locked cabinets stored in a locked room
or, in the case of those records that are classified, in safes or
vaults stored in a locked room.
Retention and disposal:
Records are kept indefinitely.
System manager(s) and address:
Deputy Associate Attorney General, Office of the Associate
Attorney General, United States Department of Justice, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the system manager. These records will
be exempted from subsections (c)(3) and (4); (d); (e)(1), (2) and
(3), (e)(4)(G) and (H), (e)(5); and (g) of the Privacy Act pursuant
to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), and (k)(5).
Record access procedures:
Make requests for access to records from this system in writing
to the system manager, and clearly mark both the letter and envelope
``Privacy Act Request.''
Contesting record procedures:
Make all requests to contest or amend information maintained in
the system in writing to the system manager. State clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment(s) to the information.
Record source categories:
Source of information contained in this system include
individuals, State, local and foreign government agencies as
appropriate, the executive and legislative branches of the Federal
Government, and interested third parties.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4); (d); (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5);
and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2), (k)(1),
(k)(2), and (k)(5). 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. These exemptions apply only to the
extent that information in a record pertaining to a particular
individual relates to official Federal investigations and law
enforcement matters. Those files indexed under an individual's name
which concern policy formulation or administrative matters are not
being exempted pursuant to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), or
(k)(5).
DEPARTMENT OF JUSTICE
Office of the Deputy Attorney General
JUSTICE/DAG-003
System name: Drug Enforcement Task Force Evaluation and
Reporting System of the Office of the Associate Attorney General.
System location:
Office of the Associate Attorney General, United States
Department of Justice, 10th and Constitution Avenue, NW, Washington,
DC 20530.
Categories of individuals covered by the system:
The system encompasses individuals who are the subjects of
official Federal investigations of the drug task force.
Categories of records in the system:
Records consist of case initiation and indictment records, and
monthly reporting and sentencing forms regarding potential or actual
targets of investigation of the drug task force.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301 and 21
U.S.C. 841.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be disclosed 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 privacy.
These records may be disclosed to a Member of Congress or staff
acting on the Member's behalf when the Member or staff requests the
information for investigative or policymaking purposes or to provide
constituent assistance.
These records may be disclosed to members of the judicial branch
of the Federal Government in response to a specific request where
disclosure appears relevant to the authorized function of the
recipient judicial office or court system.
These records may be disclosed to any civil or criminal law
enforcement authorities, whether Federal, State, local, or foreign,
which require information relevant to a civil or criminal
investigation.
These records may be disclosed to the National Archives and
Records Administration (NARA) in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
These records may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the eligibility or suitability of an individual for a
license or permit.
These records may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Associate Attorney
General is authorized to appear when (a) the Office of the Associate
Attorney General, or any subdivision thereof, or (b) any employee of
the Office of the Associate Attorney General in his or her official
capacity, or (c) any employee of the Office of the Associate Attorney
General in his or her individual capacity where the Department of
Justice has agreed to represent the employee, or (d) the United
States, where the Office of the Associate Attorney General determines
that litigation is likely to affect it or any of its subdivisions, is
a party to litigation or has an interest in litigation and such
records are determined by the Office of the Associate Attorney
General to be arguably relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
All records are stored in paper folders. All records, with the
exception of indictment forms, are stored also on magnetic disks.
Retrievability:
Records are generally retrieved by case number. Records may be
retrieved by individual name or name of criminal organization.
Safeguards:
Paper folders are stored in a combination safe which is inside a
locked room. This room is part of a locked suite of offices. The
magnetic disks and computer are located in the same room; the
computer has a key lock. Only those persons with a Top Secret
clearance may actually access the computer by using a code.
Retention and disposal:
Records are kept indefinitely.
System manager(s) and address:
Staff Director, Drug Enforcement Task Force, Office of the
Associate Attorney General, 10th and Constitution Avenue, NW,
Washington, DC 20530.
Notification procedure:
Address all inquiries to the system manager. These records will
be exempted form subsections (c) (3) and (4); (d); (e) (1), (2) and
(3), (e)(4) (G) and (H), (e)(5); and (g) of the Privacy Act pursuant
to 5 U.S.C. 552a(j)(2) and (k)(2).
Record access procedures:
None.
Contesting record procedures:
None.
Record source categories:
Sources of information contained in this system include Federal,
State, and local government agencies as appropriate, informants, and
interested third parties.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4); (d); (e) (1), (2) and (3), (e)(4) (G) and (H),
(e)(5); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2)
and (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.
JUSTICE/DAG-004
System name: Honor Program Applicant System.
System location:
Office of the Deputy Attorney General, United States Department
of Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
The system encompasses third year law students who will be honor
graduates of law schools and law clerks of federal judges who file
applications for attorney positions in the Department.
Categories of records in the system:
These records consist of items supplied by the applicant, such as
resumes, completed Civil Service forms, applications forms, and
transcripts of grades, items supplied by third parties such as
letters of recommendation, and items supplied by the Department such
as acceptance or rejection letters and interview evaluation sheets.
Authority for maintenance of the system:
This system is established and maintained pursuant to 5 U.S.C.
301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are made available within the Department for
recruitment purposes and may be made available to other federal
agencies, at their request, for recruitment purposes.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of information to civil or criminal law enforcement
agencies: Information may be disclosed to any civil or criminal law
enforcement agency, whether Federal, State, local, or foreign, which
requires information relevant to a civil or criminal investigation.
Release of information to agencies regarding the hiring or
retention of employees: Information may be disclosed to official and
employees of the White House or any Federal agency which requires
information relevant to an agency decision concerning the hiring,
appointment, or retention of an employee; the issuance of a security
clearance; the execution of a security of suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
Release of information to Federal, State, and local licensing
agencies: Information may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Release of information before a court or adjudicative body:
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General (ODAG) is authorized to appear when (a) ODAG, or any
subdivision thereof, or (b) any employee of ODAG in his or her
official capacity, or (c) any employee of ODAG in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where ODAG
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by ODAG to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in paper folders.
Retrievability:
Information is retrieved in various ways, depending upon the age
of the record. Initially, the records are indexed by the name of the
applicant's law school, then by the names of the applicants according
to their ranking by interviewers. Therefore, to locate an
individual's file, it is necessary to know both the name of the
individual and his or her law school. After the Department's annual
attorney hiring is completed, these files are transferred to the
control of the Associate Deputy Attorney General. His staff then
places the files in alphabetical order by name and stores them.
Safeguards:
These records are maintained in cabinets stored in a locked room.
Retention and disposal:
These records are maintained and stored for two years and then
destroyed if the applicant is not offered a position with the
Department or rejects an offered position. If a position is accepted
by the applicant, his folder is transferred to another system.
System manager(s) and address:
Honor Program Director, Office of the Deputy Attorney General,
United States Department of Justice, 10th and Constitution Avenue,
NW, Washington, DC 20530.
Notification procedure:
Same as the System Manager.
Record access procedures:
A request for access to a record from this system may be made in
person or in writing to the System Manager. Any written request
should clearly be marked `Privacy Access Request' on both the letter
and envelope.
Contesting record procedures:
Individual desiring to contest or amend information maintained in
the system should direct their request to the System Manager and
clearly and concisely state what information is being contested, the
reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Sources of information contained in this system are as noted in
Categories of Records.
Systems exempted from certain provisions of the act:
None.
JUSTICE/DAG-005
System name: Master Index File of Name.
System location:
Office of the Deputy Attorney General, United States Department
of Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
This system encompasses all individuals having file folders
contained in the following systems of records; Appointed Assistant
U.S. Attorneys Personnel System, Assistant U.S. Attorney Applicant
Records, Presidential Appointee Candidate Records System,
Presidential Appointee Records System, Special Candidates for
Presidential Appointments Records System, and U.S. Judges Records
System, dating from 1932 until the present.
Categories of records in the system:
This system consists of file cards containing an individual's
date of birth, date of entry on duty in Federal Service, date of
termination of Federal Service, notes as to the disposition of his
records folder, and title.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These cards contain information used solely for Department
internal purposes.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from system of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) is records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of information to civil or criminal law enforcement
agencies: Information may be disclosed to any civil or criminal law
enforcement agency, whether Federal, State, local, or foreign, which
requires information relevant to a civil or criminal investigation.
Release of information to agencies regarding the hiring or
retention of employees: Information may be disclosed to officials and
employees of the White House or any Federal agency which requires
information relevant to an agency decision concerning the hiring,
appointment, or retention of an employee; the issuance of a security
clearance; the execution of a security or suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
Release of information to Federal, State, and local licensing
agencies: Information may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Release of information before a court or adjudicative body:
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General (ODAG) is authorized to appear when (a) ODAG, or any
subdivision thereof, or (b) any employee of ODAG in his or her
official capacity, or (c) any employee of ODAG in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where ODAG
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by ODAG to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained on file cards.
Retrievability:
Information is retrieved by using the name of the individual, as
these cards are filed alphabetically.
Safeguards:
These cards are kept in file drawers stored in a locked room.
Retention and disposal:
These cards are retained indefinitely, except in the instance of
cards relating to applicants for attorney positions within the
Department. If the applicant is rejected, his card is destroyed after
two years.
System manager(s) and address:
Associate Deputy Attorney General, Office of the Deputy Attorney
General, United States Department of Justice, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the System Manager.
Record access procedures:
A request for access to these records should be directed orally
or in writing to the System Manager. When requests are in writing,
the envelope and letter should clearly be marked ``Privacy Access
Request.''
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager,
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Information contained in this system is obtained from the
individual's records folder.
Systems exempted from certain provisions of the act:
None.
JUSTICE/DAG-006
System name: Presidential Appointee Candidate Records System.
System location:
Office of the Deputy Attorney General, United States Department
of Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
This system encompasses all individuals who are brought to the
attention of the Department of Justice as potential candidates for
appointment as United States Judges, United States Attorneys, or
United States Marshals.
Categories of records in the system:
As to any particular individual, the number and kind of records
may vary according to the qualifications of the individual. Thus,
these records, in some instances, contain merely single letters from
the individual himself or some other person recommending his
consideration for one of the positions mentioned in the Categories of
individuals. The records may also contain biographical sketches of
the individual supplied either by the individual himself or the
person recommending him. If the individual is under serious
consideration for nomination for appointment, a confidential
evaluation of his qualifications for the position will be in his
folder. Also present may be completed background investigations on
the individual. Letters, if any are received, protesting the
individual's potential appointment may also be in the folder. Also
present would be any information supplied by the individual or any
other letters of recommendation.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The routine uses of these records vary with the amount of
consideration given to nominating the individual for appointment. In
some instances, the records are stored, reviewed by Department
personnel, and destroyed as outlined under Retention and Disposal.
The candidate's entire record folder would be sent to the President
upon his request. After a candidate is nominated and his nomination
is pending Senate confirmation, the background investigation is
routinely provided to Chairman of the Senate Judiciary Committee. The
fact that the candidate was being considered for appointment would be
made known to the references supplied by the candidate and others
contacted. Information about the candidate, as then known, might be
supplied to contacted individuals as necessary to verify already
obtained information or to seek elaboration of that information.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration. A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of information to civil or criminal law enforcement
agencies: Information may be disclosed to any civil or criminal law
enforcement agency, whether Federal, State, local, or foreign, which
requires information relevant to a civil or criminal investigation.
Release of information to agencies regarding the hiring or
retention of employees: Information may be disclosed to officials and
employees of the White House or any Federal agency which requires
information relevant to an agency decision concerning the hiring,
appointment, or retention of an employee; the issuance of a security
clearance; the execution of a security or suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
Release of information to Federal, State, and local licensing
agencies: Information may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Release of information before a court or adjudicative body:
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General (ODAG) is authorized to appear when (a) ODAG, or any
subdivision thereof, or (b) any employee of ODAG in his or her
official capacity, or (c) any employee of ODAG in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where ODAG
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by ODAG to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in paper folders.
Retrievability:
Information is retrieved from this system by reference first to
the office, indexed geographically or by the circuit or district, for
which the individual is being considered, and then alphabetically by
name of the candidate.
Safeguards:
These records are stored in cabinets which are kept in a locked
room.
Retention and disposal:
These records are kept for five years and then destroyed, unless
the individual receives the appointment. In that event, his
individual record is transferred to another records system.
System manager(s) and address:
Associate Deputy Attorney General, Office of the Deputy Attorney
General, United States Department of Justice, 10th and Constitution
Avenue NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the System Manager. These records will
be exempted from subsections (d)(1) and (e)(1) of section 552a,
Title, United States Code, by the Attorney General under the
authority of 5 U.S.C. 552a(k)(5) to the extent therein permitted.
Record access procedures:
A request for access to non-exempt portions of records from this
system should be directed orally or in writing to the Associate
Deputy Attorney General. When requests are in writing, the envelope
and letter should clearly be marked ``Privacy Access Request.''
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the Associate Deputy
Attorney General stating clearly and concisely what information is
being contested, the reasons for contesting it, and the proposed
amendment(s) to the information.
Record source categories:
Non-exempt sources of information in this system include the
general public, the candidates themselves, government agencies where
appropriate, and any other interested party.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(d)(1) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
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.
JUSTICE/DAG-007
System name: Presidential Appointee Records System.
System location:
Office of the Deputy Attorney General, United States Department
of Justice, 10th and Constitution Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
The system encompasses the following: Department of Justice
Presidential appointees and retired, resigned, or deceased
appointees.
Categories of records in the system:
This system of records consists of records folders which may
contain up to five sections. The personnel section includes such
items as biographical sketches, qualification statements, completed
Civil Service forms if applicable, letters recommending appointment,
notifications of appointment, and other personnel-related matters.
The character section contains completed or portions of ongoing
background investigations and matters related thereto. The
Congressional section contains Congressional and other political type
recommendations regarding appointment. The protest section contains
correspondence, if any exists, protesting the appointment of
candidates. The complaint section contains correspondence from
individuals or groups complaining about office holders.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Generally, these records are used only for internal Department of
Justice purposes. Prior to appointment, routine uses would include
those specified for the Presidential Appointee Candidate Records
System. If an appointee leaves the Department, information contained
in his personnel folder might be used as the basis for answering
inquiries from prospective employers about his qualifications and
performance. The personnel section of his folder would be made
available to other federal agencies, at their request, upon the
transfer of the appointee to such an agency.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of information to civil or criminal law enforcement
agencies: Information may be disclosed to any civil or criminal law
enforcement agency, whether Federal, State, local, or foreign, which
requires information relevant to a civil or criminal investigation.
Release of information to agencies regarding the hiring or
retention of employees: Information may be disclosed to officials and
employees of the White House or any Federal agency which requires
information relevant to an agency decision concerning the hiring,
appointment, or retention of an employee; the issuance of a security
clearance; the execution of a security or suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
Release of information to Federal, State, and local licensing
agencies: Information may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Release of information before a court or adjudicative body:
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General (ODAG) is authorized to appear when (a) ODAG, or any
subdivision thereof, or (b) any employee of ODAG in his or her
official capacity, or (c) any employee of ODAG in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where ODAG
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by ODAG to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in paper folders.
Retrievability:
Information is retrieved by using the name of the individual who
is the subject of the folder.
Safeguards:
These records are stored in cabinets which are kept in a locked
room.
Retention and disposal:
The personnel section of these records is retained indefinitely
at the Office of the Deputy Attorney General, except in the instance
of an appointee who resigns or dies, in which case that section is
sent to the St. Louis Records Center for indefinite storage. All
other sections of the folders, in the instance where an appointee
dies or resigns, are sent to the Suitland, Maryland Records Center
for storage for five years and then destroyed.
System manager(s) and address:
Associate Deputy Attorney General, Office of the Deputy Attorney
General, United States Department of Justice, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the System Manager. These records will
be exempted from subsections (d)(1) and (e)(1) of section 552a, Title
5, United States Code, by the Attorney General under authority of 5
U.S.C. 552a(k)(5) to the extent therein permitted.
Record access procedures:
A request for access to non-exempt portions of records from this
system should be directed orally or in writing to the System Manager.
When requests are in writing, the envelope and letter should clearly
be marked ``Privacy Access Request.''
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager,
stating clearly and concisely what information is being contested the
reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Non-exempt sources of information contained in this system
include the general public, the subjects of the records themselves,
government agencies when appropriate, and any other interested party.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(b)(1) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
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.
JUSTICE/DAG-008
System name:
Special Candidates for Presidential Appointments and Noncareer
SES Positions Records System.
System location:
Office of the Deputy Attorney General, United States Department
of Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
The system encompasses all individuals under consideration for
presidential appointments as division heads, deputy division heads,
or noncareer SES positions in the Department of Justice.
Categories of records in the system:
The system of records consists of personnel folders which may
contain up to a total of four sections. The personnel section
contains records such as resumes, letters of recommendation, and
related personnel matters. The character section contains completed
and portions of ongoing background investigations and matters related
thereto. The Congressional section contains Congressional and other
political type recommendations regarding appointment. The protest
section contains correspondence, if any exists, protesting the
appointment of candidates. The majority of these personnel folders
contain only the personnel section.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Purpose(s):
Records are maintained in this system to assist the President,
White House officials or employees, the Congress, and/or Department
of Justice officials in obtaining information necessary to determine
the qualifications and suitability of candidates for the positions of
Department of Justice division head, deputy division head or
noncareer SES.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Relevant information from this system may be disclosed as
indicated below: The routine uses of these records vary with the
amount of consideration given to nominating, clearing or selecting
the candidate for appointment. In some instances, the records are
stored, reviewed by designated Department personnel, and destroyed as
outlined under Retention and Disposal. The candidate's record folder,
or a portion thereof, may be provided to the White House. The fact
that the candidate was being considered for appointment would be made
known to the references supplied by the candidate and others
contacted. Information about the candidate, as then known, might be
supplied to such references and/or such contacted individuals as
necessary to verify already obtained information or to seek
elaboration of that information.
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available 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.
Information not otherwise required to be released pursuant to 5
U.S.C. 552 may be made available 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.
A record from this system of records may be disclosed as a
routine use to the General Services Administration and the National
Archives and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
In the event that a record(s) in this system 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, or foreign agency charged with the
responsibility for investigating or prosecuting such violation or
charged with enforcing or implementing such law. Information may be
disclosed to officials and employees of the White House or any
Federal agency which requires information relevant to an agency
decision concerning the hiring, appointment, or retention of an
employee; the issuance of a security clearance; the execution of a
security or suitability investigation; the classification of a job;
or the issuance of a grant or benefit.
Information may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General (ODAG) is authorized to appear when (a) ODAG or any
subdivision thereof, or (b) any employee of ODAG in his or her
official capacity, or (c) any employee of ODAG in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where ODAG
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such record is determined by ODAG to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in paper holders.
Retrievability:
Information is retrieved by the name of individuals seeking
appointment as the files are arranged alphabetically by same.
Safeguards:
These records are in cabinets in a locked room.
Retention and disposal:
In the event a candidate is not nominated or selected for
appointment, his record is maintained for five years and then
destroyed. If the candidate is appointed, his records are transferred
to the Presidential Appointee Records System.
System manager(s) and address:
Associate Deputy Attorney General, Office of the Deputy Attorney
General, United States Department of Justice, 10th and Constitution
Avenue NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the System Manager. These records will
be exempted from subsections (d)(1) and (e)(1) of sections 552a,
title 5, United States Code, by the Attorney General under the
authority of 5 U.S.C. 552a(k)(5) to the extent therein permitted.
Record access procedure:
A request for access to non-exempt portions of records from this
system should be directed orally or in writing to the System Manager.
When requests are in writing, the envelope and letter should clearly
be marked ``Privacy Access Request.''
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager,
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Sources of information include the general public, the subjects
of the records themselves, government agencies when appropriate, and
parties who know the record subject.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(d)(1) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
Rules have been promulgated in accordance with the requirement of 5
U.S.C. 553(b), (c) and (e) and have been published in the Federal
Register.
JUSTICE/DAG-009
System name: Summer Intern Program Records System.
System location:
Office of the Deputy Attorney General, United States Department
of Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
All individuals who submit applications for the Department's
Summer Intern Program for Law Students.
Categories of records in the system:
The system of records consists of items such as completed Civil
Service forms, law school grade transcripts, letters of
recommendation, and completed Summer Law Intern Applications.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used by Department personnel for recruitment
purposes. However, in the case of an applicant with regard to whom
the Department has decided not to extend an offer of employment, his
or her application and Civil Service forms might be referred to
another agency, upon its request, for that agency's recruitment
purposes.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of infomation to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available to a Member of Congress or staff acting
upon the Department's behalf of and at the request of the individual
who is the subject of the record.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of information to civil or criminal law enforcement
agencies: Information may be disclosed to any civil or criminal law
enforcement agency, whether Federal, State, local, or foreign, which
requires information relevant to a civil or criminal investigation.
Release of information to agencies regarding the hiring or
retention of employees: Information may be disclosed to officials and
employees of the White House or any Federal agency which requires
information relevant to an agency decision concerning the hiring,
appointment, or retention of an employee; the issuance of a security
clearance; the execution of a security or suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
Release of information to Federal, State, and local licensing
agencies: Information may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Release of information before a court or adjudicative body:
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General (ODAG) is authorized to appear when (a) ODAG, or any
subdivision thereof, or (b) any employee of ODAG in his or her
official capacity, or (c) any employee of ODAG in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where ODAG
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by ODAG to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stapled together.
Retrievability:
Information is retrieved by use of the applicant's name, as these
records are filed by use of the first letter of the applicant's last
name.
Safeguards:
These records are maintained in cabinets stored in a locked room.
Retention and disposal:
These records are retained, in the case of applicants who are not
offered positions, for one year and then destroyed. In the case of
accepted applicants, their records enter the Civil Service system.
System manager(s) and address:
Associate Deputy Attorney General, Office of the Deputy Attorney
General, United States Department of Justice, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to these records should be directed orally
or in writing to the System Manager. When requests are in writing,
the envelope and letter should clearly be marked `Privacy Access
Request'.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager,
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Information contained in this system is obtained from the
applicant and references provided by him.
Systems exempted from certain provisions of the act:
None.
JUSTICE/DAG-010
System name: United States Judge and Department of Justice
Presidential Appointee Records.
System location:
Office of the Deputy Attorney General, United States Department
of Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
This system encompasses all United States Judges and all
Department of Justice Presidential Appointees.
Categories of records in the system:
A. 1. Card index relating to United States Judges which includes
name, salary, Congress of appointment, State of birth, political
party (if voluntarily provided), religion (if voluntarily provided),
and American Bar Association rating.
2. Information on the above mentioned card index, except
religion, is also maintained on word processing equipment.
B. Cross index of judges' names and districts.
C. Roster of districts showing the dates of duty of district
court judges and Department of Justice Presidential Appointees,
indexed alphabetically by name.
D. Book of commissions of United States Judges and Department of
Justice Presidential Appointees in order by date of appointment and
indexed alphabetically by name.
E. Nomination book showing the name of the nominated Judge or
Department of Justice Presidential Appointee, the date the proposed
nomination was sent to the White House, the date the nomination was
made to the Senate, the date of confirmation, the date of
appointment, and the date of entrance on duty. This book is in
chronological order, and is indexed alphabetically by name of the
nominee.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are maintained to make responses to public
inquiries regarding these individuals noted in Categories of
individuals (the political party and religion of an appointee is not
released), and for Department internal purposes.
Release of information to the new media: Information permitted to
be released to the news media and the public pursuant to 28 CFR 50.2
may be made available from system of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available to a Member of Congress or staff acting
upon the Member's behalf when the Member or staff requests the
inforation on behalf of and at the request of the individual who is
the subject of the record.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of information to civil or criminal law enforcement
agencies: Information may be disclosed to any civil or criminal law
enforcement agency, whether Federal, State, local, or foreign, which
requires information relevant to a civil or criminal investigation.
Release of information to agencies regarding the hiring or
retention of employees: Information may be disclosed to officials and
employees of the White House or any Federal agency which requires
information relevant to an agency decision concerning the hiring,
appointment, or retention of an employee; the issuance of a security
clearance; the execution of a security or suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
Release of information to Federal, State, and local licensing
agencies: Information may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Release of information before a court or adjudicative body:
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General (ODAG) is authorized to appear when (a) ODAG, or any
subdivision thereof, or (b) any employee of ODAG in his or her
official capacity, or (c) any employee of ODAG in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where ODAG
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by ODAG to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are kept on cards, in folders, in books, or on
diskettes.
Retrievability:
Information is retrieved by those data elements identified in the
``Categories of Records in the System'' section of this notice.
Safeguards:
Biological sketches and diskettes are kept in a locked safe. All
other information is kept in cabinets or card files.
Retention and disposal:
This information is maintained indefinitely.
System manager(s) and address:
Associate Deputy Attorney General, Office of the Deputy Attorney
General, United States Department of Justice, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure:
Same as the above.
Record access procedures:
A request of access to these records should be directed orally or
in writing to the System Manager. When requests are in writing the
envelope and letter should clearly be marked ``Privacy Access
Request.''
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager,
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Information contained in this system is obtained from the
individuals who are the subjects of the records and from other
Department of Justice records.
Systems exempted from certain provisions of the act:
None.
JUSTICE/DAG-011
System name: Miscellaneous Attorney Personnel Records System.
System location:
Office of the Deputy Attorney General United States Department of
Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons who applied to or are employed by the Department of
Justice as attorneys and are not included within another OAAG system.
Categories of records in the system:
This system of records consists of records folders which may
contain up to a total of four sections. The personnel section
contains records such as resumes, letter of recommendation, law
school grade transcripts, completed Civil Service forms, and related
personnel matters. The character section contains completed or
portions of ongoing background investigations and matters related
thereto. The Congressional section contains Congressional and other
political type recommendations regarding appointment. The protest
section contains correspondence, if any exists, protesting the
appointment of applicants. The complaint section contains
correspondence from individuals or groups complaining about office
holders and may contain matters relating to the disposition of those
complaints. Rarely does a personnel folder contain more than the
personnel and character sections.
Authority for maintenance of the system:
The records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used only by Department of Justice personnel.
Information contained in a folder may be used as the basis for
answering future inquiries from other government agencies about a
former employee's qualifications. The personnel section may be made
available to other federal agencies, at their request, upon the
transfer of an employee to such an agency.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of information to civil or criminal law enforcement
agencies: Information may be disclosed to any civil or criminal law
enforcement agency, whether Federal, State, local, of foreign, which
requires information relevant to a civil or criminal investigation.
Release of information to agencies regarding the hiring or
retention of employees: Information may be disclosed to officials and
employees of the White House or any Federal agency which requires
information relevant to an agency decision concerning the hiring,
appointment, or retention of an employee; the issuance of a security
clearance; the execution of a security or suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
Release of information to Federal, State, and local licensing
agencies: Information may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Release of information before a court or adjudicative body:
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General (ODAG) is authorized to appear when (a) ODAG, or any
subdivision thereof, or (b) any employee of ODAG in his or her
official capacity, or (c) any employee of ODAG in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where ODAG
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by ODAG to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in paper folders.
Retrievability:
Information is retrieved by use of an individual's name, as the
folders are filed alphabetically by name.
Safeguards:
These records are maintained in cabinets stored in a lockable
room.
Retention and disposal:
These records are retained until the subjects of the files resign
or otherwise leave their offices for non-federal employment. In that
instance, the personnel section is sent to the St. Louis Records
Center for an indefinite period. If the individual transfers to
another agency of the Federal government, the personnel section is
sent to the gaining agency. All other sections of the folder are
destroyed six months after the individual leaves office. The entire
folders of individuals who were applicants and were not offered
employment or did not accept employment with the Department are
destroyed one year after final action is taken on the application.
System manager(s) and address:
Associate Deputy Attorney General, Office of the Deputy Attorney
General, United States Department of Justice, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the System Manager. These records will
be exempted from subsections (d)(1) and (e)(1) of section 552a, Title
5, United States Code, by the Attorney General under the authority of
5 U.S.C. 552a(k)(5) to the extent therein permitted.
Record access procedures:
A request for access to non-exempt portions of records from this
system should be directed orally or in writing to the System Manager.
When requests are in writing, the envelope and letter should clearly
be marked ``Privacy Access Request.''
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager,
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Non-exempt sources of information contained in this system
include the individuals who are the subjects of the records,
government agencies as appropriate, and interested third parties.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(d)(1) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
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.
JUSTICE/DAG-013
System name: General Files System of the Office of the Deputy
Attorney General.
System location:
Office of the Deputy Attorney General, United States Department
of Justice, 10th and Constitution Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
The system encompasses individuals who relate to official Federal
investigations, policy decisions, and administrative matters of such
significance that the Deputy Attorney General maintains information
indexed to the name of that individual, including, but not limited
to, subjects of litigation, targets of investigations, Members and
staff members of Congress, upper-echelon government officials, and
individuals of national prominence or notoriety.
Categories of records in the system:
Records may include case files, litigation materials, exhibits,
internal memoranda and reports, or other records on a given subject
or individual. Records vary in number and kind according to the
breadth of the Deputy Attorney General's responsibilities (28 CFR
0.15) and are limited to those which are of such significance that
the Deputy Attorney General has investigative, policy, law
enforcement, or administrative interest. An index to these records is
described under the caption ``Retrievability.''
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be disclosed 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 privacy.
These records may be disclosed to a Member of Congress or staff
acting on the Member's behalf when the Member or staff requests the
information for investigative or policy decisionmaking purposes or to
provide constituent assistance.
These records may be disclosed to members of the judicial branch
of the Federal Government in response to a specific request where
disclosure appears relevant to the authorized function of the
recipient judicial office or court system.
These records may be disclosed to any civil or criminal law
enforcement authorities, whether Federal, State, local, or foreign,
which require information relevant to a civil or criminal
investigation.
These records may be disclosed to the National Archives and
Records Administration (NARA) in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
These records may be disclosed to officials and employees of the
White House or any Federal agency which requires information relevant
to an agency decision concerning the hiring, appointment, or
retention of an employee, the issuance of a security clearance, the
conducting of a security or suitability investigation, the
classifying of a job, or the issuance of a grant or benefit.
These records may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the eligibility or suitability of an individual for a
license or permit.
These records may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General is authorized to appear when (a) the Office of the Deputy
Attorney General, or any subdivision thereof, or (b) any employee of
the Office of the Deputy Attorney General in his or her official
capacity, or (c) any employee of the Office of the Deputy Attorney
General in his or her individual capacity where the Department of
Justice has agreed to represent the employee, or (d) the United
States, where the Office of the Deputy Attorney General determines
that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by the Office of the
Deputy Attorney General to be arguably relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in paper folders and on index cards. As of
April, 1982, the index record is also stored on magnetic disks.
Retrievability:
Deputy Attorney General records created prior to 1973 were
incorporated into Attorney General files, and are retrievable from
the index to the General Files System of the Office of the Attorney
General. Records created by the Office of the Deputy Attorney General
since 1973 are indexed and retrieved manually by use of the subject
title, individual's name, or Department component which created the
record. As of April 1982, records may also be retrieved through a
computerized logging system.
Safeguards:
Records are maintained in locked cabinets stored in a locked room
or, in the case of those records that are classified, in safes or
vaults stored in a locked room. The computer is also maintained in a
locked room. The computer has a key lock and may be accessed only by
persons with a Top Secret clearance by use of a code.
Retention and disposal:
Records are kept indefinitely.
System manager(s) and address:
Associate Deputy Attorney General, Office of the Deputy Attorney
General, United States Department of Justice, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the system manager. These records will
be exempted from subsections (c) (3) and (4); (d); (e) (1), (2), and
(3), (e)(4) (G) and (H), (e)(5); and (g) of the Privacy Act pursuant
to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), and (k)(5).
Record access procedures:
Make all requests for access to records from this system in
writing to the system manager, and clearly mark both the letter and
envelope ``Privacy Act Request.''
Contesting record procedures:
Make all requests to contest or amend information maintained in
the system in writing to the system manager. State clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment(s) to the information.
Record source categories:
Sources of information contained in this system include
individuals, State, local and foreign government agencies as
appropriate, the executive and legislative branches of the Federal
Government, and interested third parties.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4); (d); (e) (1), (2), and (3), (e)(4) (G) and (H),
(e)(5); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2),
(k)(1), (k)(2), and (k)(5). Rules have been promulgated in accordance
with the requirement of 5 U.S.C. 553(b), (c) and (e) and have been
published in the Federal Register. These exemptions apply only to the
extent that information in a record pertaining to a particular
individual relates to official Federal investigations and law
enforcement matters. Those files indexed under an individual's name
and which concern policy formulation or administrative matters are
not being exempted pursuant to 5 U.S.C. 552(j)(2), (k)(1), (k)(2) or
(k)(5).
DEPARTMENT OF JUSTICE
Office of Community Oriented Policing Services
JUSTICE/COPS-001
System name:
Police Corps System, Justice/COPS-001.
System location:
Records may be retained at the U.S. Department of Justice
(``DOJ''), Office of Community Oriented Policing Services (``COPS''),
Office of the Police Corps and Law Enforcement Education, 1100
Vermont Ave., NW., Washington, DC 20530.
Categories of individuals covered by the system:
Individuals who have applied for educational scholarships under
the Police Corps Program; individuals who have been approved to
receive such scholarships; and individuals who either are receiving,
or have received, funds provided under the Police Corps Program.
Categories of records in the system:
Included are any records which may assist COPS in its
administration of the Police Corps Program. Records may include an
individual's name; Social Security number; current residence and
telephone number; financial data; scholarship application and
associated forms; personal, professional and demographic background
information (including age, race and gender); educational background
and achievements; progress reports; designated police department
assignment; and employment record within the assigned police
department. Records may also include those generated as a result of a
scholarship recipient's failure to serve in a designated agency or
otherwise fulfill the terms of the agreement (e.g. amounts due;
status of claim; history of claim; and other records relevant to the
scholarship recipient's failure to fulfill the terms of the
agreement).
Authority for maintenance of the system:
This system of records is established and maintained under the
authority of 5 U.S.C. 552a and 42 U.S.C. 14095, 14097, 14102.
Purpose(s):
The purpose of the Police Corps System of Records is to support
COPS in its administration of the Police Corps program which provides
educational scholarships to students in exchange for their commitment
to serve in a designated police department upon graduation. It will
enable COPS to monitor the progress of the Police Corps program and
its scholarship recipients, to maintain records on and to verify that
all of the scholarship applicants and/or recipients have provided
accurate background information, to calculate and verify amounts of
educational assistance to be awarded, to process scholarship-related
payments, and to select the State agencies which will participate in
the Police Corps program. It will also allow COPS to pursue the
collection of debts associated with the granting of scholarships.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Relevant information may be used by Department of Treasury
personnel in the processing of scholarship-related payments.
2. Relevant records may be disclosed, as appropriate, to
designated State agencies to assist them in recruiting, screening and
matching individuals with an appropriate police department.
3. Relevant records may be disclosed to contractors and
subcontractors to the extent necessary to perform the required law
enforcement training, administrative tasks, technical installations,
maintenance operations and/or other similar duties.
4. In the event that a record(s) indicates a violation or a
potential violation of the law, whether civil, criminal or regulatory
in nature, the relevant records may be disclosed to the agency
charged with enforcing or implementing such law.
5. Relevant records may be disclosed to a court or adjudicative
body before which DOJ is authorized to appear when any of the
following is a party to the litigation or has an interest in the
litigation, and such records are determined by COPS to be arguably
relevant to the litigation: (a) COPS or any subdivision thereof; (b)
any COPS or other DOJ employee in his or her official capacity; (c)
any COPS or other DOJ employee in his or her individual capacity
where DOJ has agreed to represent the employee; or (d) the United
States, where COPS has determined that the litigation is likely to
affect it or any of its subdivisions.
6. Relevant records may be disclosed to an actual or potential
party or to his or her attorney for the purpose of negotiation or
discussion on such matters as settlement of the case or matter, or
informal discovery proceedings.
7. Relevant records may be disclosed to a Federal agency in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the reporting of an investigation of any
employee, the letting of a contract, or the issuance of a license,
grant or other benefit by the requesting agency, to the extent that
the information relates to the requesting agency's decision on the
matter.
8. Relevant records may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
9. Relevant records may be disclosed to the National Archives and
Records Administration and the General Services Administration for
use in records management inspections conducted under the authority
of 44 U.S.C. 2904 and 2906.
10. Relevant records may be disclosed to other Federal or State
agencies as specified in applicable law or implementing regulations.
11. Relevant records may be disclosed to the news media and the
public pursuant to 28 CFR 50.2 unless it is determined that the
release of the specific information in the context of a particular
case would constitute an unwarranted invasion of personal privacy.
12. Relevant records may be disclosed 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.
13. Relevant records may be disclosed to the Internal Revenue
Service to obtain addresses which may be used to locate a scholarship
recipient, including delinquent scholarship recipients; or, where
appropriate, to obtain information such as will enable COPS to assess
and verify the ability of a delinquent scholarship recipient to repay
debts owed to the Federal Government, e.g., information as to whether
a scholarship applicant has a delinquent tax account, or a tax refund
due.
14. Relevant records may be provided to another Federal agency to
effect either a salary offset or an authorized administrative offset
to a delinquent account in order to collect debts owed to the Federal
Government; or, when other collection efforts have failed, to the IRS
to effect an offset against Federal income tax refund due, but only
after due process requirements have been met.
15. Relevant records may be disclosed to any third party who may
possess the information such as the U.S. Post Office, a State motor
vehicle administration, a professional organization, an alumni
association, etc., to obtain a current mailing address of the
scholarship recipient, including delinquent scholarship recipients,
in order to locate such individual(s).
16. Relevant records may be disclosed to a Federal, State, local,
or foreign agency, or to an individual or organization, if there is
reason to believe that such agency, individual, or organization
possesses information relating to the debt, the identity or location
of the debtor, the debtor's ability to pay, or relating to any other
matter which is relevant and necessary to the settlement, effective
litigation and enforced collection of the debt, or relating to the
civil action trial or hearing, and the disclosure is reasonably
necessary to elicit such information or to obtain the cooperation of
a witness or an agency.
17. Addresses obtained from the IRS may be redisclosed as
follows:
(a) To debt collection agencies (or agents), but only for the
purpose of locating an individual(s) to collect or compromise a
claim;
(b) To consumer reporting agencies as part of the information
provided under subsection (b)(12) (described below) which is directly
related to the identity of the debtor.
Disclosure to consumer reporting agencies:
In accordance with section 3711(f) of Title 31 (as authorized
under subsection (b)(12) of the Privacy Act (5 U.S.C. 552a)):
Information may be disclosed to a consumer reporting agency (as
defined by 15 U.S.C. 1681a(f) and 31 U.S.C. 3701(a)(3)) where such
information is directly related to the identity of the debtor, i.e.,
name, address, and taxpayer ID (SS#), together with the amount,
status, and history of claim, and agency or program under which claim
arose, for the purpose of encouraging repayment of overdue debts,
e.g., to provide an incentive for delinquent scholarship recipients
to repay Federal Government debts by making these debts a part of
their credit records. Such disclosure may be made only when a claim
is overdue and only after due process steps have been taken to notify
the delinquent recipient and give him or her a chance to meet the
terms of the debt. Prior to such disclosure, satisfactory assurances
will be obtained from such consumer reporting agency concerning
compliance by that agency with the Fair Credit Reporting Act (15
U.S.C. 1681 et seq.) and any other Federal law governing the
provisions of consumer credit information.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information may be stored on electronic media via a configuration
of personal computers, servers and mainframes, using hard disks,
floppy diskettes, magnetic tape, compact disks, and/or optical disks.
Documentary records will be maintained in file folders.
Retrievability:
Records will be retrievable by identifying an individual's name;
Social Security number; police department assignment; educational
institution; or other identifying number or characteristic.
Safeguards:
Information will be safeguarded in accordance with U.S.
Department of Justice rules and policies governing the security and
access to automated information systems. These safeguards include the
use of passwords and user identification codes to limit access only
to authorized personnel in the performance of their official duties
with respect to the Police Corps program. Additionally, paper records
will be stored in secured areas to prevent unauthorized access.
Moreover, any individual who has access to the system of records will
be required to protect the information from public view and from
unauthorized use.
Retention and disposal:
Records will be retained and/or destroyed in accordance with U.S.
Department of Justice rules and policies. The retention and
destruction schedule for these records in pending approval.
Computerized records will be destroyed by shredding, degaussing,
etc., and documentary records will be destroyed by shredding.
System manager(s) and address:
Director, Office of Community Oriented Policing Services, Office
of the Police Corps and Law Enforcement Education, 1100 Vermont
Avenue, NW, Washington, DC 20530.
Notification procedure:
Please direct any inquiries concerning the system of records,
including questions relating to whether the system contains
information about you, to the System Manager identified above.
Record access procedures:
Address requests in writing to the System Manager identified
above, and provide a reasonable description of the record being
sought.
Contesting record procedures:
Address requests in writing to the System Manager identified
above and provide a reasonable description of the record; state
clearly and concisely the information being contested, the reasons
for requesting the correction, and the proposed amendment to the
information. In addition, provide supporting information to show how
the record is inaccurate, incomplete, untimely, or irrelevant.
Record source categories:
All information contained in the system of records is obtained
from the individuals covered by the system; their educational
institutions; consumer reporting agencies; designated State agencies;
other Federal agencies, including but not limited to the IRS and the
U.S. Postal Service; and third parties who serve as references for
the individual.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
JUSTICE --001
System name:
Accounting Systems for the Department of Justice (DOJ)
System location:
Justice Management Division, 10th St. and Constitution Ave., NW.,
Washington, DC 20530; Central Offices of the Bureau of Prisons (BOP)
and Federal Prison Industries (FPI) at 320 1st St., NW., Washington,
DC 20534; and at any BOP/FPI Regional Offices and/or any of the BOP/
FPI facilities at addresses provided in 28 CFR part 503; Headquarters
of the Drug Enforcement Administration (DEA), Office of Finance, 700
Army Navy Drive, Arlington, VA, 22202; and at DEA field offices as
detailed in Justice/DEA-999; Federal Bureau of Investigation (FBI)
Headquarters at 935 Pennsylvania Ave., NW, Washington, DC 20535; and
at FBI field offices as detailed in Justice/FBI-999; Headquarters of
the Immigration and Naturalization Service (INS) at 425 I Street,
NW., Washington, DC 20536; and at INS Regional and District Offices,
Administrative Centers, Service Centers, and other INS file control
offices as detailed in Justice/INS-999; Office of Justice Programs
(OJP), 810 7th Street, NW, Washington, DC 20531; U.S. Marshals
Service (USMS), 600 Army Navy Drive, Arlington, Virginia 22202; and
at 94 district offices of the U.S. Marshals Service (USMS) as
detailed in Justice/USM-999.
Categories of individuals covered by the system:
Individuals/persons (including DOJ employees; and including
current and former inmates under the custody of the Attorney General)
who are in a relationship, or who seek a relationship, with the DOJ
or component thereof--a relationship that may give rise to an
accounts receivable, an accounts payable, or to similar accounts such
as those resulting from a grantee/grantor relationship. Included may
be:
(a) Those for whom vouchers (except payroll vouchers for DOJ
employees) are submitted to DOJ requesting payment for goods or
services rendered including vendors, contractors, experts, witnesses,
court reporters, travelers, and employees;
(b) Those to whom the DOJ is indebted or who may have a claim
against the DOJ, including those named in (a) above;
(c) Those who are indebted to DOJ, e.g., those receiving goods,
services, or benefits from DOJ; those who are liable for damage to
Government property; those indebted for travel/transfer advances and
overpayments; and those owing administrative fees and/or assessments;
and
(d) Those who apply for DOJ benefits, funds, and grants.
Categories of records in the system:
All documents used to reserve, obligate, process, and effect
collection or payment of funds, e.g., vouchers (excluding payroll
vouchers), invoices; purchase orders; travel advances, travel/
transfer vouchers and other such documentation reflecting information
about payments due to or made to; claims made by, or debts owed by
the individuals covered by this system, including fees, fines,
penalties, overpayments, and/or other assessments.
Authority for maintenance of the system:
31 U.S,C. 3512; 44 U.S.C. 3101.
Purpose(s):
This system of records is used by DOJ officials to maintain
information adequate to ensure the financial accountability of the
individuals covered by this system; provide an accounting and
reporting of DOJ financial activities; meet both internal and
external audit and reporting requirements; maintain an accounts
receivable and accounts payable; and otherwise administer these and
any other related financial and accounting responsibilities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
DOJ may disclose relevant information as follows:
(1) To the Secretary of the Treasury to effect disbursement of
authorized payments;
(2) To any Federal agency or to any individual or organization
for the purpose of performing audit or oversight operations of the
DOJ and to meet related reporting requirements;
(3) To a Federal, State, or local agency, or tribal authority, in
connection with the hiring or retention of an employee; the issuance
of a security clearance; the reporting of an investigation of an
employee; the letting of a contract; or the issuance of a license,
permit, grant or other benefit by the requesting agency, to the
extent that the information relates to the requesting agency's
decision on the matter;
(4) To the appropriate agency (whether Federal, State, local,
foreign, or tribal authority) charged with the responsibility of
investigating or prosecuting violations or potential violations of
law, or charged with enforcing or implementing the related statute,
rule, regulation or order issued pursuant thereto, but only where the
record, either on its face or in conjunction with other information,
indicates such a violation or potential violation of law (whether
civil, criminal or regulatory in nature);
(5) To an actual or potential party or to his or her attorney for
the purpose of negotiation or discussion on such matters as
settlement of a case or matter, or informal discovery proceedings
involving records in this system;
(6) In a proceeding before a court or adjudicative body before
which the DOJ, or any DOJ component or subdivision thereof, 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 DOJ, or any DOJ component or subdivision thereof, to be
arguably relevant to the litigation: the DOJ, or any DOJ components
or subdivision thereof; any DOJ employee in his/her official
capacity; any DOJ employee in his/her individual capacity where the
DOJ has agreed to represent the employee; or the United States where
DOJ, or any DOJ component or subdivision thereof, determines that the
litigation is likely to affect it or any of its subdivisions;
(7) To the news media and the public to the extent permitted by
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;
(8) 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;
(9) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906;
(10) To any Federal, State, or local agency, of tribal authority,
which has a financial or other legitimate need for the information to
perform official duties; or, similarly, to obtain information which
would enable the Department to perform its official duties. Examples
include: to permit such agency to perform accounting functions or to
report to the Department of the Treasury regarding status of a
Federal employee/contractor debt owed to such Federal, State, or
local agency, or tribal authority; to report on the status of
Department efforts to collect such debt; to obtain information
necessary to identify a Federal Employee/contractor indebted to such
agency; to provide information regarding the location of such debtor;
or to obtain information which would permit the Department to confirm
a debt and/or offset a payment otherwise due a Federal employee/
contractor after any appropriate due process steps have been taken.
(11) To any Federal, State, local, or foreign agency, or tribal
authority, or to any individual or organization, if there is reason
to believe that such agency, authority, individual, or organization
possesses information relating to a debt, the identity or location of
the debtor, the debtor's ability to pay; or relating to any other
matter which is relevant and necessary to the settlement, effective
litigation and enforce collection of a debt; or relating to the civil
action, trial or hearing concerning the collection of such debt; and
if the disclosure is reasonably necessary to elicit such information
and/or obtain cooperation of a witness or agency;
(12) To the U.S. Department of the Treasury, the U.S. Department
of Defense, the U.S. Postal Service, or the disbursing agencies, in
order the effect administrative, salary, or tax refund offset against
Federal payments to collect a delinquent claim or debt owed the
United States, or a State; to satisfy a delinquent child support
debt; or to effect the actions required or permitted by law to
collect such debt;
(13) To the U.S. Department of the Treasury any information
regarding adjustments to delinquent debts, such as voluntary payments
which decrease the debt, changes in the debt status resulting from
bankruptcy, any increase in the debt, or any decrease in the debt
resulting from changing in agency statutory requirements;
(14) To employers to effect salary or administrative offset to
satisfy a debt owed the United States by the debtor or, when other
collection efforts have failed, to the IRS to effect an offset
against Federal income tax refund due;
(15) To employers to institute administrative wage garnishments
to recover debts owed the United States;
(16) To debt collection centers designated by the U.S. Department
of the Treasury (or to a person with whom the DOJ has entered into a
contract) to locate or recover assets of the DOJ; or for sale of a
debt; or to otherwise recover indebtedness owed;
(17) In accordance with regulations issued by the Secretary of
the Treasury to implement the Debt Collection Improvement Act of
1996, to publish or otherwise publicly disseminate information
regarding the identity of the person and the existence of a non-tax
debt in order to direct actions under the law toward delinquent
debtors that have assets or income sufficient to pay their delinquent
non-tax debts, but only upon taking reasonable steps to ensure the
accuracy of the identity of a debtor; upon ensuring that such debtor
has had an opportunity to verify, contest, and compromise a non-tax
debt; and with the review of the Secretary of Treasury;
(18) To the Internal Revenue Service (IRS) for reporting a
discharged debt as potential taxable income;
(19) To the IRS to obtain taxpayer mailing addresses for debt
collection use. These taxpayer mailing addresses may be disclosed (a)
to private collection contractors to locate a taxpayer and to collect
or compromise a claim against, or debt of, the taxpayer, and (b) to
consumer or commercial reporting agencies to obtain a credit report;
(20) To the Department of Health and Human Services, and the
Department of Labor for computer matching in order to obtain names
(including names of employees), name controls, names of employers,
Taxpayer Identification Numbers, addresses (including addresses of
employers) and dates of birth for the purpose of verifying identities
in order to pursue the collection of debts;
(21) To other Federal or State agencies as required by law;
(22) To a consumer or commercial reporting agency in accordance
with the Debt Collection Improvement Act of 1996;
(23) To contractors, grantees, experts, consultants, volunteers,
detailees, and other non-DOJ employees performing or working on a
contract, service, grant, cooperative agreement, or job for the
Federal Government when necessary to accomplish an agency function
related to this system of records.
(24) To a person or to an entity (e.g., the U.S. Department of
the Treasury and/or a consumer or commercial reporting agency),
Taxpayer Identification Numbers (TIN's), to report on delinquent debt
and/or to pursue the collection of debt, or where otherwise necessary
or required, e.g., U.S. Department of the Treasury for disbursement
of payments authorized--provided such disclosure is not otherwise
prohibited by section 6103 of the Internal Revenue Code of 1986, or
other law.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Magnetic disks, magnetic tapes, microfiche, microfilm, and file
folders.
Retrievability:
Document number, name, taxpayer identification number, digital
identifiers, batch, or other identifiers.
Safeguards:
Access is limited to DOJ personnel with a need to know. Access to
computerized information is generally controlled by passwords, or
similar safeguard, which are issued only to authorized personnel.
Paper records, and some computerized media, are kept in locked files
of locked offices during off duty hours. In addition, offices are
located in controlled-access buildings.
Retention and disposal:
Records are retained and disposed of in accordance with General
Records Schedules 6 and 7.
System manager(s) and address:
Director, Finance Staff, Justice Management Division (JMD), U.S.
Department of Justice, 10th St. and Constitution Ave., NW,
Washington, DC 20530.
Director, Federal Bureau of Prisons (BOP), 320 First St., NW,
Washington, DC 20534. (The Director, BOP, is also system manager for
Federal Prison Industries (FPI).)
Chief Financial Officer, Financial Management Division, Drug
Enforcement Administrtion (DEA), 700 Army Navy Drive, Arlington, VA
22202.
Director, Federal Bureau of Investigation (FBI), 935 Pennsylvania
Ave., NW, Washington, DC 20535.
Assistant Commissioner for Financial Management, Immigration and
Naturalization Service (INS), 425 I St., NW, Washington DC 20536
Director, Accounting Division, Office of Justice Programs (OJP),
810 7th Street, NW, Washington, DC 20531.
Chief, Finance Staff, Management and Budget Division, U.S.
Marshals Service, 600 Army Navy Drive, Arlington, VA 22202.
Notification procedure:
Same as Record Access Procedures.
Record access procedures:
Request for access to records in this system must be in writing
and should be addressed as follows:
JMD: For records of the Offices, Boards and Divisions, address
requests to the system manager named above for JMD.
OJP: Address request to the system manager named above.
INS: Address requests to the System Manger or to the Freedom of
Information Act (FOIA)/Privacy Act (PA) Officer at the INS office
where the record is maintained or (if unknown) to the FOIA/PA officer
at 425 I Street, NW, Washington, DC 20536.
BOP: Address requests to the Assistant Director, Administration
Division, 320 First Street, NW, Washington, DC 20534.
FPI: Address requests to Assistant Director, Federal Prison
Industries, 320 First Street, NW, Washington, DC 20534.
USMS: Address requests to the system manager named above,
attention: FOIA/PA Officer.
DEA: Address requests to the system manager named above.
FBI: Address requests to the system manager named above.
The envelope and letter should be clearly marked ``Privacy Act
Access Request.'' Inquires should include requester's name, date and
place of birth, address, and verification of identity in accordance
with 28 CFR 16.41(d). If known, the requester should also identify
the date or year which a debt was incurred, e.g., date of invoice or
purchase order.
Contesting record procedures:
Same as Record Access Procedures
Record source categories:
Operating personnel, individuals covered by the system, and
Federal agencies
Systems exempted from certain provisions of the act:
None.
JUSTICE-002
System name:
Department of Justice (DOJ) Computer Systems Activity and Access
Records, DOJ-002.
System location:
Department of Justice offices (and other sites utilized by the
Department of Justice) throughout the world.
Categories of individuals covered by the system:
Individuals who access DOJ network computers or mainframe/
enterprise servers, including individuals who send and receive
electronic communications, access Internet sites, or access system
databases, files, or applications from DOJ computers or sending
electronic communications to DOJ computers; and individuals
attempting to access DOJ computers or systems without authorization.
Categories of records in the system:
Records in this system of records may include: Records on the use
of the interoffice and Internet e-mail systems, including the e-mail
address of the sender and receiver of the e-mail message, subject,
date, and time; records on user access to DOJ's office automation
networks, including user ID, date and time of log on and log off, and
denials of access to unauthorized files or directories; records of
Internet access from a DOJ computer, such as the Internet Protocol
(IP) address of the computer being used to initiate the Internet
connection, the site accessed, date, and time; records relating to
mainframe/enterprise server access, such as user ID of the individual
accessing the mainframe, date and time, and the process being run on
the mainframe; records relating to verification or authorization of
an individual's access to systems, files, or applications, such as
user IDs, passwords, user names, title, and agency.
Logs of Internet access from a DOJ computer do not contain names
or similar personal identifiers. However, for official government
business purposes, a name may be associated with an IP address.
Authority for maintenance of the system:
The Computer Security Act of 1987, 40 U.S.C. 1441 note, requires
Federal Agencies to plan for the security and privacy of their
computer systems.
Purpose(s):
the underlying raw data in this system of records is used by DOJ
systems and security personnel, or persons authorized to assist these
personnel, to plan and manage system services and to otherwise
perform their official duties. Authorized DOJ managers may use the
records in this system to investigate improper access or other
improper activity related to computer system access; to initiate
disciplinary or other such action; and/or where the record(s) may
appear to indicate a violation or potential violation of the law, to
refer such record(s) to the appropriate investigative arm of DOJ, or
other law enforcement agency for investigation.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maybe made available in accordance with the
disclosure provisions cited below.
1. To members of Congress or staff to respond to inquiries made
on behalf of individual constituents who are record subjects.
2. To representatives of the General Services Administration and/
or the National Archives and Records Administration who are
conducting records management inspections under the authority of 44
U.S.C. 2904 and 2906.
3. To the news media and the public pursuant to 28 CFR 50.2
unless it is determined that the release of the specific information
in the context of a particular case would constitute an unwarranted
invasion of personal privacy.
4. To a Federal, state, local, tribal or foreign agency, or a
private contractor, in connection with: The hiring or retention of
any employee; the issuance of a security clearance; the conduct of a
security or suitability investigation or pursuit of other appropriate
personnel matter; the reporting of an investigation on an employee;
the letting of a contract; or the issuance of a grant, license, or
other benefit to an employee by the agency, but only to the extent
that the information disclosed is relevant and necessary to the
agency's decision on the matter.
5. To provide information to any person(s) authorized to assist
in an approved investigation of improper usage of DOJ computer
systems.
6. To an actual or potential party or his or her authorized
representative for the purpose of negotiation or discussion on such
matters as settlement of the case or matter, or informal discovery
proceedings.
7. In the event that material in this system of records appears
to indicate, either on its face or in conjunction with other
information, a violation or potential violation of law, whether
civil, criminal, or regulatory in nature, and whether arising by
general statute, or by regulation, rule, or order issued pursuant
thereto, to a Federal, State local tribal, or foreign unit of
government charged with the responsibility therefor.
8. In a proceeding before a court or adjudicative body, when any
of the following is a party to litigation or has an interest in
litigation and such records are determined by the DOJ to be arguably
relevant to the litigation: The DOJ; any employee of the DOJ in his
or her official capacity; or any employee of the DOJ in his or her
individual capacity where the DOJ has agreed to represent or has
authorized private attorneys to represent the employees; or, the
United States, where the DOJ determines that the litigation is likely
to affect it or any of its subdivisions.
9. To contractors, grantees, experts, consultants, detailees, and
other non-DOJ employees 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.
10. To other government agencies where required by law.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic and/or paper form.
Retrievability:
Records may be retrieved by user name, user ID, e-mail address,
or other identifying search term employed, depending on the record
category. The Department does not usually connect IP addresses with a
person. However, in some instances, for official government business
purposes, the Department may connect the IP address with an
individual, and records may be retrieved by IP address.
Safeguards:
Access is limited to those who have an official need to know.
Specifically, only systems and security personnel or persons
authorized to assist these personnel have access to automated records
and magnetic storage media. These records are kept in a locked room
with controlled entry. The use of password protection identification
features and other automated data processing system protection
methods also restrict access. All records are located in buildings
with restricted access.
Retention and disposal:
Records of verification, authorization, computer system access,
and other activities generated by the system shall be retained no
longer than one year, unless required for management review, then
destroyed/deleted. (Records retention schedule pending approval by
the Archivist of the United States.)
System manager(s) and address: :
Deputy Assistant Attorney General, Information Resources
Management, Justice Management Division, Department of Justice,
Washington, DC 20530.
Notification procedure:
To determine whether the system may contain records relating to
you, write to the System Manager identified above.
Record access procedures:
Same as ``Notification Procedure'' above. Provide name, assigned
computer location, and a description of information being sought,
including the time frame during which the record(s) may have been
generated. Provide verification of identity as instructed in 28 CFR
16.41(d).
Contesting record procedures:
See ``Notification Procedure'' and ``Record Access Procedure''
above. Identify the information being contested, the reason for
contesting it, and the correction requested. In general, this
information is computer-generated and is not subject to contest.
Record source categories:
Most records are generated internally, i.e., computer activity
logs; individuals covered by the system; and management officials.
Systems exempted from certain provisions of the act:
None.
JUSTICE-003
System name:
Correspondence Management Systems (CMS) for the Department of
Justice.
System location:
U.S. Department of Justice, 950 Pennsylvania Ave., NW.,
Washington, DC 20530, and other Department of Justice offices
throughout the country.
Categories of individuals covered by the system:
Individuals originating, receiving, or named in correspondence
(including attachments) to or form the Department or whose
correspondence is referred to the Department, or persons
communicating electronically or by telephone with the Department
regarding official business of the Department, including Members of
Congress, other government officials, individuals, and their
representatives; individuals originating, receiving, or named in
internal memoranda (including attachments) within the Department,
including DOJ employees, contractors, and individuals relating to
investigators, policy decisions, or administrative matters of
significance to the Department of Justice; in some instances,
Department of Justice personnel assigned to handle such
correspondence and other matters.
Categories of records in the system:
Correspondence identification (e.g., correspondence's name,
address, title, organization, control number, date of correspondence,
date received, subject); status of response within the Department;
may include original correspondence, Department's response, office or
staff member assigned to handle the matter, referral letters, name
and identification of person referring the correspondence, copies of
any enclosures, and related materials. Some internal memoranda, e-
mail correspondence, and logs/notes of official telephone calls to/by
Department staff are also tracked. Records may include case files,
litigation materials, reports, or other goods on a given subject or
individual. This material varies according to the wide scope of the
responsibilities of the Department of Justice. Correspondence
identification and tracking information, as well as some substantive
information on these matters is maintained in automated database in
electronic format and/or paper files. This system does not cover
systems of records covered by separately-notices systems.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
The System controls and tracks correspondence received or
originated by the Department or referred to the Department, and
action taken by the Department in response to correspondence
received, as well as some internal memoranda, action items, e-mail
correspondence, and logs/notes of official telephone calls. It also
serves as a reference source for inquiries and response thereto.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Pursuant to subsection (b)(3) of the Privacy Act, information may
be disclosed from this system as follows:
A. 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.
B. To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff requests the information on behalf of
an individual who is the subject of the record.
C. To the 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.
D. Where a record, either on its face or in conjunction with
other information, indicates a violation or potential violation of
law, to any civil or criminal law enforcement authority or other
appropriate agency, whether federal, state, local, foreign, or
tribal, charged with the responsibility of investigating or
prosecuting such a violation or enforcing or implementing a statute,
rule, regulation, or order.
E. In an appropriate proceeding before a court, grand jury, or
administrative or regulatory body when records are determined by DOJ
to be arguably relevant to the proceeding.
F. 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.
G. To a federal agency or entity that requires information
relevant to a decision concerning the hiring, appointment, or
retention of an employee, the issuance of a security clearance, the
conduct of a security or suitability investigation, or pursuit of
other appropriate personnel matter.
H. To a federal, state, local, or tribal agency or entity that
requires information relevant to a decision concerning the lettering
of a letter or permit, the issuance of a grant or benefit; or other
need for the information in performance of official duties.
I. To contractors, grantees, experts, consultants, students, and
others performing or working on a contract, service, grant,
cooperative agreement, or
[[Page 29994]]
other assignment for the Federal government, when necessary to
accomplish an agency function related to this system of records.
J. 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.
K. To the White House (the President, Vice President, their
staffs, and other entities of the Executive Office of the President
(EOP)) for Executive Branch coordination of activities which relate
to or have an effect upon the carrying out of the constitutional,
statutory, or other official or ceremonial duties of the President.
L. To such recipients and under such circumstances and procedures
as are mandated by federal statute or treaty.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic form and on paper.
Retrievability:
Information can be retrieved by correspondence control number;
name of individual; subject matter of topic; or in some cases, by
other identifying search term employed.
Safeguards:
Information in these systems is safeguarded in accordance with
applicable rules and policies, including the Department's automated
systems security and access policies. Tax return information is
safeguarded in accordance with 26 U.S.C. 6103. Classified information
is appropriately stored in safes and in accordance with other
applicable requirements. In general, records and technical equipment
are maintained in buildings with restricted access. The required use
of password protection identification features and other system
protection methods also restrict access. Access is limited to those
who have an official need for access to perform their official
duties.
Retention and disposal:
Records are retained and disposed of in accordance with
individual component guidelines approved by the National Archives and
Records Administration (SF 115s), and/or pursuant to General Records
Schedule 14, or 23, item 8.
System manager(s) and address:
Deputy Assistant Attorney General, Human Resources/
Administration, Justice Management Division, 950 Pennsylvania Ave.,
NW., Washington, DC 20530.
Notification procedure:
Address inquiries to System Manager named above.
Record access procedures:
Requests for access must be in writing and should be addressed to
the System Manager named above. 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 requester's full name, current address, and date and place of
birth. The request must be signed and either notarized or submitted
under penalty of perjury. Some information may be exempt from access
provisions as described in the section entitled ``Systems Exempted
from Certain Provisions of the Act.'' An individual who is the 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, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought. Some information is not subject to
amendment, such as tax return information. Some information may be
exempt from contesting record procedures as described in the section
entitled ``Systems Exempted from Certain Provisions of the Act.'' 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:
Sources of information contained in these systems include
individuals, state, local, tribal, and foreign government agencies as
appropriate, the executive and legislative branches of the Federal
Government, the Judiciary, and interested third parties. The source
of the information on the control records contained in these systems
is derived from incoming and outgoing correspondence and internal
memoranda.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4); (d)(1), (2), (3) and (4); (e)(1), (2), (3), (5) and
(8); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j) and (k).
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. These exemptions apply only to the extent that information
in a record pertaining to a particular individual is classified to
protect the national security, or relates to official investigations
and law enforcement matters. A determination as to exemption shall be
made at the time a request for access or amendment is received.
JUSTICE-004
System name:
Freedom of Information Act, Privacy Act, and Mandatory
Declassification Review Requests and Administrative Appeals for the
Department of Justice.
System location:
United States Department of Justice, 950 Pennsylvania Ave., NW.,
Washington, DC 20530-0001, and other Department of Justice offices
throughout the country.
Categories of individuals covered by the system:
The system encompasses all individuals who submit Freedom of
Information Act (FOIA), Privacy Act, and Mandatory Declassification
Review Requests and administrative appeals to the Department of
Justice; individuals whose requests and/or records have been referred
to the Department of Justice by other agencies; and in some instances
includes attorneys representing individuals submitting such requests
and appeals, individuals who are the subjects of such requests and
appeals, and/or the Department of Justice personnel assigned to
handle such requests and appeals.
Categories of records in the system:
The system consists of records created or compiled in response to
FOIA, Privacy Act, and Mandatory Declassification Review requests and
administrative appeals and includes: The original requests and
administrative appeals; responses to such requests and administrative
appeals; all related memoranda, correspondence, notes, and other
related or supporting documentation; and, in some instances, copies
of requested records and records under administrative appeal.
Authority for maintenance of the system:
The system was established and is maintained pursuant to 5 U.S.C.
301 and 44 U.S.C. 3101 to implement the provisions of 5 U.S.C. 552
and 5 U.S.C. 552a, and the applicable executive order(s) governing
classified national security information.
Purpose(s):
This system is maintained for the purpose of processing access
requests and administrative appeals under the FOIA, access and
amendment requests and administrative appeals under the Privacy Act,
and requests and administrative appeals for mandatory
declassification review under the applicable executive order(s)
governing classified national security information; for the purpose
of participating in litigation regarding agency action on such
requests and appeals; and for the purpose of assisting the Department
of Justice in carrying out any other responsibilities under the FOIA,
the Privacy Act, and applicable executive orders.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information may be disclosed from this system as follows:
A. To a federal, state, local, or foreign agency or entity for
the purpose of consulting with that agency or entity to enable the
Department of Justice to make a determination as to the propriety of
access to or correction of information, or for the purpose of
verifying the identity of an individual or the accuracy of
information submitted by an individual who has requested access to or
amendment of information.
B. To a federal agency or entity that furnished the record or
information for the purpose of permitting that agency or entity to
make a decision as to access to or correction of the record or
information, or to a federal agency or entity for purposes of
providing guidance or advice regarding the handling of particular
requests.
C. To a submitter or subject of a record or information in order
to obtain assistance to the Department in making a determination as
to access or amendment.
D. 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.
E. 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.
F. In the event that a record in this system, either alone 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 for
investigating or prosecuting such violation or charged with enforcing
or implementing such law.
G. To 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 of a security
clearance; the execution of a security or suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
H. To federal, state, and local licensing agencies or
associations which require information concerning the suitability or
eligibility of an individual for a license or permit.
I. In a proceeding before a court or adjudicative body before
which the Department of Justice is authorized to appear when (a) the
Department of Justice, or any subdivision thereof, or (b) any
employee of the Department of Justice in his or her official
capacity, or (c) any employee of the Department of Justice in his or
her individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where the
Department of Justice determines that the litigation is likely to
affect it or any of its subdivisions, is a party to litigation or has
an interest in litigation and such records are determined by the
Department of Justice to be arguably relevant to the litigation.
J. 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.
K. To the 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.
L. To a former employee of the Department of Justice 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.
M. To such recipients and under such circumstances and procedures
as are mandated by federal statute or treaty.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in this system are stored on paper and/or in electronic
form. Records that contain national security information and are
classified are stored in accordance with applicable executive orders,
statutes, and agency implementing regulations.
Retrievability:
Records are retrieved by the name of the requester or appellant;
the number assigned to the request or appeal; and in some instances
may be retrieved by the name of the attorney representing the
requester or appellant, the name of an individual who is the subject
of such a request or appeal, and/or the name or other identifier of
Department of Justice personnel assigned to handle such requests or
appeals. Immigration and Naturalization Service records are also
retrieved by alien number and social security number.
Safeguards:
Information in this system is safeguarded in accordance with
applicable laws, rules, and policies, including the Department's
automated systems security and access policies. Classified
information is appropriately stored in safes and in accordance with
other applicable requirements. In general, records and technical
equipment are maintained in buildings with restricted access. The
required use of password protection identification features and other
system protection methods also restrict access. Access is limited to
those officers and employees of the agency who have an official need
for access in order to perform their duties.
Retention and disposal:
Records are retained and disposed of in accordance with the
National Archives and Records Administration's General Records
Schedule 14.
System manager(s) and address:
Associate Director, Office of Information and Privacy, United
States Department of Justice, 950 Pennsylvania Avenue, NW.,
Washington, DC 20530-0001.
Notification procedure:
Records concerning initial requests under the FOIA, the Privacy
Act, and the applicable executive order(s) governing classified
national security information are maintained by the individual
Department of Justice component to which the initial request was
addressed or directed. Inquiries regarding these records should be
addressed to the particular Department of Justice component
maintaining the records, United States Department of Justice, 950
Pennsylvania Avenue, NW., Washington, DC 20530-0001.
Records concerning administrative appeals under the FOIA, the
Privacy Act, and the applicable executive order(s) governing
classified national security information, with the exception of those
made to the United States Parole Commission, are maintained by the
Office of Information and Privacy. Inquiries regarding these records
should be addressed to the Office of Information and Privacy, United
States Department of Justice, 950 Pennsylvania Avenue, NW.,
Washington, DC 20530-0001. Inquiries regarding administrative appeals
made to the United States Parole Commission should be addressed to
the United States Parole Commission, United States Department of
Justice, 950 Pennsylvania Avenue, NW., Washington, DC 20530-0001.
Record access procedures:
Requests for access may be made by appearing in person or by
writing to the appropriate office indicated in the ``Notification
Procedures'' section, above. The envelope and letter should be
clearly marked ``Privacy Act Request.'' The request should include a
general description of the records sought and must include the
requester's full name, current address, and date and place of birth.
The request must be signed and either notarized or submitted under
penalty of perjury. Some information may be exempt from access as
described in the section entitled ``Systems Exempted from Certain
Provisions of the Act.'' An individual who is the subject of a record
in this system may access those records that are not exempt from
disclosure. A determination of whether a record may be accessed will
be made after a request is received.
Although no specific form is required, you may obtain forms for
this purpose from the FOIA/PA Mail Referral Unit, Justice Management
Division, United States Department of Justice, 950 Pennsylvania
Avenue, NW., Washington, DC 20530-0001, or on the Department of
Justice Web site at www.usdoj.gov/04foia/att_d.htm.
Contesting record procedures:
Individuals seeking to contest or amend information maintained in
the system should direct their requests to the appropriate office
indicated in the ``Notification Procedures'' section, above, stating
clearly and concisely 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 ``Systems
Exempted from Certain Provisions of the Act.'' An individual who is
the subject of a record in this system may seek amendment of those
records that are not exempt. A determination of whether a record is
exempt from amendment will be made after a request is received.
Record source categories:
Those individuals who submit initial requests and administrative
appeals pursuant to the FOIA, the Privacy Act, or the applicable
executive order(s) governing classified national security
information; the agency records searched in the process of responding
to such requests and appeals; Department of Justice personnel
assigned to handle such requests and appeals; other agencies or
entities that have referred to the Department of Justice requests
concerning Department of Justice records, or that have consulted with
the Department of Justice regarding the handling of particular
requests; and submitters or subjects of records or information that
have provided assistance to the Department of Justice in making
access or amendment determinations.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d)(1), (2), (3), and (4); (e)(1), (2), (3), (5), and
(8); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j) and (k).
These exemptions apply only to the extent that information in the
system is subject to exemption pursuant to 5 U.S.C. 552a(j) and (k).
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.
JUSTICE/DOJ-005
System name:
Nationwide Joint Automated Booking System (JABS), Justice/DOJ-
005.
System location:
JABS Program Management Office, Department of Justice,
Washington, DC 20530 with data collection sites in multiple DOJ
locations.
Categories of individuals covered by the system:
Alleged criminal offenders who have been detained, arrested,
booked, or incarcerated. The remainder of this notice will refer to
all persons covered by the System as ``alleged criminal offender'' or
``arrestee''.
Categories of records in the system:
Records may include certain generic or ``common'' data elements
which have been collected by an arresting federal agency \1\ at its
automated booking station (ABS). An agency may book an alleged
criminal offender on behalf of another agency which performed the
arrest. Such common data (certain data elements) have been identified
by law enforcement a those case and biographical data routinely
collected by the law enforcement community during the booking
process, e.g., name, date and place of birth, citizenship, hair and
eye color, height and weight, occupation, social security number,
place, date and time of arrest and jail location, charge,
disposition, any other pertinent information related to known
activities relevant or unique to the subject. Finally, such data may
include electronic fingerprints, mugshots, and pictures of applicable
scars, marks, and tattoos.
---------------------------------------------------------------------------
\1\ Initially, these records will include only those of the
Department of Justice (DOJ) law enforcement components.
---------------------------------------------------------------------------
Authority for maintenance of the system:
8 U.S.C. 1324 and 1357 (f) and (g); 28 U.S.C. 534, 564, 566; 5
U.S.C. 301 and 44 U.S.C. 3101; 18 U.S.C. 3621, 4003, 4042, 4082,
4086; and Comprehensive Drug Abuse Prevention and Control Act of 1970
(Pub. L. 91-513), 21 U.S.C. 801 et seq. and Reorganization Plan No. 2
of 1973.
Purpose(s):
Nationwide JABS will enable the conduct of automated booking
procedures by participating law enforcement organizations and provide
an automated capability to transmit fingerprint and image data to the
Federal Bureau of Investigation's (FBI) Integrated Automated
Fingerprint Identification System (IAFIS), Justice/FBI-009
Fingerprint Identification Records Systems (FIRS). JABS will define
and maintain a repository of common offender data elements for
identification of arrestees by participating federal law enforcement
organizations. JABS will eliminate repetitive booking of offenders
for a single arrest and booking, and thereby eliminate the need for
duplicate bookings, i.e., the collection of much the same data by
multiple agencies in prisoner processing activities involving such
agencies from arrest through incarceration. (For example, an
individual arrested by the DEA and transported by the USMS to a
Federal correctional institution may be processed by the DEA, USMS,
and the BOP.) In addition, JABS will standardize booking data
elements, enable cross-agency sharing of booking information, enhance
cooperation among law enforcement agencies, and reduce the threat to
law enforcement officials and the public by facilitating the rapid
and positive identification of offenders.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Where necessary and/or appropriate, the DOJ may disclose relevant
information from the JABS repository and may allow electronic access
as follows:
a. To authorized federal law enforcement agencies to input and
retrieve booking and arrests data on criminal offenders. In addition,
the JABS repository may be electronically accessed by these agencies
for other law enforcement purposes such as to learn about the arrest
of a fugitive wanted in several jurisdictions, to verify the identity
of an arrestee, or to assist in the criminal investigation
activities.
b. To other judicial/law enforcement agencies, i.e., courts,
probation, and parole agencies, for direct electronic access to JABS
to obtain applicable data which will assist them in performing their
official duties.
c. To any authorized federal authorities to the extent necessary
to permit them to perform their law enforcement responsibilities; or
to any federal and/or international authorities to the extent
necessary to permit them to perform their law enforcement
responsibilities; or to any other entity or person, to the extent
required to solicit information necessary for law enforcement
purposes.
d. To a court or adjudicative body before which the appropriate
DOJ component 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 the appropriate DOJ component to be arguably
relevant to the litigation:
(1) The DOJ component, or any subdivision thereof, or
(2) Any employee of the DOJ in his or her official capacity, or
(3) Any employee of the DOJ in his or her individual capacity
where the DOJ has agreed to represent the employee or has authorized
a private attorney to represent him or her, and
(4) The United States, where the DOJ determines that the
litigation is likely to affect it or any of its subdivisions.
e. To complainants and/or victims to the extent necessary to
provide such persons with information and explanations concerning the
progress and/or results of an investigation or case (e.g., an arrest)
arising from the matters of which they complained and/or of which
they were a victim.
f. To any persons or entity to the extent necessary to prevent an
imminent and potential crime which directly threatens loss of life or
serious bodily injury.
g. 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.
h. 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.
i. 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.
j. To the National Archives and Records Administration (NARA) and
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
k. Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in computerized media and printed copies. Any
paper records kept by individuals will be appropriately secured.
Retrievability:
Data may be retrieved by name, identifying number, or other data
elements.
Safeguards:
Nationwide JABS will have a combination of technical elements
that, together, integrate into a total security infrastructure to
ensure access is limited to only pre-authorized users. The key
technical design elements of this architecture will include:
Encrypted user authentication, redundant firewalls, virtual private
networks, nonrepudiation, data encryption, anti-virus content
inspection, and intrusion detection capabilities. Access to the
systems equipment is limited to pre-authorized personnel through
physical access safeguards that are enforced 24 hours a day, 7 days a
week. Facilities and offices which house computer systems will be
protected at all times by appropriate locks, security guards, and/or
alarm systems.
Retention and disposal:
a. Temporary. Delete from the JABS data base 99 years after the
date of the first entry. Disposal pending approval at the National
Archives.
b. Fingerprints submitted by law enforcement agencies are removed
from the system and destroyed upon the request of the submitting
agencies. The destruction of fingerprints under this procedure
results in the deletion from the system of all arrest information
related to those fingerprints.
c. Fingerprints and related arrest data are removed from the JABS
upon receipt of court orders for expunction when accompanied by
necessary identifying information.
System manager(s) and address:
JABS Program Management Office, U.S. Department of Justice,
Washington, DC 20530.
Notification procedure:
Same as ``Record Access Procedures.''
Record access procedure:
Inquiries must be addressed in writing and should be sent to the
JABS Program Management Office, at above address. Provide name,
assigned computer location, and a description of information being
sought, including the time frame during which the record(s) may have
been generated. Provide verification of identity as instructed in 28
CFR 16.41(d).
Contesting record procedure:
Same as above.
Record source categories:
The record subject; federal law enforcement personnel; the
courts; and medical personnel.
System exempted from certain provisions of the Act:
Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), the Attorney General
has exempted records in this system from subsections (c)(3) and (4),
(d), (3)(1), (2) and (3), (4)(G) and (H), (e)(5), (e)(8), (f) and (g)
of the Privacy Act. Rules have been promulgated in accordance with
the requirements of 5 U.S.C. 553(b), (c), and (e) and are published
in today's Federal Register.
Antitrust Division
JUSTICE/ATR-001
System name: Antitrust Division Expert Witness File.
System location:
U.S. Department of Justice, 10th & Constitution Avenue, NW,
Washington, DC 20530.
Categories of individuals covered by the system:
Individuals who have served in the capacity of an expert for the
Department of Justice in Connection with civil or criminal antitrust
litigation.
Categories of records in the system:
This system contains the names of persons used by the Antitrust
Division in an expert capacity and also indicates the area of their
specialty, the type of service rendered, the fees paid, and the dates
on or during which such services were performed.
Authority for maintenance of the system:
Authority for the establishment and maintenance of this system
exists under 44 U.S.C. 3101 and 28 U.S.C. 522.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This system is routinely used by trial attorneys of the Antitrust
Division when considering the selection of experts as witnesses for
the development or presentation of specific antitrust cases. The
system also serves as a reference resource for Division personnel in
compiling statistical information or reports regarding the actual or
anticipated costs of litigation.
A record maintained in this system, or any facts derived
therefrom, may be disseminated in a proceeding before a court or
adjudicative body before which the Antitrust Division is authorized
to appear, when (1) the Antitrust Division, or any subdivision
thereof; or (2) any employee of the Antitrust Division in his or her
official capacity; or (3) any employee of the Antitrust Division in
his or her individual capacity where the Department of Justice has
agreed to represent the employee; or (4) the United States, or any
agency or subdivision thereof; or (5) the United States, where the
Antitrust Division determines that the litigation is likely to affect
it or any of its subdivisions, is a party to litigation or has an
interest in litigation and such records are determined by the
Antitrust Division to be arguably releveant to the litigation.
Release of information to the news media:
Information permitted to be released to the news medias and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of information to members of Congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available to a Member of Congress or
staff acting upon the Member's behalf when the Member or staff
requests the information on the individual who is the subject of the
record.
Release of information to the National Archives and Records
Administration:
A record from a system of records may be disclosed as a routine
use to the National Archives and Records Administration (NARA) in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in this system is contained in documents
organized in individual file folders.
Retrievability:
Information is retrieved primarily by using the name of the
individual called as an expert witness for the Government in
antitrust cases brought by the Department.
Safeguards:
Information contained in the system is unclassified. During
working hours access to the system is controlled and monitored by
Antitrust Division personnel in the area where the system is
maintained; during non-duty hours all doors to that area are locked.
Retention and disposal:
Indefinite.
System manager(s) and address:
Executive Officer, Antitrust Division, U.S. Department of
Justice, 10th & Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Address inquiries to the Assistant Attorney General, Antitrust
Division, U.S. Department of Justice, 10th & Constitution Avenue NW,
Washington, DC 20530.
Record access procedures:
Requests for access to a record from this system shall be in
writing and be clearly identified as a ``Privacy Access Request''.
Including in the request should be the name of the person presented
as an expert witness for the Government and the name of the case in
which such services were rendered. The requester should indicate a
return address. Requests will be directed to the System Manager shown
above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their requests to the System Manager and
state clearly and concisely when information is being contested, the
reasons for contesting it and the proposed amendment to the
information sought.
Record source categories:
Sources of information maintained in this system are those
records reflecting the commitment between the individual and the
Department of Justice (including matters of compensation etc.) and
staff attorneys or other employees directly involved with the
individual in the preparation or conduct of the litigation.
Systems exempted from certain provisions of the act:
None.
JUSTICE/ATR-003
System name:
Index of Defendants in Pending and Terminated Antitrust Cases.
System location:
U.S. Department of Justice: Liberty Place, Suite 200, Washington,
DC 20530.
Categories of individuals covered by the system:
Individual defendants in pending and terminated criminal and
civil cases brought by the United States under the antitrust laws.
This system contains an index reference to the case in which an
individual (or corporation) is or was a defendant; included in
information is proper case name, the judicial district and number of
the case, and the date filed.
Authority for maintenance of the system:
Authority for the establishment and maintenance of this index
system exists under 28 U.S.C. 522 and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine use of this cross index system is generally made by
Department personnel for reference to proper case name. In addition a
compilation of antitrust cases filed is prepared as needed showing
the names of all defendants in pending civil and criminal Government
antitrust cases. This compilation is utilized within the Department
and occasionally distributed to other Government agencies for
reference and statistical purposes.
A record maintained in this system, or any facts derived
therefrom, may be disseminated in a proceeding before a court or
adjudicative body before which the Antitrust Division is authorized
to appear, when (1) the Antitrust Division, or any subdivision
thereof; or (2) any employee of the Antitrust Division in his or her
official capacity; or (3) any employee of the Antitrust Division in
his or her individual capacity where the Department of Justice has
agreed to represent the employee; or (4) the United States, or any
agency or subdivision thereof; or (5) the United States, where the
Antitrust Division determines that the litigation is likely to affect
it or any of its subdivisions, is a party to litigation or has an
interest in litigation and such records are determined by the
Antitrust Division to be arguably relevant to the litigation.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in the system is maintained on index cards.
Retrievability:
Information in the system is retrieved by reference to the name
of individual or corporate defendants in antitrust cases.
Safeguards:
Information contained in the system is unclassified and of a
public nature. During working hours access to the index is monitored
by Antitrust Division personnel; during non-duty hours the area in
which the system is maintained is locked.
Retention and disposal:
Indefinite.
System manager(s) and address:
Chief, Freedom of Information Act/Privacy Act Unit, Antitrust
Division, U.S. Department of Justice, Liberty Place, Suite 200,
Washington, DC 20530.
Notification procedure:
Address inquiries to the Assistant Attorney General, Antitrust
Division, U.S. Department of Justice, Washington, DC 20530.
Record access procedures:
Requests for access to a record from this system shall be in
writing and be clearly identified as a ``Privacy Access Request''.
Included in the request should be the name of the defendant in
pending or terminated Government antitrust litigation. Requesters
should indicate a return address. Requests will be directed to the
System Manager shown above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the index should direct their request to the System Manager and
state clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information sought.
Record source categories:
Sources of information contained in this index are complaints
filed under the antitrust laws by the United States and from
Department records relating to such cases.
Systems exempted from certain provisions of the act:
None.
JUSTICE/ATR-004
System name:
Statements by Antitrust Division Officials (ATD Speech File).
System location:
U.S. Department of Justice, Liberty Place, Suite 200, Washington,
DC 20530.
Categories of individuals covered by the system:
Past and present employees of the Antitrust Division.
Categories of records in the system:
This system contains an index record for each public statement or
speech issued or made by employees of the Antitrust Division.
Authority for maintenance of the system:
Authority for maintaining this system exists under 44 U.S.C.
3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This index is maintained for ready reference by Department
personnel for the identification of the subject matter of and persons
originating public statements by Antitrust Division employees; such
reference is utilized in aid of compliance with requests from the
public and within the agency for access to texts of such statements.
A record maintained in this system, or any facts derived
therefrom, may be disseminated in a proceeding before a court or
adjudicative body before which the Antitrust Division is authorized
to appear, when (1) the Antitrust Division, or any subdivision
thereof; or (2) any employee of the Antitrust Division in his or her
official capacity; or (3) any employee of the Antitrust Division in
his or her individual capacity where the Department of Justice has
agreed to represent the employee; or (4) the United States, or any
agency or subdivision thereof; or (5) the United States, where the
Antitrust Division determines that the litigation is likely to affect
it or any of its subdivisions, is a party to litigation or has an
interest in litigation and such records are determined by the
Antitrust Division to be arguably relevant to the litigation.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information contained in the index system is maintained on index
cards.
Retrievability:
This reference index utilizes name of present and former
employees making or issuing statements as well as the subject matter
or title of the statement.
Safeguards:
Information contained in the system is unclassified. During duty
hours personnel monitor access to this index; the area is locked
during non-duty hours.
Retention and disposal:
Indefinite.
System manager(s) and address:
Chief, Freedom of Information Act/Privacy Act Unit, Antitrust
Division, U.S. Department of Justice, Liberty Place, Suite 200,
Washington, DC 20530.
Notification procedure:
Address inquiries to the Assistant Attorney General, Antitrust
Division, U.S. Department of Justice, 10th and Constitution Avenue
NW, Washington, DC 20530.
Record access procedures:
Request for access to a record from this system should be made in
writing and be clearly identified as a ``Privacy Access Request''.
Included in the request should be the name of the Antitrust Division
employee making or issuing a public statement. Requesting should
indicate a return address. Requests will be directed to the System
Manager shown above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the index should direct their request to the System Manager and
state clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information sought.
Record source categories:
Sources of information maintained in the index are those records
reflecting public statements issued or made by Antitrust Division
employees.
Systems exempted from certain provisions of the act:
None.
JUSTICE/ATR-005
System name: Antitrust Information Management System (AMIS)--
Time Reporter.
System location:
U.S. Department of Justice, 10th and Constitution Ave., NW,
Washington, DC 20530.
Categories of individuals covered by the system:
Professional employees of the Antitrust Division of the U.S.
Department of Justice.
Categories of records in the system:
The file contains the employees' name and allocations of his/her
work time.
Authority for maintenance of the system:
The file will be established and maintained pursuant to the
following authorities: 28 CFR 0.40(f), 28 U.S.C. 522, 31 U.S.C. 11,
31 U.S.C. 66a, 5 U.S.C. 301, and 2 U.S.C. 601.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The file is used by Antitrust Division personnel to keep track of
resources and as a basis for determining Antitrust Division
allocations of resources (professional time) to particular products
and industries (e.g., oil, auto, chemicals) and to broad categories
of resource use such as conspiratorial conduct, oligopoly and
monopoly, civil cases, criminal cases, and proceedings before
regulatory agencies. In addition, the file will be employed in the
preparation of reports for the Division's budget requests and to the
Attorney General and Congress.
A record maintained in this system, or any facts derived
therefrom, may be disseminated in a proceeding before a court or
adjudicative body before which the Antitrust Division is authorized
to appear, when (1) the Antitrust Division, or any subdivision
thereof; or (2) any employee of the Antitrust Division in his or her
official capacity; or (3) any employee of the Antitrust Division in
his or her individual capacity where the Department of Justice has
agreed to represent the employee; or (4) the United States, or any
agency or subdivision thereof; or (5) the United States, where the
Antitrust Division determines that the litigation is likely to affect
it or any of its subdivisions, is a party to litigation or has an
interest in litigation and such records are determined by the
Antitrust Division to be arguably relevant to the litigation.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from the system of records may be disclosed to NARA
and GSA for records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained electronically in the AMIS computerized
information system.
Retrievability:
Information is retrieved by a variety of key words, including
names of individuals.
Safeguards:
Information contained in the system is unclassified. It is
safeguarded and protected in accordance with Department rules and
procedures governing the handling of computerized information. Access
to the file is limited to those employees whose official duties
require such access.
Retention and disposal:
Information contained in the file is retained indefinitely.
System manager(s) and address:
Chief, Information Systems Support Group, Antitrust Division,
U.S. Department of Justice, 555 4th Street NW, Room 11-854,
Washington, DC 20001.
Notification procedure:
Same as System Manager.
Record access procedures:
Same as Notification.
Contesting record procedures:
Same as Notification.
Record source categories:
Information on time allocation is provided by Antitrust Division
section and field office chiefs.
Systems exempted from certain provisions of the act:
None.
JUSTICE/ATR-006
System name:
Antitrust Information Management System (AMIS)-Matter Report.
System location:
U.S. Department of Justice, 10th and Constitution Avenue, NW.,
Washington, DC 20530.
Categories of individuals covered by the system:
Professional employees of the Antitrust Division of the U.S.
Department of Justice and individual defendants and investigation
targets involved in past and present Antitrust investigations and
cases.
Categories of records in the system:
The system contains the names of Division employees and their
case/investigation assignments and the names of individual
defendants/investigation targets as they relate to a specific case/
investigation. In addition, information reflecting the current status
and handling of Antitrust cases/investigations is included within
this system.
Authority for maintenance of the system:
The file is established and maintained pursuant to 28 CFR 40(f),
28 U.S.C. 522, and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The file is used by Antitrust Division personnel as a basis for
determining Antitrust Division allocation of resources to particular
products and industries (e.g., oil, autos, chemicals), to broad
categories of resource use such as civil cases, criminal cases,
regulatory agency cases, and Freedom of Information Act requests. It
is employed by the section chiefs, the Director and Deputy Director
of Operations, and other Division personnel to ascertain the progress
and current status of cases and investigations within the Division.
In addition, the files will be employed in the preparation of reports
for the Division's budget requests and to the Attorney General and
Congress.
A record maintained in this system, or any facts derived
therefrom, may be disseminated:
1. In a proceeding before a court or adjudicative body before
which the Antitrust Division is authorized to appear, when (1) the
Antitrust Division, or any subdivision thereof; or (2) any employee
of the Antitrust in his or her official capacity; or (3) any employee
of the Antitrust Division in his or her individual capacity where the
Department of Justice has agreed to represent the employee; or (4)
the United States, where the Antitrust Division determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the Antitrust Division to be arguably relevant to
the litigation.
2. In any health care-related civil or criminal case,
investigation, or matter, information indicating patient harm,
neglect, or abuse, or poor or inadequate quality of care, at a health
care facility or by a health care provider, may be disclosed as a
routine use to any federal, state, local, tribal, foreign, joint,
international or private entity that is responsible for regulating,
licensing, registering, or accrediting any health care provider or
health care facility, or enforcing any health care-related laws or
regulations. Further, information indicating an ongoing quality of
care problem by a health care provider or at a health care facility
may be disclosed to the appropriate health plan. Additionally, unless
otherwise prohibited by applicable law, information indicating
patient harm, neglect, abuse, or poor or inadequate quality of care
may be disclosed to the affected patient or his or her representative
or guardian at the discretion of and in the manner determined by the
agency in possession of the information.
3. 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.
4. 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. Information not otherwise required to be released pursuant to
5 U.S.C. 552 may be made available.
5. To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Information relating to health care fraud may be disclosed to
private health plans, or associations of private health plans, and
health insurers, or associations of health insurers, for the
following purposes: to promote the coordination of efforts to
prevent, detect, investigate, and prosecute health care fraud; to
assist efforts by victims of health care fraud to obtain restitution;
to enable private health plans to participate in local, regional, and
national health care fraud task force activities; and to assist
tribunals having jurisdiction over claims against private health
plans.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained electronically in the Information systems
support group's AMIS Computerized information system.
Retrievability:
Information is retrieved by a variety of key words.
Safeguards:
Information contained in the system is unclassified. It is
safeguarded and protected in accordance with Department rules and
procedures governing the handling of computerized information. Access
to the file is limited to those persons whose official duties require
such access and employees of the Antitrust Division.
Retention and disposal:
Information contained in the file is retained indefinitely.
System manager(s) and address:
Chief, Information Systems Support Group; Antitrust Division;
U.S. Department of Justice; 555 4th Street, NW., Room 11-854,
Washington, DC 20001.
Notification procedure:
Address inquiries to the Assistant Attorney General, Antitrust
Division, U.S. Department of Justice, 10th and Constitution Avenue,
Washington, DC. 20530.
Record source categories:
Information for the monthly report is provided by the Antitrust
Division section and filed office chiefs.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3), (d), (e)(4)(G)-(H), and (f) of the Privacy Act 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.
JUSTICE/ATR-007
System name:
Antitrust Division Case Cards.
System location:
U.S. Department of Justice, Liberty Place, Suite 200, Washington,
DC 20530.
Categories of individuals covered by the system:
Individual defendants in pending and terminated criminal and
civil cases brought by the Untied States under the antitrust laws
where the defendant's name appears in the case title.
Categories of records in the system:
This system contains an index reference to the case in which an
individual (or corporation) is or was a defendant; included
information is proper case name, the judicial district, number of the
case, the commodity involved, each alleged violation, the section of
the Antitrust Division responsible for the matter, and the
disposition of the case.
Authority for maintenance of the system:
Authority for maintaining this system exists under 44 U.S.C. 3101
and 28 U.S.C. 522.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This index is maintained for ready reference by Department
personnel. It is utilized for referrals to case names, the
preparation of speeches and to aid in determinations of the antitrust
histories of companies.
A record maintained in this system, or any facts derived
thereform, may be disseminated in a proceeding before a court or
adjudicative body before which the Antitrust Division is authorized
to appear, when (1) the Antitrust Division, or any subdivision
thereof; or (2) any employee of the Antitrust Division in his or her
official capacity; or (3) any employee of the Antitrust Division in
his or her individual capacity where the Department of Justice has
agreed to represent the employee; or (4) the United States, or any
agency or subdivision thereof; or (5) the United States, where the
Antritrust Division determines that the litigation is likely to
affect it or any of its subdivisions, is a party to litigation or has
an interest in litigation and such records are determined by the
Antitrust Division to be arguably relevant to the litigation.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available to a Member of Congress or staff acting
upon the Member's behalf when the Member of staff requests the
information on behalf of and at the request of the individual who is
the subject of the record.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information contained in this system is maintained on index
cards.
Retrievability:
Information is retrieved by case name.
Safeguards:
Information contained in the system is unclassified. During duty
hours access to this system is monitored and controlled by Antitrust
Division personnel in the area where the system is maintained. This
area is locked during non-duty hours.
Retention and disposal:
Indefinite.
System manager(s) and address:
Chief, Freedom of Information Act/Privacy Act Unit, Antitrust
Division. U.S. Department of Justice, Liberty Place, Suite 200,
Washington DC 20530.
Notification procedure:
Address inquiries to the Assistant Attorney General, Antitrust
Division, U.S. Department of Justice, 10th and Constitution Avenue,
NW, Washington, DC 20530.
Record access procedures:
Request for access to a record from this system should be made in
writing and be clearly identified as a ``Privacy Access Request.''
Included in the request should be the name of the defendant appearing
in the title of the pending or terminated Government antitrust
litigation. Requester should indicate a return address. Requests will
be directed to the System Manager above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the index should direct their request to the System Manager and
state clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to be
information sought.
Record source categories:
Sources of information maintained in the index are those records
reflecting litigation conducted by the Antitrust Division.
Systems exempted from certain provisions of the act:
None.
JUSTICE/ATR-009
System name: Public Compliants and Inquiries File.
System location: U.S. Department of Justice, Washington, DC 20530
and field office locations as follows: 1776 Peachtree St., NW, Suite
420, Atlanta, GA 30309; 2634 Everett M. Dirksen Bldg., 219 S.
Dearborn St., Chicago, IL 60604; 995 Celebrezze Federal Bldg., 1240
E. 9th St., Cleveland, OH 44199; Earl Cabell Federal Bldg., Room 3101
Federal Bldg., Los Angeles, CA 90012; Room 3630, 26 Federal Plaza,
New York, NY 10007; 3430 U.S. Courthouse, Independence Mall West, 601
Market St., Philadelphia, PA 19106; and 450 Golden Gate Ave., Box
36046, San Francisco, CA 94102.
Categories of individuals covered by the system: Members of the
public who submit unsolicited complaints and inquiries to the
Division on official business.
Categories of records in the system: The file will contain letters
or notes of other contacts by members of the public.
Authority for maintenance of the system: The file will be
established and maintained pursuant to 44 U.S.C. 3101 and 5 U.S.C.
301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The file will be
used by Antitrust Division personnel to assure adequate response to
initial and subsequent contacts by the same individuals or to other
contacts regarding the same subject. Some of these contracts will
also serve to further ongoing Antitrust investigations or to initiate
an investigation for enforcement purposes. Complaints/inquiries may
be referred to other federal or state and local agencies, only if
deemed appropriate to assure complete action on the matter.
Release of information to members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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
he subject of the record.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records will be maintained in the form in which they are
originated, i.e., paper letters, notes and log sheets.
Retrievability: Information will be retrieved by name, subject
matter and date.
Safeguards: Information contained in the system will be
unclassified. Records will be maintained only in the offices of the
Antitrust Division and accessed only by Division employees whose
official duties require such access.
Retention and disposal: Records of contacts will be kept by
individual name for one year, after which they will be destroyed.
Copies of these contact records may be placed in a subject matter or
case file if they contain substantive information on antitrust
enforcement matters. Case and subject mater files are normally
maintained for thirty years.
System manager(s) and address: Executive Officer, Antitrust
Division, U.S. Department of Justice, Washington, DC 20530.
Notification procedure: Same as System Manager.
Record access procedures: Same as Notification.
Contesting record procedures: Same as Notification.
Record source categories: All information will be obtained from the
complaining individuals themselves.
Systems exempted from certain provisions of the act: None.
JUSTICE/ATR-014
System name:
Civil Investigative Demand (CID) Tracking System, (JUSTICE/ATR-
014).
System location:
Information Systems Support Group, Antitrust Division, Department
of Justice, Judiciary Center Building, 555 4th Street, NW,
Washington, DC 20001.
Categories of individuals covered by the system:
Recipients of Antitrust Division (ATD) CID's in connection with
certain ATD civil investigations.
Categories of records in the system:
The CID number, the name of the CID recipient, the name of the
company that employs the CID recipient, the date of CID, the type of
CID (documentary, interrogatory or oral), the Department of Justice
file number for the investigation and/or the title or subject of the
previous investigation for which the CID was issued, and a reference
indicating whether a matter was litigated as a result of information
obtained by CID.
Authority for maintenance of the system:
The system is maintained pursuant to 28 U.S.C. 522, 44 U.S.C.
3101, and 28 CFR 0.40(a).
Purpose(s):
The proposed system contains information relating to the issuance
of CID's (CID's require the production of documents and/or answers to
written interrogatories, or oral testimony in connection with certain
ATD civil investigations.) The system will be used by ATD to
determine whether a party has been the recipient of a CID during a
previous investigation(s), to identify the title (or nature) of that
investigation(s), and to determine whether that individual should be
issued a CID in an ongoing investigation(s).
Routine uses of records maintained in the system, including
categories of users and the purpoose of such uses:
Where ATD has reason to believe that information from this system
of records, e.g., names of individuals who are potential sources of
information, may assist another agency (whether Federal State, local
or foreign) in the conduct of its investigation(s) the information
may be disclosed to such agency to provide that agency with or to
assist the agency in identifying essential investigative leads.
Records or information may be disclosed as a routine use in a
proceeding before a court or adjudicative body before which the
Department 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 the Department to be arguably relevant to the
litigation: The Department or any of the Department's components or
its subdivisions; any Department employee in his or her official
capacity, or in his or her individual capacity where the Department
of Justice agrees to represent the employee; or the United States
where the Department determines that the litigation is likely to
affect it or any of the Department's components or its subdivisions.
Records or information permitted to be released to the news media
and the public pursuant to 28 CFR 50.2 may be made available 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.
Records or information may be disclosed as is necessary to
respond to congressional inquiries on behalf of constituents
Records may be disclosed to the National Archives and Records
Administration (NARA) and to the General Services Administration in
records management inspections conducted under the authority of title
44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records in this system are stored in a computer database.
Retrievability:
Records are retrieved by the name of the individual who has been
issued a CID.
Safeguards:
The information stored on the computer database is password-
protected. Passwords and user ID's are issued to authorized ATD
employees only on a need-to-know basis.
Retention and disposal:
Proposed plans for the retention and disposal of these records
are being reviewed by the Department. Upon submission to and approved
by the NARA, this system notice will be revised to identify the
appropriate General Records Schedule that will govern the disposition
of these records.
System manager(s) and address:
The system manager is the Chief, Information Systems Support
Group, Antitrust Division, Department of Justice, Judiciary Center
Building, room 11852, 555 4th Street, NW, Washington, DC 20001.
Notification procedure:
Inquiries should be addressed to the Freedom of Information Act/
Privacy Act (FOIA/PA) Officer, Antitrust Division, Department of
Justice Liberty Place, Suite 200, Washington, DC 20530. Clearly mark
the letter and envelop ``FOIA/PA Request.''
Record access procedures:
Make all requests for access in writing and clearly mark the
letter and envelope ``FOIA/PA Request.'' Clearly indicate the name of
the requester, name of the individual for which information is sought
and provide the required verification of identity (28 CFR 16.41(d)).
Direct all requests to the FOIA/PA Officer listed above and provide a
return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the FOIA/
PA Officer listed above. State clearly and concisely the information
being contested, the reason for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelop ``FOIA/PA Request.''
Record source categories:
Employers of CID recipients, or other investigative sources, who
may provide the names of potential CID recipients; the individuals
covered by the system; and records generated by virtue of the
issuance of CID's.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
Board of Immigration Appeals
JUSTICE/BIA-001
System name: Decisions of the Board of Immigration Appeals.
System location:
5203 Leesburg Pike, Falls Church, Virginia 22041.
Categories of individuals covered by the system:
(a) Aliens, including those previously admitted for lawful
permanent residence, in deportation proceedings; (b) Aliens and
alleged aliens in exclusion proceedings; (c) Aliens seeking waivers
of inadmissibility; (d) Aliens in bond determination proceedings; (e)
Aliens in whose behalf a preference classification is sought.
Categories of records in the system:
This system of records consists of the formal orders and
decisions of the Board of Immigration Appeals, including the indices
and logs pertaining thereto.
Authority for maintenance of the system:
This system is established and maintained under the authority
granted the Attorney General by sections 103 and 292 of the
Immigration and Nationality Act, 8 U.S.C. 1103 and 1362. Such
authority has been delegated to the Board of Immigration Appeals by 8
CFR part 3.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Decisions of the Board of Immigration Appeals are
disseminated to the following categories of users for the purposes
indicated:
(a) Parties appearing before the Board, (including the
Immigration and Naturalization Service), their attorneys or other
representatives. Purpose: Parties are entitled to the decision as a
matter of due process; and in accordance with the requirements of 8
CFR 3.1(g).
(b) Other lawyers, organizations recognized to appear before the
Immigration and Naturalization Service and their representatives.
Purpose: To permit these users to be informed of current case law and
general maintenance of open system of jurisprudence.
(c) Members of Congress. Purpose: Constituent inquires.
(d) General public. Purpose: Selected decisions, designated as
precedent decisions pursuant to 8 CFR are published in bound volumes
of Administrative Decisions Under Immigration and Nationality Laws of
the United States. These are published to provide the public with
guidance on the administrative interpretation of the immigration laws
and to facilitate open and uniform adjudication of cases.
Release of information to the news media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of information to Members of Congress.
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in the system is kept in typed form and stored in
loose leaf binders.
Retrievability:
Each decision is indexed by name and a numerical identifier.
Safeguards:
Information contained in the records is unclassified and intended
for wide dissemination. No specific safeguards to prevent
unauthorized disclosure are employed since no type of disclosure is
presently regarded as ``unauthorized''. Access to buildings in which
records are stored is controlled by guards provided by GSA.
Retention and disposal:
Records are retained indefinitely and are not disposed of.
System manager(s) and address:
Executive Assistant, Board of Immigration Appeals, Department of
Justice, Washington, DC 20530.
Notification procedure:
Same as the above.
Record access procedures:
Decisions of the Board of Immigration Appeals are available to
anyone upon request pursuant to 5 U.S.C. 552a(b)(2).
Contesting record procedures:
Decisions of the Board of Immigration Appeals constitute official
opinions and are not subject to correction or amendment except in
accordance with accepted standards of due process. Decisions have
been exempted from the correction provisions of 5 U.S.C. 552a(d).
Record source categories:
Sources of information contained in this system are provided
primarily by the record of proceedings forwarded by the Immigration
and Naturalization Service. Additionally, the person concerned and
his representative provide information.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsection
(d)(2), (3) and (4) of the Privacy Act 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.
JUSTICE/BIA-002
System name: Roster of Organizations and their Accredited
Representatives Recognized by the Board of Immigration Appeals.
System location: 5203 Leesburg Pike, Falls Church, Virginia 22041.
Categories of individuals covered by the system: (a) Persons
associated in an official capacity with a recognized organization;
(b) Persons who have applied for, have been granted or have been
denied accreditation as representatives of recognized organizations.
Categories of records in the system: This system consists of (a) a
roster of charitable, social service and similar organizations, and
of their accredited representatives; (b) applications and related
documents submitted by such organizations and their representatives
and (c) orders of the Board of Immigration Appeals granting or
denying recognition to such organizations and their representatives.
Recognized organizations and their accredited representatives are
authorized to practice before the Immigration and Naturalization
Service and Board of Immigration Appeals.
Authority for maintenance of the system: This system is established
and maintained under the authority granted the Attorney General by
sections 103 and 292 of the Immigration and Nationality Act, 8 U.S.C.
1103 and 1362. Such authority has been delegated to the Board of
Immigration Appeals by 8 CFR part 292.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Copies of
decisions granting or denying applications for recognition and
accreditation are sent to (a) the organization seeking recognition
and (b) the Immigration and Naturalization Service.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information contained in the system is stored in file
folders.
Retrievability: Information is retrieved by use of the name of the
organization or person accredited.
Safeguards: Information contained in this record system is
unclassified. Access to building in which records are stored is
controlled by guards provided by GSA. No specific safeguards are
employed.
Retention and disposal: Records in this system are retained
indefinitely.
System manager(s) and address: Executive Assistant, Board of
Immigration Appeals, Department of Justice, Washington, DC 20530.
Notification procedure: Address inquiries to: Chairman, Board of
Immigration Appeals, Department of Justice, Washington, DC 20530.
Record access procedures: A request for access to a record from
this system shall be made in writing, with the envelope and letter
clearly marked ``Privacy Access Request.'' Include in the request(s)
the name of the organization which has sought, or has been granted or
denied recognition and the name of the individual who has sought
accreditation as a representative of such organization, or, where no
organization is concerned, the name of the individual who has sought
accreditation or recognition. The requester will provide a return
address for transmitting the information. Access requests will be
directed to the System Manager listed above.
Contesting record procedures: The procedures for contesting or
amending information contained in this system of records is governed
by 8 CFR part 292. The procedures require that organizations seeking
accreditation of their representatives be notified of adverse
information and be given an opportunity to rebut such information.
Record source categories: Sources of information contained in this
system are supplied by the organization seeking recognition,
individuals seeking accreditation, and reports supplied by the
Immigration and Naturalization Service.
Systems exempted from certain provisions of the act: None.
DEPARTMENT OF JUSTICE
Bureau of Prisons
JUSTICE/BOP-001
System name: Custodial and Security Record System.
System location:Records may be retained at any of the Bureau's
facilities, the Regional Offices and the Central Office. All requests
for records may be made to the Central Office; U.S. Bureau of
Prisons, 320 First Street NW,Washington, DC 20534.
Categories of individuals covered by the system:(1) Current and
former inmates under the custody of the Attorney General.
Categories of records in the system:(1) Conduct Records; (2) Escape
Information; (3) Assault information; (4) Disturbance Information;
(5) Investigative Reports; (6) Social Data; (7) Bus Movements; (8)
Transfers; (9) Emergency Plans; (10) Daily Activity Sheet; (11)
Intelligence Information; (12) Segrgation Reports and Log Book; (13)
Special Offender List; (14) Physical Health Data; (15) Personal
Property Records; (16) Identification and Sentence Data; (17) Records
of Work and Housing Assignments; (18) Visiting and Mail Records; (19)
Confidential Informant Information from Inmates, Staff and Others;
(20) Work and Study Release Information (21) FBI Referral Record;
(22) Rectal and X-ray Examination Record; (23) Phone Call Record.
Authority for maintenance of the system:This sytem is established
and maintained under authority of 18 U.S.C. 4003, 4042, 4082.
Routine uses of records maintained in the system, including
cateogries of users and the purposes of such uses:
The routine uses of this system are (a) to provide information
source and documents records of the protection given Federl inmates,
and security in Federal penal facilities; (b) to provide information
source to officers and employees of the Department of Justice who
have a need for the information in the performance of their ducties;
(c) to provide information source to state and Federal law enforcment
officials for investigation, possible criminal prosecutions, civil
court actions, or regulatory proceedings; (d) to provide information
source for responding to inquiries from Federal inmates involved or
Congressinal inquiries; (e) to provide information source for
contracting or consulting correctional agencies who provide service
to Federal inmates; (f) to provide information relating to Federal
offenders to Federal and state courts, court personnel, and probation
officials.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice, unless it is determined that specific
information in the context of a particular case would constitute an
unwarranted invasion of personal privacy.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available to a Member of Congress or staff acting
upon the Member's behalf when the Member or staff requests the
information on behalf or and at the request of the individual who is
the subject of the record.
Release of information to the National Archives and Records
Administration (NARA): A record from a system of records may be
disclosed as a routine use to the national Archives and Records
Administration (NARA) in records management inspections conducted
under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records int he system:
Storage: Information maintained in the system is stored on
documents.
Retrievability: Documents are indexed by name and/or register
number.
Safeguards: Information is safeguarded in accordance with Bureau of
Prisons rules governing access and release.
Retention and disposal: Records in this system are retained for a
period of thirty (30) years after expiration of sentence, then
destroyed by shredding.
System manager(s) and address: Cheif, Management and Information
Systems Group, U.S. Bureau of Prisons, 320 First Street NW,
Washington, DC 20534.
Notification procedure: Address inquiries to: Director, Bureau of
Prisons, 320 First Street NW, Washington, DC 20534. The major part of
this system is exempt from this requirement under 5 U.S.C. 552a(j).
Inquiries concerning this sytem should be directed to the System
manager listed above.
Record access procedures:The major part of this sytem is exempt
from this requirement under 5 U.S.C. 552a(j). to the extent that this
system of records is not subject to exemption, it is subject to
access and contest. A determination as to exemption shall be made at
the time a request for access is received.
Contesting record procedures: Same as the above.
Record source categories: (1) Inmates; (2) Federal Law Enforcement
Agencies; (3) State and Federal Probation Services; (4) Non-Federal
Law Enforcement Agencies; (5) Educational Institution (Study
Release); (6) Relatives, friends, and other interested community
individuals; (7) Former or Future Employee; (8) Evaluation,
Observations, and Findings of Institutional Staff; (9) Foreign Law
Enforcement Agencies.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this sytem from subsections (c)(3) and (4), (d),
(e)(2) and (3), (e)(4)(H), (e)(8), (f) and (g) of the Privacy Act
pursuant to 5 U.S.C. 552a(j). 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.
JUSTICE/BOP-003
System name: Industrial Inmate Employment Record System.
System location: Records may be retained at any of the Bureau's
facilities, the Regional Offices and the Central Office. All requests
for records may be made to the Central Office: U.S. Bureau of
Prisons, 320 First Street NW, Washington, DC 20534.
Categories of individuals covered by the system: Current and former
inmates under the custody of the Attorney General.
Categories of records in the system: (1) Inmate assignment records;
(2) Time and Attendance Reports; (3) Work Performance Reports; (4)
Payroll Records.
Authority for maintenance of the system: This system is established
and maintained under authority of 31 U.S.C. 841; 18 U.S.C. 4002, 4121
et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The routine uses
of this system are: (a) To determine compensation of inmates pursuant
to 18 U.S.C. 4002, 4126, 4125, 4121 et seq.; (b) to record employment
history of an inmate within the Federal Prison Industries, Inc.; (c)
to record disbursement of Federal Prison Industries, Inc., funds for
payroll purposes; (d) to evaluate effectiveness of industrial
training of inmates; (e) to evaluate authenticity of Federal Prison
Industries, inc., accounting records; (f) to provide information
source to officers and employees of the Department of Justice who
have need for information in the performance of their duties; (g) to
provide information sources to state and federal law enforcement
officials for investigations, possible criminal prosecution, civil
court actions, or regulatory proceedings; (h) to provide information
relating to federal offenders to federal and state courts, court
personnel, and probation officials.
Release of information to the news media: Information permitted
to be released to news media and the public pursuant to 28 CFR 50.2
may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information maintained in the system is stored on
documents, magnetic tape, magnetic disk, tab cards, and microfilm.
Retrievability: (1) Documents, Tab Cards and Microfilm--Information
is indexed by name and/or register number. (2) Magnetic Tape and
Disk--information is indexed by Name, Register Number, Social
Security Number, and FBI Number.
Safeguards: Information is safeguarded in accordance with Bureau of
Prisons rule governing access and release.
Retention and disposal: Records in this system are retained for a
period of thirty (30) years after expiration of sentence, then
destroyed by shredding.
System manager(s) and address: Chief, Management and Information
Systems Group, U.S. Bureau of Prisons, 320 First Street, NW,
Washington, DC 20534.
Notification procedure: Address inquiries to: Director, Bureau of
Prisons, 320 First Street, NW, Washington, DC 20534. The major part
of this system is exempt from this requirement under 5 U.S.C. 552a
(j). Inquiries concerning this system should be directed to the
System Manager listed above.
Record access procedures: The major part of this system is exempt
from this requirement under 5 U.S.C. 552a (j). To the extent that
this system of records is not subject to exemption, it is subject to
access and contest. A determination as to exemption shall be made at
the time a request for access is received.
Contesting record procedures: Same as the above.
Record source categories: (1) The inmate; (2) Bureau of Prisons/
Federal Prison Industries staff members; (3) U.S. Treasury
Department.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c)(3) and (4),
(d), (e)(2) and (3), (e)(4)(H), (e)(8), (f) and (g) of the Privacy
Act pursuant to 5 U.S.C. 552a (j). 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.
JUSTICE/BOP-004
System name: Inmate Administrative Remedy Record System.
System location: Records may be retained at any of the Bureau's
facilities, the Regional Offices and the Central Office. All requests
for records may be made to the Central Office: U.S. Bureau of
Prisons, 320 First Street NW, Washington, DC 20534.
Categories of individuals covered by the system: Current and former
inmates under the custody of the Attorney General.
Categories of records in the system: (1) ARS records include
information on the current offense and sentence; (2) Prior criminal
record; (3) Social background; (4) Institution adjustment; (5)
Institution program data; (6) Medical information; (7) Personal
property data.
Authority for maintenance of the system: The system is established
and maintained under authority of 18 U.S.C. 4042.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The routine uses
of this system are: (a) To maintain records of receipt, processing
and responses to grievances filed by inmates; (b) to provide source
of information for reconsideration or amendment of Federal Prison
System policy with regard to its operation; (c) to maintain source of
information as to the exhaustion of administrative remedies for
purposes of civil suits filed against the Federal Prison System by
inmates; (d) to provide source of information for purposes of
defending civil actions filed against the Federal Prison System by
inmates; (e) to provide source of infomration for statistical reports
furnished to Federal Courts for purpose of determining effectiveness
of the Administrative Remedy Program in reducing the backlog of cases
in Federal Court; (f) furnished to employees of the Department of
Justice who have a need for the information in the performance of
their duties; (g) furnished to appropriate law enforcement
authorities, state and federal, for investigation and possible
criminal prosecution, civil court action, or regulatory proceedings.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of reords may be disclosed as
a routine use to the National Archives and Records Adminostration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information maintained in the system is stored on
documents.
Retrievability: Documents are indexed by name and/or register
number.
Safeguards: Information is safeguarded in accordance with Bureau of
Prisons rules governing access and release.
Retention and disposal: Records in this system are retained for a
period of thirty (30) years after expiration of sentence, then
destroyed by shredding.
System manager(s) and address: Chief, Management and Information
Systems Group, U.S. Bureau of Prisons, 320 First Street NW,
Washington, DC 20534.
Notification procedure: Address inquiries to: Director, Bureau of
Prisons; 320 First Street NW, Washington, DC 20534. The major part of
this system is exempt from this requirement under 5 U.S.C. 552a (j).
Inquiries concerning this system shoud be directed to the System
Manager listed above.
Record access procedures: The major part of this system is exempt
from this requirement under 5 U.S.C. 552a (j). To the extent that
this system of records is not subject to exemption, it is subject to
access and contest. A determination as to exemption shall be made at
the time a request for access is received.
Contesting record procedures: Same as the above.
Record source categories: (1) ARS records sources include inmates,
employees; (2) U.S. Department of Justice and its Bureaus; (3) U.S.
Courts.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c) (3) and (4),
(d), (e) (2) and (3), (e)(4)(H), (e)(8), (f) and (g) of the Privacy
Act pursuant to 5 U.S.C. 552a (j). 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.
JUSTICE/BOP-005
System name: Inmate Central Records System.
System location:
Records may be retained at any of the Bureau's facilities, the
Regional Offices and the Central Office. All requests for records may
be made to the Central Office: U.S. Bureau of Prisons (BOP), 320
First Street, NW, Washington, DC 20534.
Categories of individuals covered by the system:
Current and former inmates under the custody of the Attorney
General.
Categories of records in the system:
(1) Computation of sentence and supporting documentation; (2)
Correspondence concerning pending charges, and wanted status,
including warrants; (3) Requests from other federal and non-federal
law enforcement agencies for notification prior to release; (4)
Records of the allowance, forfeiture, withholding and restoration of
good time; (5) Information concerning present offense, prior criminal
background, sentence and parole from the U.S. Attorneys, the Federal
courts, and federal prosecuting agencies; (6) Identification data,
physical description, photograph and fingerprints; (7) Order of
designation of institution of original commitment; (8) Records and
reports of work and housing assignments; (9) Program selection,
assignment and performance adjustment/progress reports; (10) Conduct
Records; (11) Social background; (12) Educational data; (13) Physical
and mental health data; (14) Parole Board orders actions and related
forms; (15) Correspondence regarding release planning, adjustment and
violations; (16) Transfer orders; (17) Mail and visit records; (18)
Personal property records; (19) Safety reports and rules; (20)
Release processing forms and certificates; (21) Interview request
forms from inmates; (22) General correspondence; (23) Copies of
inmate court petitions.
Authority for maintenance of the system:
This system is established and maintained under authority of 18
U.S.C. 4003, 4042, 4082.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This system contains records of the classification, care,
subsistence, protection, discipline, and programs, and other
information relating to persons committed to the custody of the
Attorney General. The routine uses of this system are (a) to provide
an information source to officers and employees of the Department of
Justice who have a need for the information in the performance of
their duties; (b) to provide an information source to law enforcement
officials for investigations, criminal prosecutions, civil court
actions, or regulatory proceedings; (c) to provide an information
source for disclosure of information on matters solely of general
public record, such as name, offense, sentence data, and release
date; (d) to disclose information to contracting or consulting or
correctional agencies that provide correctional services for federal
inmates; (e) to provide an information source for responding to
inquiries from federal inmates invlved or congressional inquiries;
(f) to provide information relating to federal offenders to the
courts, including court officials and probation officers; (g) to
provide victims and/or witnesses, pursuant to victim/witness federal
legislation and policy, information relating to an inmate's furlough,
parole (including appearance before the Parole Commission), transfer
to a community treatment facility, mandatory release, expiration of
sentence, escape (including apprehension), death, and other such
release-related information; (h) to provide state agencies or
authorities, pursuant to Pub. L. 98-135, identifying data of BOP
inmates for the purpose of matching the data against state records to
review the eligibility of these inmates for unemployment
compensation; the requesting state is to erase the BOP data after
this determination has been made; (i) to provide the Social Security
Administration (SSA), pursuant to Pub. L. 96-473, identifying data of
BOP inmates for the purpose of matching the data against SSA records
to enable the SSA to determine the eligibility of BOP inmates to
receive benefits under the Social Security Act; SSA is to erase the
BOP data after the match has been made; (j) to provide the Veterans
Administration (VA), pursuant to Pub. L. 96-385, identifying data of
BOP inmates for the purpose of matching the data against VA records
to determine the eligibility of BOP inmates to receive veterans'
benefits; the VA is to erase the BOP data after the match has been
made; (k) to provide information from an inmate record to an
employee, former employee, or his or her designated representative
when such information is included in the employee's or former
employee's adverse or disciplinary personnel action file with respect
to proposed adverse or disciplinary personnel action against that
employee or former employee; the employee's or former employee's
adverse or disciplinary personnel action file is covered by a
government-wide system of records published by the Office of
Personnel Management (OPM) entitled ``Adverse Action Records, OPM/
GOVT-3;'' to protect the privacy of the inmate, information
transferred to the employee's or former employee's adverse or
disciplinary personnel action file will be sanitized as warranted
and/or appropriate protective orders may be requested to prevent
further dissemination; and (l) to provide an employee, former
employee, or his or her designated representative information from an
inmate record pursuant to regulations or order of any body properly
trying the merits of an adverse or disciplinary personnel action,
including an administrative agency, arbitrator, or court of competent
jurisdiction; to protect the privacy of the inmate, information
provided the employee, former employee, or his or her designated
representative will be sanitized as warranted and/or appropriate
protective orders may be requested to prevent further dissemination.
Release of information to the news media:
Information which may be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of information to members of congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552 may be made available 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.
Release of information to the National Archives and Records
Administration:
A record from a system of records may be disclosed as a routine
use to the National Archives and Records Administration (NARA) in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is stored on documents,
magnetic tape, magnetic disk, tab cards, and microfilm.
Retrievability:
(1) Documents, Tab Cards and Microfilm--Information is indexed by
name and/or register number. (2) Magnetic Tape and Disk--Information
is indexed by Name, Register Number, Social Security Number, and FBI
Number.
Safeguards:
Information is safeguarded in accordance with Bureau of Prisons
rule governing access and release.
Retention and disposal:
Records of a sentenced inmate are retained for a period of thirty
(30) years after expiration of sentence, then destroyed by shredding.
Records of an unsentenced inmate are retained for a period of ten
(10) years after the inmate's release from confinement, then
destroyed by shredding.
System manager(s) and address:
Chief, Management and Information Systems Group, U.S. Bureau of
Prisons, 320 First Street, NW, Washington, DC 20534.
Notification procedure:
Address inquiries to: Director, Bureau of Prisons, 320 First
Street, NW, Washington, DC 20534. The major part of this system is
exempt from this requirement under 5 U.S.C. 552a(j). Inquiries
concerning this system should be directed to the System Manager
listed above.
Record access procedures:
The major part of this system is exempt from the requirements of
5 U.S.C. 552a(j). To the extent that this system of records is not
subject to exemption, it is subject to access and contest. A
determination as to exemption shall be made at the time a request for
access is received.
Contesting record procedures:
Same as the above.
Record source categories:
(1) Individual inmate: (2) Federal law enforcement agencies and
personnel; (3) State and federal probation services; (4) Non-federal
law enforcement agencies; (5) Educational institutions; (6) Hospital
or medical sources; (7) Relatives, friends and other interested
individuals or groups in the community; (8) Former or future
employers; (9) Evaluations, observations, reports, and findings of
institution supervisors, counselors, boards and committees.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (2) and (3), (e)(4)(H), (e)(8), (f) and (g)
of the Privacy Act pursuant to 5 U.S.C. 552a(j). 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.
JUSTICE/BOP-006
System name: Inmate Commissary Accounts Record System.
System location: Records may be retained at any of the Bureau's
facilities, the Regional Offices and the Central Office. All requests
for records may be made to the Central Office: U.S. Bureau of
Prisons, 320 First Street, NW, Washington, DC 20534.
Categories of individuals covered by the system: Current and former
inmates under the custody of the Attorney General.
Categories of records in the system: (1) Financial data; (2)
Identification data. Both categories of records will be automated.
The Bureau facilities will have responsibility for their maintenance.
The records will be accessible by the telecommunications means of BOP
facilities, Regional Offices and the Central Office.
Authority for maintenance of the system: This system is established
and maintained under authority of 18 U.S.C. 4042.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The routine uses
of this system are: (a) To maintain financial accounting of payments
into and out of inmate trust fund accounts; (b) to provide accounts
of inmate trust fund accounts for purposes of verifying pauper status
under 28 U.S.C. 1915; (c) to provide information source to officers
and employees of the Department of Justice who have need for
information in the performance of their duties; (d) to provide
information source to state and federal law enforcement officials for
investigations, possible criminal prosecutions, civil court actions,
or regulatory proceedings.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authorities of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information maintained in the system will be stored on
documents electronically on the Department of Justice Computer System
separate from the BOP Central Office.
Retrievability: Information on the automated system will be indexed
by name and/or register number.
Safeguards: The Inmate Commissary Accounts Record System will be
protected by both physical security methods and dissemination and
access controls. Access to this information will be limited to those
persons with a demonstrated and lawful need to know, in order to
perform assigned functions.
Protection of the automated system will be provided by
physical, procedural and electronic means. The files will reside on
the Department of Justice Computer System which is physically
attended or guarded on a full-time basis. For retrieval purpose,
access to active telecommunications terminals will be limited to
those persons with a demonstrated need to know. For update purposes,
access to the files will be limited to BOP facilities employees, as
required in the performance of their assigned duties. Surreptitious
access to an unattended terminal will be precluded by a complex
authentication procedure. The procedure will be provided only to
authorized BOP employees.
An automated log of queries will be maintained for each
terminal. Improper procedure will result in no access, and under
certain conditions complete lockout of the terminal, pending
restoration by the master controller at the BOP Central Office after
appropriate verification has been received. Unattended terminals,
after normal office hours, will be electronically disconnected by the
master controller at the BOP Central Office. All terminals will have
key locks and will be located in lockable facilities.
Retention and disposal: Records in this system will be retained for
a period of ten (10) years after expiration of sentence, then
destroyed by electronic means.
System manager(s) and address: Chief, Management and Information
Systems Group, U.S. Bureau of Prisons, 320 First Street, NW,
Washington, DC 20534.
Notification procedure: Address inquiries to: Director; Bureau of
Prisons; 320 First Street, NW, Washington, DC 20534. The major part
of this system is exempt from this requirement under 5 U.S.C.
552a(j). Inquiries concerning this system should be directed to the
System Manager listed above.
Record access procedures: The major part of this system is exempt
from this requirement under 5 U.S.C. 552a (j). To the extent that
this system of records is not subject to exemption, it is subject to
access and contest. A determination as to exemption shall be made at
the time a request for access is received.
Contesting record procedures: Same as the above.
Record source categories: (1) Inmates; (2) Department of Justice
employees.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c)(3) and (4),
(d), (e)(2) and (3), (e)(4)(H), (e)(8), (f) and (g) of the Privacy
Act pursuant to 5 U.S.C. 552a (j). Rules have been promulgated in
accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and
been published in the Federal Register.
JUSTICE/BOP-007
System name: Inmate Physical and Mental Health Record System.
System location: Records may be retained at any of the Bureau's
facilities, the Regional Offices and the Central Office. All requests
for records may be made to the Central Office: U.S. Bureau of
Prisons, 320 First Street NW, Washington, DC 20534.
Categories of individuals covered by the system: Current and former
inmates under the custody of the Attorney General.
Categories of records in the system: (1) Medical history and
examination (past and present); (2) Dental history and examination
(past and present); (3) Medical information concerning deaths of
inmates; (4) Offense; (5) Mental Health and Drug Abuse interview and
testing data, generated in Bureau of Prisons; (6) Mental Health
information generated outside Bureau of Prisons by other corrections
agencies, mental hospitals, private therapists, etc.; (7) information
as per (5) and (6) above on unsentenced individuals committed under
Title 18, sections 4244 and 4246; (8) Mental Health Treatment
progress notes and observations made by other staff members; (9)
Urine surveillance reports of drug program participants.
Authority for maintenance of the system: The system is established
and maintained under authority of 18 U.S.C. 4003, 4042, 4082.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The routine uses
of this system are: (a) To provide documented records of the
diagnosis, treatment, and cure of illnesses of persons committed to
the custody of the Attorney General pursuant to 18 U.S.C. 4082; (b)
to provide documented records and background medical, mental, or
dental history to contracting, or consulting physicians,
psychologists and psychiatrists, and dentists, or other specialists,
for diagnosis, treatment and cure of federal inmates; (c) to provide
information source to officers and employees of the Department of
Justice who have a need for the information in the performance of
their duties; (d) to provide information source for disclosure to
state and federal law enforcement officials for investigations,
possible criminal prosecutions, civil court actions, or regulatory
proceedings; (e) to provide information source for responding to
inquiries from federal inmates or Congressional inquiries; (f) to
provide information relating to federal offenders to federal and
state courts, court personnel, and probation officials; (g) to
provide medical information relevant to the treatment being provided
by physicans, psychiatrists, psychologists, state and federal medical
facility personnel, other medical agencies and etc., providing
treatment for a pre-existing condition for ex-federal offenders.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information maintained in the system is stored on
documents, magnetic tape, magnetic disk, tab cards, and microfilm.
Retrievability: (1) Documents, Tab Cards, and Microfilm--
Information is indexed by name and/or register number--(2) Magnetic
Tape and Disk--Information is indexed by name, register number,
social security number, and FBI number.
Safeguards: Information is safeguarded in accordance with Bureau of
Prisons rules governing access and release.
Retention and disposal: Records in this system are retained for a
period of thirty (30) years after expiration of sentence, then
destroyed by shredding.
System manager(s) and address: Chief, Management and Information
Systems Group, U.S. Bureau of Prisons, 320 First Street NW,
Washington, DC 20534.
Notification procedure: Address inquiries to: Director, Bureau of
Prisons, 320 First Street NW, Washington, DC 20534. The major part of
this system is exempt from this requirement under 5 U.S.C. 552a (j).
Inquiries concerning this system shoud be directed to the System
Manager listed above.
Record access procedures: The major part of this system is exempt
from this requirement under 5 U.S.C. 552a (j). To the extent that
this system of records is not subject to exemption, it is subject to
access and contest. A determination as to exemptions shall be made at
the time a request for access is received.
Contesting record procedures: Same as the above.
Record source categories: (1) Individual; (2) Hospital and/or
medical sources; (3) Pre-sentence reports; (4) Other mental health
care giving agencies; (5) Observation reports from other Bureau of
Prisons staff.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c)(3) and (4),
(d), (e)(2) and (3), (e)(4)(H), (e)(8), (f) and (g) of the Privacy
Act pursuant to 5 U.S.C. 552a (j). 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.
JUSTICE/BOP-008
System name: Inmate Safety and Accident Compensation Record
System.
System location: Records may be retained at any of the Bureau's
facilities, the Regional Offices and the Central Office. All requests
for records may be made to the Central Office: U.S. Bureau of
Prisons, 320 First Street, NW, Washington, DC 20534.
Categories of individuals covered by the system: Current and former
inmates under the custody of the Attorney General.
Categories of records in the system: Inmate accident/injuries data
sustained by: (a) Work related accidents; (b) Recreational injuries;
(c) Vehicle accidents; (d) Assaults; (e) Other non-work accident/
injuries.
Authority for maintenance of the system: This system is established
and maintained under authority of 18 U.S.C. 4003, 4042, 4082.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The routine uses
of this system are: (a) To provide a documented record of inmate
accidents, injuries, for the purpose of measuring safety programs
effectiveness; (b) to provide information source for compliance with
the Occupational Safety and Health Act; (c) to provide documented
records of inmate accidents, injuries, and disabilities for
adjudication of claims by inmates filed pursuant to the Inmate
Accident Compensation System, 18 U.S.C. 4126; Chapter III, Federal
Prisons Industries, 28 CFR part 301; (d) furnished to employees of
the Department of Justice who require information from these records
for performance of their duty; (e) to provide background information
and litigation reports to United States Attorneys for purpose of
defending civil actions filed against the Bureau of Prisons; (f)
furnished to consultant physicians treating inmates following release
from custody for the purpose of providing prior medical history in
conjunction with further treatment of the individual inmate; (g) to
provide documented records for disclosure to appropriate law
enforcement authorities, state or federal, for investigation and
possible criminal prosecution, civil court action, or regulatory
proceeding; (h) to provide information source for responding to
inquiries from the inmate involved or Congrressional inquiries; (i)
to provide information relating to federal offenders to federal and
state courts, court personnel, and probation officials.
Release of information to the news media: Information permitted
to be released to news media and the public pursuant to 28 CFR 50.2
may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information maintained in the system is stored on
documents, magnetic tape, magnetic disk, tab cards, and microfilm.
Retrievability: Documents are indexed by name and/or register
number.
Safeguards:
Information is safeguarded in accordance with Bureau of Prisons
rule governing access and release.
Retention and disposal: Records in this system are retained for a
period of thirty (30) years after expiration of sentence, then
destroyed by shredding.
System manager(s) and address: Chief, Management and Information
Systems Group, U.S. Bureau of Prisons, 320 First Street, NW,
Washington, DC 20534.
Notification procedure: Address inquiries to: Director, Bureau of
Prisons, 320 First Street, NW, Washington, DC 20534. The major part
of this system is exempt from this requirement under 5 U.S.C. 552a
(j). Inquiries concerning this system should be directed to the
System Manager listed above.
Record access procedures: The major part of this system is exempt
from this requirement under 5 U.S.C. 552a(j). To the extent that this
system of records is not subject to exemption, it is subject to
access and contest. A determination as to exemption shall be made at
the time a request for access is received.
Contesting record procedures: Same as the above.
Record source categories: (1) The inmate; (2) Bureau of Prisons
staff members; (3) Medical staff members and medical consultants; (4)
U.S. Probation Officers; (5) Attorneys; (6) Relatives of inmates; (7)
Inquiries and replies to Congressmen; (8) U.S. Attorneys.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c)(3) and (4),
(d), (e)(2) and (3), (e)(4)(H), (e)(8), (f) and (g) of the Privacy
Act pursuant to 5 U.S.C. 552a (j). 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.
JUSTICE/BOP-009
System name: Federal Tort Claims Act Record System.
System location: Records may be retained at any of the Bureau's
facilities, the Regional Offices and the Central Office. All requests
for records may be made to the Central Office: U.S. Bureau of
Prisons, 320 First Street NW, Washington, DC 20534.
Categories of individuals covered by the system: Current and former
inmates under the custody of the Attorney General.
Categories of records in the system: (1) Administrative Tort claims
and supporting documents; (2) Personal data; (3) Investigative
reports; (4) Medical reports; (5) Property records; (6) Litigation
reports; (7) Reports made in preparation of litigation; (8) Social
and Criminal Background; (9) Employment History; (10) Correspondence;
(11) Litigation Pleadings and Court Decisions.
Authority for maintenance of the system: The system is established
and maintained under authority of 28 U.S.C. 2671 et seq. FTCA.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The routine uses
of this system are: (a) To provide information source for purposes of
adjudicating claims for personal injury and property damages pursuant
to the Federal Tort Claims Act, 28 U.S.C. 2675; (b) to provide
information source for purposes of preparing reports concerning
litigation in United States Courts under the Federal Tort Claims Act,
28 U.S.C. 2671 et seq; (c) to provide information source that is
furnished to counsel for claimants under the Federal Tort Claims Act;
(d) to provide information source that is furnished to medical
officials when requested by claimants under the Federal Tort Claims
Act; (e) to provide information source that is disclosed to employees
of the Department of Justice who have a need for the information in
the performance of their duties; (f) to provide information source to
state and federal law enforcement officials for the purpose of
investigations, possible criminal prosecutions, civil court actions,
or regulatroy proceedings; (g) to provide information relating to
federal offenders to federal and state courts, court personnel, and
probation officials.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information maintained in the system is stored on
documents.
Retrievability: Documents are indexed by name and/or register
number.
Safeguards: Information is safeguarded in accordance with Bureau of
Prisons rules governing access and release.
Retention and disposal: Records in this system are retained for a
period of thirty (30) years after expiration of sentence, then
destroyed by shredding.
System manager(s) and address: Chief, Management and Information
Systems Group, U.S. Bureau of Prisons, 320 First Street NW,
Washington, DC 20534.
Notification procedure: Address inquiries to: Director, Bureau of
Prisons, 320 First Street NW, Washington, DC 20534. The major part of
this system is exempt from this requirement under 5 U.S.C. 552a(j).
Inquiries concerning this system shoud be directed to the System
Manager listed above.
Record access procedures: The major part of this system is exempt
from this requirement under 5 U.S.C. 552a (j). To the extent that
this system of records is not subject to exemption, it is subject to
access and contest. A determination as to exemptions shall be made at
the time a request for access is received.
Contesting record procedures: Same as the above.
Record source categories: (1) Inmates; (2) Department of Justice
Employees; (3) U.S. Probation Service; (4) Contract and Consulting
Physicians Including Hospitals; (5) Attorneys; (6) Relatives and
friends of Inmates; (7) Congress; (8) State and Federal Law
Enforcement Agencies.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c)(3) and (4),
(d), (e)(2) and (3), (e)(4)(H), (e)(8), (f) and (g) of the Privacy
Act pursuant to 5 U.S.C. 552a(j). Rules have been promulgated in
accordance with the requirements of 5 U.S.C. 553(b), (c) and (e)
JUSTICE/BOP-11
System name:
Telephone Activity Record System, Justice/BOP-011.
System location:
Bureau of Prisons (BOP) Central Office, 320 First Street, NW.,
Washington, DC 20534;
BOP Northeast Regional Office, U.S. Customs House, 7th Floor, 2nd
and Chestnut Street, Philadelphia, Pennsylvania, 19106;
BOP Mid-Atlantic Regional Office, Junction Business Park, 10010
Junction Drive, Suite 100N, Annapolis Junction, Maryland 20701;
BOP Southeast Regional Office, 523 McDonough Boulevard, Atlanta,
Georgia 30315;
BOP North Central Regional Office, Gateway Complex, Inc., Tower
II, 8th Floor, 4th and State Avenue, Kansas City, Kansas 66101-2492;
BOP South Central Regional Office, 4211 Cedar Springs Road, Suite
300, Dallas, Texas 75219;
BOP Western Regional Office, 7950 Dublin Boulevard, 3rd Floor,
Dublin, California 94568.
In addition, records may be retained at any of the BOP
institutions located within the regions. A complete list may be found
in 28 CFR part 503.
Categories of individuals covered by the system:
Current and former inmates, including pre-trial detainees, under
the custody of the Attorney General. Recipients of telephone calls
from current and former inmates. Individuals on the approved
telephone lists of current or former inmates. Individuals who
request, in writing, that the BOP delete their name and telephone
number from inmate telephone lists.
Categories of records in the system:
(1) Personal identification data; (2) accounting data, including
amounts deposited by the inmate, call charges, and account balances;
(3) telephone call data, including date, time, and duration of each
call; the name and register number of the inmate who placed the call;
and the telephone number and name of the call recipient and his/her
relationship to the inmate, and audiotapes of telephone calls; and
(4) investigatory data developed internally as well as any related
data collected from Federal, State, local and foreign law enforcement
agencies, and from Federal and State probation and judicial offices.
Authority for maintenance of the system:
18 U.S.C. 2510 et. seq., 3621, 4003, 4042 and 4082.
Purpose(s)
This system of records is maintained to manage financial records
relating to inmate calls and to ensure that inmates exercise their
telephone privileges in a manner consistent with correctional goals.
The related uses for which BOP will maintain the system include (1)
accounting of inmate funds for telephone use; (2) maintaining inmate
telephone lists; (3) monitoring of inmate telephone activity; and (4)
conducting investigations, e.g., investigations of inmate funds as
related to telephone usage, and/or illegal activities or suspected
illegal activities being conducted, coordinated, or directed from
within a Federal correctional institution.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Relevant information will be disclosed from this system as
follows:
a. To Federal, State, local and foreign law enforcement officials
for law enforcement needs such as civil court actions, regulatory
proceedings, responding to an emergency, inmate disciplinary
proceedings in the course of apprehensions or other disposition; or
for such law enforcement needs as prison administration,
investigations, and possible criminal prosecutions, including
possible criminal violations discovered as part of telephone
monitoring done for the safety, security and good order of penal
institutions. Such telephone monitoring information will be disclosed
only in accordance with the provisions of the Federal wiretap
statutes contained in 18 U.S.C. 2510 et. seq. and BOP implementing
policy.
b. To a court or adjudicative body before which the Department
and/or BOP 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 BOP to be arguably relevant to the litigation: (i)
BOP, or any subdivision thereof, or (ii) any employee of BOP in his
or her official capacity, or (iii) any employee of BOP in his or her
individual capacity where the Department of Justice has agreed to
provide representation for the employee, or (iv) the United States,
where BOP determines that the litigation is likely to affect it or
any of its subdivisions.
c. To contractors and subcontractors responsible for maintaining
telephone service to Federal inmates to the extent necessary to
perform contractual duties.
d. To Members 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 a record subject.
e. 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.
f. To the National Archives and Records Administration and to the
General Services Administration during a records management
inspection conducted under 44 U.S.C. 2904 and 2906.
g. To affected non-inmate record subjects to the extent necessary
to provide such persons with information concerning placement and/or
removal from an inmate's telephone list.
h. To any person or entity to the extent necessary to prevent an
imminent and potential crime which directly threatens loss of life or
serious bodily injury.
i. To an administrative forum, which may or may not include an
Administrative Law Judge, or which may or may not convene public
hearings/proceedings, or to other established adjudicatory or
regulatory agencies, e.g., the Merit Systems 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 BOP
investigations, including (but not limited to) decisions to effect
any necessary remedial actions, e.g., disciplinary and/or other
appropriate personnel actions, and/or other law enforcement related
actions, where appropriate; to protect the privacy of the
individuals, information provided will be sanitized as warranted and/
or protective order may be requested to prevent further
dissemination.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is stored in electronic
media via a configuration of personal computer, client/server, and
mainframe systems architecture and may be accessible by those with a
need-to-know at all BOP facilities. Some information may be stored on
other computerized media, e.g., hard disk, floppy diskettes, magnetic
tape and/or optical disks. Documentary records are maintained in
manual file folders and/or on index card files.
Retrievability:
Records may be retrieved by identifying data including name and/
or register number of inmate; and/or by name and/or telephone number
of call recipient or individual on approved inmate telephone list.
Safeguards:
Manual records are stored in locked filing cabinets or in safes
and can be accessed only by authorized personnel by key or
combination formula. Automated equipment is kept in secured rooms and
can be accessed only by authorized personnel through passwords and
identification codes. All records are maintained in guarded
buildings.
Retention and disposal:
Automated records in this system are maintained on magnetic
medium ordinarily for six years from the date created, at which time
they will be overwritten with new data. Paper documents are
maintained for a period of 30 years from expiration of sentence of
the inmate, at which time they are destroyed by shredding. Audiotapes
are maintained ordinarily for six months from the date created, at
which time they are overwritten with new data.
System manager(s) and address:
Assistant Director, Administration Division, Federal Bureau of
Prisons, 320 First Street, NW, Washington, DC 20534.
Notification procedure:
The major part of this system is exempt pursuant to 5 U.S.C.
552a(j)(2). Inquiries should be directed pursuant to the ``Record
Access Procedures'' listed below.
Record access procedures:
All requests for records may be made by writing to the System
Manager identified above, Federal Bureau of Prisons, 320 First
Street, NW., Washington, DC 20534. The envelope should be clearly
marked ``Freedom of Information/Privacy Act Request.'' This system of
records is exempted from access pursuant to 5 U.S.C. 552a(j)(2). A
determination as to the applicability of the exemption to a
particular record(s) shall be made at the time a request for access
is received.
Contesting record procedures:
Same as above.
Record source categories:
Individuals covered by the system; BOP staff; Federal, State,
local and foreign law enforcement agencies; and Federal/State
probation and judicial offices.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (2) and (3), (e) (5) and (8), (f) and (g)
of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2) and (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.
JUSTICE/BOP-12
System name:
Bureau of Prisons (BOP), Office of Internal Affairs Investigative
Records, JUSTICE/BOP-012.
System location:
Bureau of Prisons (BOP) Central Office, 320 First Street NW.,
Washington, DC 20534;
BOP Northeast Regional Office, U.S. Customs House, 7th Floor,
2nd and Chestnut Street, Philadelphia, Pennsylvania, 19106;
BOP Mid-Atlantic Regional Office, Junction Business Park, 10010
Junction Drive, Suite 100N, Annapolis Junction, Maryland 20701;
BOP Southeast Regional Office, 523 McDonough Boulevard,
Atlanta, Georgia 30315
BOP North Central Regional Office, Gateway Complex, Inc., Tower
II, 8th Floor, 4th and State Avenue, Kansas City, Kansas 66101-2492
BOP South Central Regional Office, 4211 Cedar Springs Road,
Suite 300, Dallas, Texas 75219
BOP Western Regional Office, 7950 Dublin Boulevard, 3rd Floor,
Dublin, California 94568.
In addition, records may be retained at any of the BOP
institutions located within the regions. A complete list may be found
in 28 CFR part 503.
Categories of individuals covered by the system:
In connection with its investigative duties, the Office of
Internal Affairs (OIA) will maintain records on the following
categories of individuals:
a. Individuals or entities who are or have been the subject of
inquiries of investigations conducted by the BOP including current or
former employees of the BOP; current and former consultants,
contractors, and subcontractors with whom the agency has contracted
and their employees; grantees to whom the BOP has awarded grants and
their employees; and such other individuals or entities whose
association with the BOP relates to alleged violation(s) of the BOP's
rules of conduct, the Civil Service merit system, and/or criminal or
civil law, which may affect the integrity or physical facilities of
the BOP.
b. Individuals who are witnesses; complainants; confidential or
nonconfidential informants; and parties who have been identified by
the BOP or by other agencies, by constituent units of the BOP, or by
members of the general public as potential subjects of or parties to
an investigation under the jurisdiction of the BOP, OIA.
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:
Inspector General Act of 1978, 5 U.S.C. App., as amended by the
Inspector General Act Amendments of 1988.
Purpose(s):
The BOP, OIA will maintain this system of records in order to
conduct its responsibilities pursuant to the Inspector General Act of
1978, 5 U.S.C. App., as amended by the Inspector General Act
Amendments of 1988. The OIA is statutorily directed to conduct and
supervise investigations relating to programs and operations of the
BOP; to promote economy, efficiency, and effectiveness in the
administration of such programs and operations; and to prevent and
detect fraud, waste and abuse in such programs and operations.
Accordingly, the records in this system are used in the course of
investigating individuals and entities suspected of having committed
illegal or unethical acts and in conducting relating criminal
prosecutions, civil proceedings, or administrative actions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records in this system may be disclosed as follows:
a. In the event that records indicate a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and 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 violation, enforcing or implementing such statute,
rule, regulation or order, or with enforcing the term of such
contract or grant.
b. A record may be disclosed to a Federal, State, local, foreign
or international agency, or to an individual or organization when
necessary to elicit information which will assist an investigation,
inspection or audit.
c. A record may be disclosed to a Federal, State, local, foreign
or international agency maintaining civil, criminal or other relevant
information if necessary to obtain information relevant to a BOP
decision concerning the assignment, hiring or retention of an
individual, the issuance or revocation of a security clearance, the
reporting of an investigation of an individual, the letting of a
contract, or the issuance or revocation of a license, grant or other
benefit.
d. A record may be disclosed 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.
e. A record may be disclosed 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 the request of, the individual who is
the subject of the record.
f. Relevant records may be disclosed to an administrative forum,
including Ad Hoc 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 agencies, e.g., the Merit Systems 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.
g. A record may be disclosed to complainants and/or victims to
the extent necessary to provide such persons with information
concerning the results of the investigation or case arising from the
matters of which they complained and/or of which they were a victim.
h. A record may be disclosed to the National Archives and Records
Administration and to the General Services Administration during a
records management inspection conducted under 44 U.S.C. 2904 and
2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Information in this system is stored manually in file jackets and
electronically in office automation equipment.
Retrievability:
Entries are arranged alphabetically and are retrieved with
reference to the surnames of the individuals covered by this system
of records.
Safeguards:
Information and/or manual records are stored in safes, locked
filing cabinets, and office automation equipment in secured rooms or
in guarded buildings, and accessed only by authorized, screened
personnel.
Retention and disposal:
Records in this system are retained and disposed of in accordance
with General Records Schedule 22.
System manager(s) and address:
Assistant Director/General Counsel, Office of General Counsel,
Federal Bureau of Prisons, 320 First Street NW, Washington, DC 20534.
Notification procedure:
Inquiries concerning this system should be directed to the System
Manager listed above.
Record access procedures:
The major part of this system is exempted from this requirement
pursuant to 5 U.S.C. 552a (j)(2), (k)(1), 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 exemption shall be made at
the time a request for access is received. A request for access to
records contained in this system shall be made in writing, with the
envelope and the letter clearly marked ``Privacy Act Request.''
Include in this request the full name of the individual involved, his
or her current address, date and place of birth, notarized signature,
and any other identifying number or information which may be of
assistance in locating the record. The requester shall also provide a
return address for transmitting the information. Access requests
shall be directed to the System Manager listed above.
Contesting record procedures:
The major part of this system is exempted from this requirement
pursuant to 5 U.S.C. 552a (j)(2), (k)(1) 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 exemption shall
be made at the time a request for contest is received. Requesters
shall direct their request to the System Manager listed above,
stating clearly and concisely what information is being contested,
the reason 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 BOP
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.
Systems 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
subsections (k)(1) and (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.
JUSTICE/BOP-014
System name:
Employee Assistance Program Record System.
System location:
Records may be retained at the Central Office, Regional Offices,
and at any of the Bureau of Prisons (Bureau) facilities. A list of
these system locations may be found at 28 CFR part 503 and on the
Internet at http://www.bop.gov.
Categories of individuals covered by the system:
Current and former employees of the Bureau of Prisons who have
sought counseling or been referred for treatment or referral through
the Employee Assistance Program (EAP). To the limited degree that
treatment and referral may be provided to family members of Bureau
employees, these individuals are also covered by the system. The
remainder of this notice will refer to all persons covered by the
system as ``EAP client(s).''
Categories of records in the system:
The system contains records of EAP clients who have sought or
been referred to the EAP for treatment and/or referral. These records
may include the following:
(1) Identification data, including name, Social Security number,
driver's license number, Bureau employee number, EAP system-generated
number, job title and/or series, age and/or date of birth, sex,
financial history, medical/mental health insurance information, home
and/or work addresses, e-mail addresses and telephone numbers;
(2) Information from other Bureau staff and/or the employee's
supervisor, on work place or performance problems, address and
telephone numbers for the supervisor and/or other Bureau staff, and
referral memoranda and/or e-mail correspondence from the employee's
supervisor and/or other staff;
(3) Information and correspondence from outside sources, e.g.
initial contacts from interested persons who are not Bureau staff;
(4) Information generated by EAP staff concerning the EAP client,
including background information, assessment, prognosis and
counseling details;
(5) Information concerning referrals to community-based treatment
programs or individuals, including the initial referral, addresses,
telephone numbers, and credentials of treatment facilities or
individuals providing treatment, and records of the employee's
attendance, billing accounts, and progress;
(6) Pertinent employee records including leave and/or work Time
and Attendance (T and A) records, written consent forms, disciplinary
actions and/or abeyance agreements, drug testing records and
information on confirmed unjustified positive drug tests.
Authority for maintenance of the system:
42 U.S.C. 290dd et seq.; 42 CFR part 2; Executive Order 12564; 5
U.S.C. 3301, 7361, 7362, 7901 and 7904; 44 U.S.C. 3101 and Pub. L.
100-71, 101 Stat. 391, Sec. 503 (July 11, 1987).
Purpose(s):
These records assist EAP staff in the execution of its
assessment, counseling and referral function. They document the
nature and effects of EAP client problems and counseling by EAP
staff, referral to, and participation in, outside treatment and
counseling programs, and the EAP client's progress. These records may
also be used to track compliance with abeyance agreements made to
mitigate employee discipline actions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Relevant data from this system will be disclosed as follows:
(a) To appropriate State or local authorities to report incidents
of suspected child, elder, or domestic abuse and/or neglect, as
required under State law;
(b) To any person or entity to the extent necessary to meet a
bona fide medical emergency;
(c) To any person or entity to the extent necessary to prevent
immediate loss of life or serious bodily injury;
(d) To referral community health care providers authorized to
provide services to EAP clients, to the extent that it is
appropriate, relevant, and necessary to enable the provider to
perform such services as evaluation, counseling, treatment, and/or
rehabilitation; and
(e) To any person who is responsible for the care of an EAP
client when the EAP client to whom the records pertain is mentally
incompetent or under legal disability.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Documentary records are maintained in manual file folders and/or
index cards and stored in locked GSA security-approved containers.
Computer records are stored in electronic media via a configuration
of personal computer, client/server, and mainframe systems
architecture, using hard drives, floppy diskettes, CDs, magnetic
tape, and/or optical disks.
Retrievability:
Records are indexed and retrieved only by a personal code number
generated by the system.
Safeguards:
Electronic information is safeguarded in accordance with Bureau
of Prisons rules and policy governing automated information systems
security and access. These safeguards include the maintenance of
records and technical equipment in restricted areas, and the required
use of proper passwords and user identification codes to access the
system. Documentary records are kept in locked GSA security-approved
containers in restricted access buildings. Only the EAP Administrator
or designated Bureau staff will access or disclose the records.
Retention and disposal:
Records are retained for three years after the EAP client ceases
contact with the EAP counselor (in accordance with General Records
Schedule No. 1, Item No. 26) unless a longer retention period is
necessary because of pending administrative or judicial proceedings.
In such cases, the records are retained for six months after the case
is closed. Computerized records are destroyed by shredding,
degaussing, etc., and documentary records are destroyed by shredding.
All destruction of records must be performed by an EAP staff member.
System manager(s) and address:
National Employee Assistance Program Coordinator, Federal Bureau
of Prisons, 320 First Street NW., Washington, DC 20534.
Notification procedure:
Inquiries concerning this system should be directed to the System
Manager listed above.
Record access procedures:
All requests for records may be made in writing to the Director,
Federal Bureau of Prisons, 320 First Street NW., Washington, DC
20534, and should be clearly marked ``Privacy Act Request.'' In
addition to a return address, requesters should provide the full name
and notarized signature of the individual who is the subject of the
record and is authorizing release of his/her information, the dates
during which the individual was in counseling, and any other
information which may assist in identifying and locating the record.
Pursuant to 28 CFR 16.41(d), an original signature on a
``Certification of Identity'' form (DOJ-361) may be submitted in lieu
of a notarized signature. This form may be obtained from the
Department of Justice website at http://www.usdoj.gov or by writing
to the FOIA/PA Office, Bureau of Prisons, 320 First St. NW.,
Washington, DC 20534.
Contesting record procedures:
All requests to contest or amend information should be directed
to the Director of the Federal Bureau of Prisons at the address
listed above. The request should follow the Record Access Procedures,
listed above, and should state clearly and concisely the information
being contested, the reason for contesting it, and the proposed
amendment thereof. The envelope should be clearly marked, ``Privacy
Act Request.''
Record source categories:
Records are generated by Bureau staff, outside sources, referral
counseling and treatment programs or individuals, and the EAP client
who is the subject of the record. In the case of drug abuse
counseling, records also may be generated by staff of the Drug-Free
Workplace Program and the Medical Review Officer.
Systems exempted from certain provisions of the act:
None.
JUSTICE/BOP-101
System name:
National Institute of Corrections Technical Resource Provider
Record System.
System location:
Records may be retained at the National Institute of Corrections
(NIC) headquarters in Washington, DC or in NIC field Offices, e.g.,
the NIC Academy campus currently located in Longmont, Colorado.
Categories of individuals covered by the system:
Individuals who have been identified and have agreed to provide
technical and/or training assistance to state, local, tribal, foreign
and international correctional agencies in order to strengthen and
improve the practice of corrections. These individuals are referred
to as Technical Resource Providers (TRPs).
Categories of records in the system:
Records in this system include: (1) Identification and/or
logistical information for each TRPs, including name, mailing address
and telephone numbers; (2) resume and/or biographical information of
each TRP, including educational and work experience; (3) program
information concerning the subject area of expertise and descriptive
comments provided by each TRP; and (4) records generated by the
system listing TRPs i.e. database printouts which include information
enumerated in (1), (2), and (3) above.
Authority for maintenance of the system:
This system is established and maintained under the authority of
18 U.S.C. 4352.
Purpose(s):
Recent technological developments are making it possible for the
National Institute of Corrections (NIC) to consolidate and automate
its directory of individuals available to provide technical and/or
training assistance to corrections agencies. These individuals are
currently called Technical Resource Providers (TRPs) and the
information about each TRP that is contained in this system assists
NIC in identifying appropriate TRPs to staff corrections seminars and
provide technical assistance.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Relevant data from this system will be disclosed as follows:
(a) To federal agencies, and/or state, local, tribal, foreign and
international government agencies that have a need for the
information in the performance of their official duties.
(b) To individuals, groups or private correction companies who
request technical assistance and/or training in corrections.
(c) To officials and/or contractors of federal, state, local,
tribal, foreign and international law enforcement agencies for law
enforcement purposes such as investigations, possible criminal
prosecutions, civil court actions, and/or regulatory proceedings.
(d) To employees and/or contractors of the National Archives and
Records Administration and General Services Administration in records
management inspections conducted under the authority of 44 U.S.C.
2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is stored in hard copy and/
or electronic media in NIC facilities via a configuration of personal
computer, client/server, and mainframe systems architecture.
Computerized records are maintained on hard disk, floppy diskettes,
magnetic tapes and/or optical disks. Documentary records are
maintained in manual file folders and/or index cards.
Retrievability:
Records are retrievable by identification/logistical information,
e.g. name and address of TRP, and/or by the subject area of
expertise.
Safeguard:
Information is safeguarded in accordance with Department of
Justice and Bureau of Prisons rules and policy governing automated
information systems security and access. These safeguard include the
maintenance of records and technical equipment in restricted areas,
e.g. locked offices and locked file cabinets in controlled-access
buildings, and the required use of proper passwords and user
identification codes to access the system. Only those NIC personnel
who require access to perform their official duties may access the
system equipment and the information in the system.
Retention and disposal:
Electronic records generated by the system are retained until
such time as the records no longer serve the purpose described by
this system. At such time, these records may be updated and/or
incorporated into an appropriate, published system or records with an
approved retention schedule, or otherwise destroyed by shredding and/
or degaussing. Documentary records are retained for eight (8) years
and then destroyed by shredding.
System manager(s) and address:
Director, National Institute of Corrections, Room 5007, 320 First
St. NW, Washington, DC 20534.
Notification procedure:
Inquiries concerning this system should be directed to the System
Manager listed above.
Record access procedures:
All requests for records may be made in writing to the Director,
National Institute of Corrections, Room 5007, 320 First St. NW,
Washington, DC 20534, and should be clearly marked ``Privacy Act
Request.''
Contesting record procedures:
Same as above.
Record source categories:
Records are generated by individuals listed as a TRP, by NIC
staff, and/or staff from other correctional and/or other law
enforcement agencies.
Systems exempted from certain provisions of the Act:
None.
JUSTICE/BOP-102
System name: National Institute of Corrections Field Readers
List.
System location:
Records will be retained at the National Institute of Corrections
(NIC), 320 First Street, NW, Washington, DC 20534.
Categories of individuals covered by the system:
Persons with expertise in a field of corrections who have been
approved by the Advisory Board of NIC and who have agreed to review
applications for grants where the amount of the award exceeds 100,000
dollars or where a substantial personal conflict of interest is
indicated.
Categories of records in the system:
(1) Resume of individual including educational and work
experience information; and (2) expertise checklist completed by the
individual.
Authority for maintenance of the system:
This system is established and maintained under the authority of
18 U.S.C. 4352(a).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The routine uses of this system are: (a) To provide an
information source to officers and employees of the Department of
Justice who have a need for the information in the performance of
their duties; and (b) to provide the Advisory Board of NIC with a
list of individuals who have the expertise to review applications for
grants where the amount of the award exceeds 100,000 dollars or where
a substantial personal conflict of interest is indicated.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system may be stored on documents,
magnetic tape, and magnetic disk.
Retrievability:
Information is indexed by name and areas of expertise.
Safeguards:
Information is safeguarded in accordance with Bureau of Prisons
rules governing access and release.
Retention and disposal:
All records will be maintained until either the individual
notifies NIC that he or she no longer desires to provide assistance
or until the Advisory Board of NIC determines that a name should be
deleted from the list. If deleted for any reason, the records will be
destroyed by shredding.
System manager(s) and address:
Administrative Officer, National Institute of Corrections, 320
First Street, NW, Room 200, Washington, DC 20534.
Notification procedure:
Address inquiries to: Director, National Institute of
Corrections, 320 First Street, NW, Room 200, Washington, DC 20534.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
All information is obtained from the individual named in the
list.
Systems exempted from certain provisions of the act:
None.
JUSTICE/BOP-103
System name:
National Institute of Corrections Academy Record System.
System location:
Records may be retained at the national headquarters of the
National Institute of Corrections (NIC) and/or at the NIC Academy
campus currently located in Longmont, Colorado.
Categories of individuals covered by the system:
NIC staff; training instructors also known as Technical Research
Providers (TRP) contracted by the NIC Academy; corrections staff
student applicants from federal, state, local, tribal, foreign and
international government agencies, including corrections and other
law enforcement agencies; employees from private corrections
companies who have contracted to provide corrections services to
government agencies.
Categories of records in the system:
Records in this system include: (1) Identification and logistical
information for applicants, students, and TRPs at NIC Academy
seminars, including name, gender, race, address, telephone number,
Social Security number, position title, training history,
professional history; (2) seminar applications; (3) seminar
information including dates and location of each seminar and name of
seminar coordinator; (4) financial/procurement data for each seminar,
including budget information, printing orders and travel costs for
TRPs and participants.
Authority for maintenance of the system:
This system is established and maintained under the authority of
18 U.S.C. 4352.
Purpose(s):
The purpose of this system is to maintain a current database of
student applicants, participants and instructors, or Technical
Research Providers (TRPs) at NIC Academy training seminars; to track
all expenditures related to each training seminar; and to maintain
current biographical data on NIC staff and TRPs.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Relevant data from this system will be disclosed as follows:
(a) To contractors or employees of the Department of Justice and/
or other federal agencies and/or state, local, tribal, foreign and
international government agencies or professional organizations who
have a need for the information in the performance of their official
duties, e.g., when the employees are participating in NIC seminars or
when the agencies seek information for their own purposes, such as
training, budgeting, staffing, etc.;
(b) To federal, state, local, tribal, foreign and international
law enforcement agencies and officials for law enforcement purposes
such as investigations, possible criminal prosecutions, civil court
actions, and/or regulatory proceedings;
(c) To a court or adjudicative body before which the Department
of Justice or the Bureau 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 NIC to be arguably relevant to the
litigation: (1) NIC, the Bureau, or any subdivision thereof, or (2)
any NIC, Bureau, or Department of Justice employee in his or her
official capacity, or (3) any NIC, Bureau, or Department of Justice
employee in his or her individual capacity where the Department of
Justice has agreed to provide representation for the employee, or (4)
the United States, where NIC or the Bureau determines that the
litigation is likely to affect it or any of its subdivisions;
(d) 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;
(e) To the National Archives and Records Administration and
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is stored in electronic
media in NIC Academy and/or headquarters offices via a configuration
of personal computer, client/server, and mainframe systems
architecture. Computerized records are maintained on hard disk,
floppy diskettes, magnetic tapes and/or optical disks. Documentary
records are maintained in manual file folders and/or index cards.
Retrievability:
Records are retrievable by identification information, e.g.,
names, locations of TRP staff and/or student applicants; seminar
information, e.g., subject, date and place of the seminar.
Safeguards:
Information is safeguarded in accordance with Bureau of Prisons
rules and policy governing automated information systems security and
access. These safeguards include the maintenance of records and
technical equipment in restricted areas, and the required use of
proper passwords and user identification codes to access the system.
Only those NIC personnel who require access to perform their official
duties may access the system equipment and the information in the
system.
Retention and disposal:
Biographical information about NIC staff and Technical Resource
Providers (TRPs) is maintained for three (3) years and then either
updated or destroyed by shredding and/or degaussing. Information
about student applicants is maintained until such time as the records
no longer serve the purpose described by this system. At such time,
these records may be incorporated into an appropriate, published
system of records with an approved retention schedule, or otherwise
destroyed by shredding and/or degaussing.
System manager(s) and address:
Director, National Institute of Corrections, Room 5007, 320 First
Street NW, Washington, DC 20534.
Notification procedure:
Inquiries concerning this system should be directed to the System
Manager listed above.
Record access procedures:
All requests for records may be made in writing to the Director,
National Institute of Corrections, Room 5007, 320 First Street NW,
Washington, DC 20534, and should be clearly marked ``Privacy Act
Request.''
Contesting record procedures:
Same as above.
Record source categories:
Records are generated by NIC staff and by individuals desiring to
attend NIC seminars.
Systems exempted from certain provisions of the act:
None.
JUSTICE/BOP-104
System name:
National Institute of Corrections Mailing List and Information
Center Contacts Record System.
System location:
Records may be retained at the national headquarters of the
National Institute of Corrections (NIC) and/or at the NIC Information
Center currently located in Longmont, Colorado and/or at the offices
of an information management company authorized by contract with NIC
to maintain and manage the system.
Categories of individuals covered by the system:
Individuals who request corrections information from the NIC
Information Center and Individuals who receive NIC-generated mailings
of corrections information, including (1) NIC constituents sorted by
constituent group, e.g. directors or commissioners of state
Departments of Corrections, administrators of large jails, NIC
Advisory Board members; (2) employees of federal, state, local,
tribal, foreign and international government agencies, including
corrections and other law enforcement agencies; (3) employees from
private corrections companies who have contracted to provide
corrections services to government agencies; (4) inmates and inmate
family members and friends; (5) elected officials including Members
of Congress; (6) members of professional organizations including the
American Corrections Association; (7) members of the news media; (8)
members of the general public, including staff and students from
educational institutions and charitable organizations.
Categories of records in the system:
Records in this system include: (1) Identification and logistical
information for persons who contact the Information Center, e.g.
name, agency, address, telephone number; library subject codes of
documents requested and sent, receipt and response dates, method of
information delivery, postage costs; (2) Names and addresses of NIC
constituents, sorted by constituent group, e.g. directors or
commissioners of state Departments of Corrections, administrators of
large jails, NIC Advisory Board members.
Authority for maintenance of the system:
This system is established and maintained under the authority of
18 U.S.C. 4352.
Purpose(s):
The purpose of this system is to more efficiently track and
respond to persons who request information from the NIC Information
Center and to generate labels for NIC-initiated mailings to groups of
NIC constituents.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Relevant data from this system will be disclosed as follows:
(a) To contractors or employees of the Department of Justice and/
or other federal agencies, and/or state, local, tribal, foreign and
international government agencies or professional organizations who
have a need for the information in the performance of their official
duties, e.g. when the employees will use the mailing list to initiate
mailings approved by NIC.
(b) To the National Archives and Records Administration and
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is stored in electronic
media via a configuration of personal computer, client/server, and
mainframe systems architecture located in the NIC Information Center
and/or NIC headquarters offices and/or the offices of an information
management company authorized by contract with NIC to maintain and
manage the system. Computerized records are maintained on hard disk,
floppy diskettes, magnetic tapes and/or optical disks. Documentary
records are maintained in manual file folders and/or index cards.
Retrievability:
Records concerning persons who request information from the NIC
Information Center are retrievable by identification and logistical
information, e.g., name, address. Records concerning groups of NIC
constituents who receive NIC-generated mailings are retrievable by
category of constituent group, e.g. sheriffs; by position in the
constituent group, e.g. sheriff of Fairfax County; and/or by certain
identification information (names, addresses) of the individuals in
the constituent group, e.g. Sheriff John Smith.
Safeguards:
Information is safeguarded in accordance with Department of
Justice and Bureau of Prisons rules and policy governing automated
information systems security and access. These safeguards include the
maintenance of records and technical equipment in restricted areas,
and the required use of proper passwords and user identification
codes to access the system. Only those NIC personnel or authorized
contractor staff who require access to perform their official and/or
contract duties may access the system equipment and the information
in the system.
Retention and disposal:
Information is maintained until such time as the records no
longer serve the purpose described by this system. At such time,
these records may be updated or incorporated into an appropriate,
published system of records with an approved retention schedule, or
otherwise destroyed by shredding and/or degaussing.
System manager(s) and address:
Director, National Institute of Corrections, Room 5007, 320 First
Street NW, Washington, DC 20534.
Notification procedure:
Inquiries concerning this system should be directed to the System
Manager listed above.
Record access procedures:
All requests for records may be made in writing to the Director,
National Institute of Corrections, Room 5007, 320 First Street NW,
Washington, DC 20534, and should be clearly marked ``Privacy Act
Request.''
Contesting record procedures:
Same as above.
Record source categories:
Records are generated by NIC staff and/or by persons requesting
information from the Information Center and/or by NIC constituents
seeking NIC-generated mailings.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
Civil Division
JUSTICE/CIV-001
System name:
Civil Division Case File System.
System location:
Civil Division, U.S. Department of Justice 10th Street NW,
Washington, DC 20530; Record Management Unit, 5320 Marinelli Road,
Rockville, MD 20652; and Federal Records Center, Suitland, MD 20409.
Categories of individuals covered by the system:
Individuals referenced in potential or actual cases and matters
under the jurisdiction of the Civil Division; and attorneys,
paralegal, and other employees of the Civil Division directly
involved in these cases or matters.
Categories of records in the system:
(1) Records in this system pertain to a broad variety of
litigation under the jurisdiction of the Civil Division relating to
torts, civil fraud and other commercial matters, federal programs and
national security, immigration, and consumer issues. The case files
contain court records, inter-agency and intra-agency correspondence,
and legal research. These records may include civil investigatory
and/or criminal law enforcement information and information
classified pursuant to Executive Order to protect national security
interests. (2) Summary information (i.e., names of principal parties
or subjects, case file numbers, assignments, status, and
classification) of these cases or matters is maintained prior to FY
78 on index cards and from FY 78 in an automated case tracking
system. (3) A timekeeping function for attorneys, paralegal, and
other employees of the Civil Division directly involved in litigation
supplements the automated case tracking system from May of 1981.
Authority for maintenance of the system:
General authority to maintain the system is contained in 5 U.S.C.
301 and 44 U.S.C. 3101. The particular system was established in
accordance with 28 CFR 0.77(f) and 28 U.S.C. 552 and was delegated to
the Civil Division pursuant to the memorandum from the Deputy
Attorney General, dated July 17, 1974.
Purpose(s):
Case records are maintained for the purpose of litigating or
resolving any case or matter under consideration by the Civil
Division. The automated case tracking and timekeeping system exists
for the purpose of managing and evaluating the Division's litigative
activities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: (1) In any case in which
there is an indication of a violation or potential violation of law,
whether civil, criminal or regulatory in nature, the record in
question may be disseminated to the appropriate federal, state, local
or foreign agency charged with the responsibility for investigating
or prosecuting such violation or charged with enforcing or
implementing such law; (2) in the course of investigating the
potential or actual violation of any law, whether civil, criminal or
regulatory in nature, or during the course of a trial or hearing, or
the preparation for a trial or hearing for such violation, a record
may be disseminated to a federal, state, local or foreign agency, or
to an individual or organization, if there is reason to believe that
such agency, individual or organization possesses information or is
responsible for acquiring information relating to the investigation,
trial or hearing and the dissemination is reasonably necessary to
elicit such information or to obtain the cooperation of a witness or
an informant; (3) 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, or where the agency or officials thereof are a party to
litigation or where the agency or officials may be affected by a case
or matter, 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; (4) a
record relating to a case or matter may be disseminated to a foreign
country pursuant to an international treaty or convention entered
into and ratified by the United States or to an executive agreement;
(5) 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; (6) 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 civil or
criminal proceedings in which the United States or one of its
officers or agencies has an interest; (7) a record, or any facts
derived therefrom, may be disclosed in a grand jury proceeding or in
a proceeding before a court or adjudicative body before which the
Civil Division is authorized to appear when the United States, or any
agency or subdivision thereof, is a party to litigation and such
records are determined by the Civil Division to be arguably relevant
to the litigation; (8) to facilitate processing Freedom of
Information and Privacy Act requests for these records, information
may be disclosed to another Federal agency to (a) permit a decision
as to access, amendment or correction of records to be made in
consultation with or by that agency, or (b) verify the identity of an
individual or the accuracy of information submitted by an individual
who has requested access to or amendment or correction of records;
(9) information may be released to the news media and the public in
accordance with 28 CFR 50.2 unless it is determined that release
would constitute an unwarranted invasion of personal privacy; (10) a
record may be disclosed to the National Archives and Records
Administration and the General Services Administration in records
management inspections conducted under the authority of 44 U.S.C.
2904 and 2906; (11) in any health care-related civil or criminal
case, investigation, or matter, information indicating patient harm,
neglect, or abuse, or poor or inadequate quality of care, at a health
care facility or by a health care provider, may be disclosed as a
routine use to any federal, state, local, tribal, foreign, joint,
international or private entity that is responsible for regulating,
licensing, registering, or accrediting any health care provider or
health care facility, or enforcing any health care-related laws or
regulations. Further, information indicating an ongoing quality of
care problem by a health care provider or at a health care facility
may be disclosed to the appropriate health plan. Additionally, unless
otherwise prohibited by applicable law, information indicating
patient harm, neglect, abuse, or poor or inadequate quality of care
may be disclosed to the affected patient or his or her representative
or guardian at the discretion of and in the manner determined by the
agency in possession of the information; (12) pursuant to subsection
(b)(3) of the Privacy Act, 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; (13) information relating to health care
fraud may be disclosed to private health plans, or associations of
private health plans, and health insurers, or associations of health
insurers, for the following purposes: To promote the coordination of
efforts to prevent, detect, investigate, and prosecute health care
fraud; to assist efforts by victims of health care fraud to obtain
restitution; to enable private health plans to participate in local,
regional, and national health care fraud task force activities; and
to assist tribunals having jurisdiction over claims against private
health plans; (14) for all claims made by individuals covered by the
Energy Employees Occupational Injury Compensation Program Act, Pub.
L. 106-398, 114 Stat. 1654, Title XXXVI (2000), 42 U.S.C. 7384 et
seq., the Civil Division may disclose to the Department of Labor all
information contained in its Radiation Exposure Compensation Act, (42
U.S.C. 2210 note) files pertinent to those claims; (15) to
contractors, experts, consultants employed by the Civil Division when
necessary to accomplish an agency function related to this system of
records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual records are stored in file cabinets and on index cards.
Automated records are stored on magnetic disks. Classified
information is stored in locked safes.
Retrievability:
Manual records are retrieved by file number. This number can be
obtained from index cards arranged alphabetically by subject name for
records received prior to FY 78 and from logical queries to the
computer-based data for FY 78 and subsequent years.
Safeguards:
Classified information is maintained in locked safes. Access to
all information is limited to Department of Justice personnel who
have need for the records to perform their duties. Automated records
are safeguarded and protected in accordance with Department rules and
procedures governing the handling of computerized information.
Retention and disposal:
When a case file is closed by the responsible attorney, it is
sent to the Federal Records Center for retention in accordance with
the authorized Record Disposal Schedule for the classification of the
case. Such schedules are approved by the National Archives.
After the designated period has passed, the file is destroyed.
However, the index and docket cards are not purged. Automated records
constitute a cumulative resource file for which there are no plans to
delete records.
System manager(s) and address:
Assistant Attorney General; Civil Division: U.S. Department of
Justice; 10th and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Address inquiries to: Assistant Attorney General; Civil Division;
U.S. Department of Justice; 10th and Constitution Avenue, NW,
Washington, DC 20530.
Record access procedures:
Portions of this system are exempt from disclosure and contest by
5 U.S.C. 552a(j)(2), (k)(1) and (k)(2). Submit in writing all
requests for access to those portions not so exempted to the system
manager identified above. Clearly mark the envelope and letter ``FOI/
PA Request'' and provide a return address. The subject of the record
should also provide his/her full name and notarized signature, data
and place of birth, case caption, or other information which may
assist in locating the records sought.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the Assistant Attorney
General, Department of Justice, 10th and Constitution Avenue, NW,
Washington, DC 20530. The request should clearly state what
information is being contested, the reasons for contesting it, and
the proposed amendment to the information sought.
Record source categories:
Information may be obtained from all individuals referred to in
all cases or matters under consideration of the Civil Division.
Timekeeping information is obtained from all Civil Division
attorneys, paralegals, and other employees directly involved in such
litigation or matters.
System exempted from certain provisions of the act:
The Attorney General has exempted certain categories of records
in this system form subsections (c)(3) and (4), (d), (e)(1), (e)(2),
(e)(3), (e)(4)(G) and (H), (e)(5), (e)(8), and (g) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2), (k)(1) and (k)(2). That is, these
exemptions apply only to the extent that the file contains
information which has been properly classified pursuant to an
Executive Order, or to the extent that it contains investigatory and
other law enforcement materials. Rules have been promulgated in
accordance with the requirements of 5 U.S.C. 552(b), (c) and (e) and
have been published in the Federal Register.
JUSTICE/CIV-002
System name: Civil Division Case File System: Customs
Litigation.
System location: 26 Federal Plaza, New York, New York 10007, and
U.S. Department of Justice Data Services Center, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system: Any and all
parties and counsel involved in the cases handled by the Field
Office, Customs Litigation, Commercial Litigation Branch of the Civil
Division will have identifying data contained in this system.
Categories of records in the system: 1. The main record of the
system is the case file which is retained on each case under the
jurisdiction of the Field Office, Customs Litigation, Commercial
Litigation Branch of the Civil Division and constitutes the official
record of the Department of Justice thereon. All record material
relating to a case is retained in the file. Each file is assigned the
Customs Court number given to the summons filed in that court or, in
cases filed prior to October 1, 1970, to reappraisement appeals or to
protests filed with the Customs Court.
The number assigned to the file will change to the number
assigned by the Court of Customs and Patent Appeals, if that case
becomes the subject of an appeal before that court. In addition, the
Custom Section retains a log of communications received and
communications sent. The correspondence is identified thereon by
court (case) number, identification of the kind of communication, and
the person receiving it.
2. The case file and communication logs are physically retained
at the offices of the Field Office, Customs Litigation, Commercial
Litigation Branch 26 Federal Plaza, New York, New York 10007. From
these records, the Field Office, Customs Litigation, Commercial
Litigation Branch inputs certain information for conversion into a
data processing system which is maintained at the Department of
Justice Data Services Center, 10th and Constitution Avenue, NW,
Washington, DC 20530. Included in the information contained in the
data processing system is the identity of the parties and their
counsel, as well as the merchandise involved, the port of entry and
the competing statutory provisions.
3. Alphabetical and numerical indices are maintained as a means
of access to the proper file number by the cross-referencing of the
names of non-government parties to suit with the appropriate file
(court) numbers. These indices are made of index cards and maintained
in the Chief Clerk's office in the Field Office, Customs Litigation,
Commercial Litigation Branch.
Authority for maintenance of the system: The Field Office, Customs
Litigation, Commercial Litigation Branch case files are maintained
under the authority of 28 U.S.C. 2601(b) and 2632(e) and established
in accordance with 28 CFR 0.45(c) which gives the Civil Division
responsibility for `all litigation incident to the reappraisement and
classification of imported goods, including the defense of all suits
in the Court of Customs and Patent Appeals', and with 28 CFR 0.48
which designates the Attorney-in-Charge, Field Office, Customs
Litigation `to accept service of notices of appeals to the Court of
Customs and Patent Appeals and all pleadings and other papers filed
in the Customs Court, when the United States is an adverse Party in
any customs litigation'.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Any record
pertaining to any case or matter in the Civil Division may be
disseminated to any other component of the Department of Justice,
including the Federal Bureau of Investigation and the United States
Attorney offices, for use in connection with the consideration of
that case or matter or any other case or matter under consideration
by the Civil Division or any other component of the Department of
Justice.
Certain information contained in the record may also be
disseminated to the U.S. Customs Service, the Department of the
Treasury, the International Trade Commission, the Department of
State, or any other agency of the Government whose decision is being
challenged in a case assigned to the Field Office, Customs
Litigation, Commercial Litigation Branch for disposition. A record
maintained in this system of records may be disseminated as a routine
use of such record as follows: (1) In any case in which there is an
indication of a violation or potential violation of law, whether
civil, criminal or regulatory in nature, the record in question may
be disseminated to the appropriate Federal, state, local or foreign
agency charged with the responsibility for investigating or
prosecuting such violation or charged with enforcing or implementing
such law; (2) in the course of investigating the potential or actual
violation of any law, whether civil, criminal or regulatory in
nature, or during the course of a trial or hearing, or the
preparation for a trial or hearing for such violation, a record may
be disseminated to a Federal, state, local or foreign agency, or to
an individual or organization, if there is reason to believe that
such agency, individual or organization possesses information
relating to the investigation, trial or hearing and the dissemination
is reasonably necessary to elicit such information or to obtain the
cooperation of a witness or an informant; (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 a Federal, state, or local administrative or
regulatory proceeding or hearing in accordance with the procedures
governing such proceeding or hearing; (5) a record relating to a case
or matter may be disseminated to an actual or potential party or his
attorney for the purpose of negotiation or discussion of such matters
as settlement of the case or matter, plea bargaining, or formal or
informal discovery proceedings; (6) 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, or where the agency or officials
thereof are a party to litigation or where the agency or officials
may be affected by a case or matter, 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; (7) a record relating to a person held in custody
pending or during arraignment, trial, sentence or extradition
proceedings, or after conviction or after extradition proceedings,
may be disseminated to a Federal, state, local or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person; (8) a record relating to a case or matter may be
disseminated to a foreign country pursuant to an international treaty
or convention entered into and ratified by the United States or to an
executive agreement; (9) 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;
(10) a record may be disseminated to a Federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter, (11) a record may be disseminated to
the public, news media, trade associations, or organized groups, when
the purpose of the dissemination is educational or informational,
provided that the record does not contain any information
identifiable to a specific individual other than is necessary to
identify the matter or where the information has previously been
filed in a judicial or administrative office, including the clerk of
the court; (12) 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 civil or criminal proceedings in which the United
States or one of its officers or agencies has an interest; (13) a
record that contains classified national security information and
material may be disseminated to persons who are engaged in historical
research projects, or who have previously occupied policy making
positions to which they were appointed by the President, in
accordance with the provisions 28 CFR 17.60; (14) copies of the
summons (protest and reappraisement appeals, where appropriate) and
the communication logs are made available to employees of the private
contractor who services the data processing system in New York for
the purpose of enabling such employees to extract all pertinent
information from said documents so that such information may be
encoded and converted to punch card form.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: (1) The case files utilize standard file jackets or
envelopes and are maintained in standard file cabinets; (2) The
alphabetical index cards are maintained in standard file cabinets;
(3) The communication logs are maintained in looseleaf binders and,
when not being currently referred to, are also maintained in standard
file cabinets; (4) The information in the data processing system is
maintained on tapes stored in the Data Services Center.
Retrievability: (1) The case files must be retrieved by number.
The file number may be ascertained from the alphabetical index when
the name of any non-government litigant is known. (2) The informatin
contained in the data processing system may be retrieved through the
retrieval tool activated by an attorney making a request for a report
to the computer technician who codes the request on a form in the
format of the retrieval language. The action words of the retrieval
reports are: List-lists the case numbers of the cases which satisfy
certain criteria such as plaintiff's name, counsel's name, court,
number, merchandise, competing statutory provisions, Government
counsel. Write--output and the full history for any case specified by
case number. Write*--a limited case history for any case specified by
case number. Count-tallying the number of cases in the data base
contained in the request.
Safeguards: (1) Information contained in the system is
unclassified. However, only attorneys in the Civil Division who have
responsibility for the case may properly obtain a case file.
Correspondence and telephone calls about particular cases are
referred to the attorney having responsibility for the case. In the
attorney's absence, another attorney covering for the absent attorney
or the Attorney-in-Charge, Field Office, Customs Litigation may
respond to the telephone call or correspondence. The index files and
the communication logs are utilized only by the personnel of the
Field Office, Customs Litigation, Commercial Litigation Branch in
locating or verifying information contained in the system. (2)
Information from the data processing system may be obtained only by
attorneys on the basis of requests made in writing on a proper form
supplied by the Field Office, Customs Litigation, Commercial
Litigation Branch. The request is made of the computer technician.
Normally these requests are mailed to the technician in charge at the
Data Services Center, but occasionally the request may be related
telephonically by the computer technician.
Retention and disposal: (1) Closed case files are sent to the
Federal Records Center for retention in accordance with the
authorized Records Disposal Schedule for the classification of the
case. Such schedules are approved by the National Archives. After the
designated period is passed, the file is destroyed. The communication
logs are sent to the Federal Records Center for retention in
accordance with the authorized records disposal schedule after five
years. After the designated period those records are also destroyed.
The index cards, however, are not purged. (2) Periodically, the
inactive cases will be purged from the main tape in the data
processing system and transferred to the historical tape where the
information will be retained indefinitely. There is a provision in
the data processing system to delete and remove an entire case
history from the main or historical tape. This may be done on request
from the Attorney-in-Charge, Field Office, Customs Litigation and
such removed cases will not be saved or written on any other tape.
System manager(s) and address: Assistant Attorney General, Civil
Division, U.S. Department of Justice, 10th and Constitution Avenue,
NW, Washington, DC 20530.
Notification procedure: Address inquiries to Assistant Attorney
General, Civil Division, U.S. Department of Justice, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Record access procedures: A request for information concerning the
cases of the Field Office, Customs Litigation, Commercial Litigation
Branch of the Civil Division should be submitted in writing, with the
envelope and letter clearly marked ``Privacy Access Request''. The
request should include the file number and/or the names of any non-
government litigant known to the requestor. The requestor should also
provide a return address for transmitting the information. Such
access request should be submitted to the System Manager listed
above.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to the Assistant Attorney General, Department of Justice,
10th and Constitution Avenue, NW, Washington, DC 20530. The request
should clearly state what information is being contested, the reasons
for contesting it, and the proposed amendment to the information
sought.
Record source categories: All litigants involved in the cases of
this Division are sources of information. Such information is either
contained in the record material in the case files or has been
extracted from that record material and put on communication logs
and/or index cards.
JUSTICE/CIV - 003
System name: Office of Alien Property File System.
System location: 550 11th Street, NW, Washington, DC 20530.
Categories of individuals covered by the system: Any and all
parties involved in the cases, claims and matters handled by the
Office of Alien Property may have identifying data contained in this
system.
Categories of records in the system:
1. This system consists of indices and files relative to enemy-
owned property, reporting sources, ownership, vesting, and claims for
the return thereof. Each vesting order is assigned a general file
number, and each claim has a separate file number. Separate account
files are maintained on vested property for each alien account.
2. Alphabetical and numerical indices are utilized as a means
of access to the proper general file by the cross-referencing of the
names of all individual former property owners and claimants with the
general files.
3. Records of litigation involving the Office of Alien Property
are contained in this system. There are also alphabetical and
numerical indices to facilitate access to these cases.
Authority for maintenance of the system: The Office of Alien
Property files are maintained under the authority of 44 U.S.C. 3101
and 50 U.S.C. App. 40, Title II of the International Claims
Settlement Act, and was established in accordance with 28 CFR 0.47
which states in part `The Office of Alien Property shall be a part of
the Civil Division ...` and thereafter describes the authority,
rights, privileges, powers, duties and functions of that office.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Any record
pertaining to any case or matter in the Civil Division may be
disseminated to any other component of the Department of Justice,
including the Federal Bureau of Investigation and the United States
Attorney offices, for use in connection with the consideration of
that case or matter or any other case or matter under consideration
by the Civil Division or any other component of the Department of
Justice.
Certain information contained in the record may also be
disseminated to the U.S. Customs Service, the Department of the
Treasury, the International Trade Commission, the Department of
State, or any other agency of the Government whose decision is being
challenged in a case assigned to the Customs Section for disposition.
A record maintained in this system of records may be disseminated as
a routine use of such record as follows: (1) In any case in which
there is an indication of a violation or potential violation of law,
whether civil, criminal or regulatory in nature, the record in
question may be disseminated to the appropriate Federal, state, local
or foreign agency charged with the responsibility for investigating
or prosecuting such violation or charged with enforcing or
implementing such law; (2) in the course of investigating the
potential or actual violation of any law, whether civil, criminal or
regulatory in nature, or during the course of a trial or hearing, or
the preparation for a trial or hearing for such violation, a record
may be disseminated to a Federal, state, local or foreign agency, or
to an individual or organization, if there is reason to believe that
such agency, individual or organization possesses information
relating to the investigation, trial or hearing and the dissemination
is reasonably necessary to elicit such information or to obtain the
cooperation of a witness or an informant; (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 a federal, state, or local administrative or
regulatory proceeding or hearing in accordance with the procedures
governing such proceeding or hearing; (5) a record relating to a case
or matter may be disseminated to an actual or potential party or his
attorney for the purpose of negotiation or discussion of such matters
as settlement of the case or matter, plea bargaining, or formal or
informal discovery proceedings; (6) 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, or where the agency or officials
thereof are a party to litigation or where the agency or officials
may be affected by a case or matter, 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; (7) a record relating to a person held in custody
pending or during arraignment, trial, sentence or extradition
proceedings, or after conviction or after extradition proceedings,
may be disseminated to a Federal, state, local or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person; (8) a record relating to a case or matter may be
disseminated to a foreign country pursuant to an international treaty
or convention entered into and ratified by the United States or to an
executive agreement; (9) 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;
(10) a record may be disseminated to a Federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; (11) a record may be disseminated to
the public, news media, trade associations, or organized groups, when
the purpose of the dissemination is educational or informational,
provided that the record does not contain any information
identifiable to a specific individual other than is necessary to
identify the matter or where the information has previously been
filed in a judicial or administrative office, including the clerk of
the court; (12) 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 civil or criminal proceedings in which the United
States or one of its officers or agencies has an interest; (13) a
record that contains classified national security information and
material may be disseminated to persons who are engaged in historical
research projects, or who have previously occupied policy making
positions to which they were appointed by the President, in
accordance with the provisions of 28 CFR 17.60; (14) records are also
available to the public for inspection and distribution as set forth
at 8 CFR 503.1, including (a) Annual Reports of the Office of Alien
Property, and (b) final determinations, opinions and orders in cases
heard or reviewed within the Office of Alien Property; (15) records
and documents are available for inspection by persons properly and
directly concerned in connection with claims filed with the Office,
records in cases heard or reviewed in the Office, and authorizations
for sale and records of bids in public sales and orders for their
acceptance or rejection and notifications thereof; (16) any record or
portion thereof may also be disseminated to the Department of the
Treasury and to the Foreign Claims Settlement Commission as a matter
of routine use when such record relates to matters within the
jurisdiction of the Office of Foreign Assets Control, Department of
the Treasury, or claims being processed before the Foreign Claims
Settlement Commission; (17) any record or portion thereof relating to
an estate or trust matter under the jurisdiction of the probate
courts of the several states may be disseminated to the parties and
their representatives or to the courts, in proceedings involving the
property owned or claimed to have been owned by a designated national
of an enemy country under the provisions of the Trading with the
Enemy Act; (18) any record may be disseminated to the Department of
State for any negotiation or other action relating to the Office of
Alien Property or to any subject matter which is, or was at one time,
under the jurisdiction of the Office of Alien Property.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Release of
information to the National Archives and Records Administration: A
record from a system of records may be disclosed as a routine use to
the National Archives and Records Administration (NARA) in records
management inspections conducted under the authority of 44 U.S.C.
2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information in the system is stored in standard file
jackets, and on index cards, within standard filing cabinets.
Retrievability: The files and index cards must be retrieved by file
numbers, which can be ascertained from alphabetical indices if the
name of the non-government party is known, or from numerical indices
relating to the various vesting orders, accounts, claims, or cases.
Safeguards: Information in the system is regarded as confidential,
pursuant to 8 CFR 503.17. Departmental rules and procedures are in
force that insure that only Departmental attorneys and their
authorized agents have access to this information.
Retention and disposal: A file is closed when one of the following
occurs:
1. The vesting order has been complied with and the property
disposed of pursuant to the Trading with the Enemy Act, and all
claims have been processed.
2. A case involving the Office of Alien Property has ended by
the final termination of the litigation through a compromise
settlement, court decision or any other method of termination for
court cases.
The file is then retained in the Federal Records Center for a
number of years and thereafter may be destroyed. Index cards are
retained for as long as may be practicable.
System manager(s) and address: Assistant Attorney General, Civil
Division, U.S. Department of Justice, 10th and Constitution Avenue,
NW, Washington, DC 20530.
Notification procedure: Address inquiries to Assistant Attorney
General, Civil Division, U.S. Department of Justice, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Record access procedures: A request for access to a record within
the Office of Alien Property system involving matters of privacy and
which is not otherwise available to the party requesting the same
should be submitted in writing, with the envelope and letter clearly
marked `Privacy Access Request`. The request should include file or
account numbers and/or the names of any known non-government parties.
The requestor should also provide a return address for transmitting
the information. Such access requests should be submitted to the
System Manager listed above.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to the System Manager listed above. The request should
clearly state what information is being contested, the reasons for
contesting it and the proposed amendment to the information sought.
Record source categories: All claimants to property, as well as
former depositories, are sources of information, also other offices
and agencies operating under provisions of the Trading with the Enemy
Act.
Systems exempted from certain provisions of the act: None.
JUSTICE/CIV-004
System name: Swine Flu Administrative Claim File System.
System location: Civil Division, U.S. Department of Justice 521
12th Street NW, No. 804, Washington, DC 20530.
Categories of individuals covered by the system: Any and all
parties making administrative claims for damages resulting from the
administration of the swine flu vaccine, whose claims have been
referred by the Department of Health, Education, and Welfare for
handling by the Civil Division, will have identifying data contained
in this system.
Categories of records in the system: (1) The main record of the
system is the administrative claim file which is retained on each
claim under the jurisdiction of the Civil Division and constitutes
the official record of the Department of Justice. All record material
relating to a claim is retained in the file. Each claim is assigned a
number in sequential order from the date of the filing. (2)
Alphabetical and numerical indices are utilized as a means of access
to the proper file by the cross-referencing of the names of all
claimants with the file number. Index cards are used in these
indices. (3) A Docket Card Index is maintained on each claim in order
to follow the progress of all swine flu claims and to obtain
statistical data for periodic and fiscal reports. However, all
information contained on the cards has been taken from the record
material contained in the official file.
Authority for maintenance of the system: General authority to
maintain the system is contained in 5 U.S.C. 301 and 44 U.S.C. 3101.
The particular system was established by authority of 28 CFR 0.77(f)
which authority was delegated to the Civil Division pursuant to a
memorandum from the Deputy Attorney General, dated July 17, 1974.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Any record
pertaining to any swine flu administrative claim in the Civil
Division may be disseminated to any other component of the Department
of Justice, including the FBI and the United States Attorneys'
Offices, for use in connection with the consideration of that claim
or matter or any other claim, case or matter under consideration by
the Civil Division or any other component of the Department of
Justice. A record maintained in this system of records may be
disseminated as a routine use of such record as follows: (1) A record
relating to a claim or matter that has been referred by the
Department of Health, Education, and Welfare for investigation, or
that involves a claim or matter within the jurisdiction of an agency,
or where the agency or officials thereof are a party to litigation or
where the agency or officials may be affected by a claim or matter
may be disseminated to such agency to notify the agency of the status
of the claim or matter or any decision or determination that has been
made, or to make such other inquiries and reports as are necessary
during the processing of the claim or matter; (2) a record may be
disseminated to the public, news media, trade associations, or
organized groups, when the purpose of the dissemination is
educational or informational, provided that the record does not
contain any information identifiable to a specific individual other
than that necessary to identify the matter and is not an unwarranted
invasion of privacy or where the information has previously been
filed in a judicial or administrative office, including the clerk of
the court; (3) in any claim in which there is an indication of a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, the record in question may be disseminated to
the appropriate federal, state, local or foreign agency charged with
the responsibility for investigating or prosecuting such violation or
charged with enforcing or implementing such law; (4) in the course of
investigating the potential or actual violation of any law, whether
civil, criminal or regulatory in nature, or during the course of a
trial or hearing, or the preparation for a trial or hearing for such
violation, a record may be disseminated to a federal, state local or
foreign agency, or to an individual or organization, if there is
reason to believe that such agency, individual or organization
possesses information relating to the investigation, trial or hearing
and the dissemination is reasonably necessary to elicit such
information or to obtain the cooperation of a witness or an
informant; (5) a record relating to a claim 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; (6) a
record relating to a claim 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; (7) a record relating to a claim or matter may be
disseminated to an actual or potential party or his attorney for the
purpose of negotiation or discussion of such matters as settlement of
the claim or matter, or for formal or informal discovery proceedings.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information of Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: (1) The claim files utilize standard file jackets and are
retained in standard file cabinets; (2) the alphabetical and
numerical index cards, as well as the docket cards, are retained in
standard file cabinets.
Retrievability: The files and docket cards must be retrieved by
file number. The file number can be ascertained from the alphabetical
index if the name of the administrative claimant is known.
Safeguards: Information contained in the system is unclassified. No
personalized information about a claim or claimant will be given to
anyone other than the claimant, his attorney, or authorized
representative. Requests for such information will not be given by
telephone unless the caller can provide sufficient information to
identify himself as one authorized to receive personalized
information. Nonpersonal or generalized information will be given to
any requester. Information in the system is regarded as sensitive
pursuant to Department rules and procedures. Department rules and
procedures are in force to insure that only Departmental attorneys
and their authorized agents have access to the information.
Retention and disposal: When a claim file is closed by the legal
section, it is sent to the Federal Records Center for retention in
accordance with the authorized Record Disposal Schedule for the
classification of the case. Such schedules are approved by the
National Archives. After the designated period has passed, the file
is destroyed. However, the index and docket cards are not purged and
are retained for as long as practicable.
System manager(s) and address: Assistant Attorney General, Civil
Division, U.S. Department of Justice, 10th and Constitution Avenue
NW, Washington, DC 20530.
Notification procedure: Address inquiries to Chief, Torts Section,
Civil Division, U.S. Department of Justice, 10th and Constitution
Avenue NW, Washington, DC 20530.
Record access procedures: A request for information concerning the
swine flu administrative claims of the Civil Division should be
submitted in writing, with the envelope and letter clearly marked
``Privacy Act Request''. The request should include the file number
and/or names of any claimants known to the requester. The requester
should also provide a return address for transmitting the
information. Such access requests should be submitted to the System
Manager listed above. Requests may also be made by telephone. In such
cases the caller will be referred to the attorney of record. The
attorney, in turn, may require an official written request.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to the System Manager listed above. The request should
clearly state what information is being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Record source categories: All swine flu claimants are sources of
information. Such information is either contained in the record
material in the case files or has been extracted from that record
material and put onto docket and index cards.
Systems exempted from certain provisions of the act: None.
JUSTICE/CIV-006
System name: Consumer Inquiry/Investigatory System.
System location:
Civil Division, U.S. Department of Justice, 666 11th Street NW,
Washington, DC 20530.
Categories of individuals covered by the system:
Individuals with complaints or inquiries on consumer matters.
Categories of records in the system:
The records consist of complaints and inquiries from private
individuals, any replies thereto and other correspondence and
internal memoranda related to the investigation of such inquiries for
violations of criminal or civil Federal law.
Authority for maintenance of the system:
U.S.C. 3101; 5 U.S.C. 301.
Purpose(s):
These records are maintained for the purpose of responding to
consumer complaints or inquiries and to further or initiate
investigations for law enforcement purposes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) A complaint/inquiry, or any information developed in response
thereto may be disclosed to other Federal, State or local agencies
for law enforcement purposes, to ensure complete action on the
matter, or to better assess consumer-related problems and programs.
(2) A complaint/inquiry or any information derived therefrom may
be disclosed to a private firm that is the subject of a complaint/
inquiry to resolve the issues raised in the complaint/inquiry or to
fulfill the Department's law enforcement responsibilities.
(3) To facilitate processing Freedom of Information and Privacy
Act requests for these records, a record may be disclosed to another
Federal agency to (a) permit a decision as to access, amendment or
correction of records to be made in consultation with or by that
agency or (b) verify the identity of an individual or the accuracy of
information submitted by an individual who has requested access to,
or amendment or correction of records.
(4) A record or information derived therefrom may be released to
the news media and the public pursuant to 28 CFR 50.2 unless it is
determined that release would constitute an unwarranted invasion of
personal privacy.
(5) A record may be disclosed to the National Archives and
Records Administration and to the General Services Administration to
conduct records management inspections authorized by 44 U.S.C. 2904
and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in file folders in cabinets.
Retrievability:
Information is retrieved by name subject matter and date.
Safeguards:
Information contained in the system is unclassified. During duty
hours access to this system is monitored and controlled by Civil
Division personnel in the area where the system is maintained. The
area is locked during non-duty hours.
Retention and disposal:
In accordance with the General Record Schedule 14, item 6,
records are retained for one year after close of the file or
completion of the project, after which the files are destroyed.
System manager(s) and address:
Assistant Attorney General, Civil Division, U.S. Department of
Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Address inquiries to the Assistant Attorney General, Civil
Division, Department of Justice, 10th and Constitution Avenue, NW,
Washington, DC 20530.
Record access procedures:
A request for access to a record from this system shall be
written and clearly identified as a ``Privacy Access Request.'' The
request should include the name of the party making the inquiry and
the date of the inquiry. The requester should indicate a return
address. The request should be directed to the system manager listed
above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should state clearly and concisely what information is
being contested, the reasons for contesting it and the proposed
amendment to the information sought. The request should be directed
to the system manager listed above.
Record source categories:
Sources of records maintained in the system are the public
inquiries, and information provided by private firms regarding the
subject matter of such inquiries.
Systems exempted from certain provisions of the act:
The Attorney General has exempted certain categories of records
in this system from subsections (c) (3) and (4), (d), (e)(1) and
(e)(5) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)
(2). That is, these exemptions apply only to the extent that the file
contains records combined for civil or criminal law enforcement
purposes. 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.
Justice/CIV-008
System name:
September 11th Victim Compensation Fund of 2001 File System.
Security classification:
None.
System location:
Civil Division, U.S. Department of Justice, 950 Pennsylvania
Avenue, NW., Washington, DC 20530; Department of Justice--Records
Management Unit, 2711 Prosperity Avenue, Fairfax, VA 22031; and
Federal Records Center, Suitland, MD 20409.
Categories of individuals covered by the system:
Individuals who claim benefits under the September 11th Victim
Compensation Fund of 2001 (i.e. individuals claiming to have suffered
physical injury or the personal representatives of individuals who
were killed as a result of the terrorist-related aircraft crashes of
September 11, 2001).
Categories of records in the system:
Records in this system include: Claim forms filed by or on behalf
of claimants seeking benefits under the Fund; documents submitted in
support of the claims; medical, personal, employment, financial, and
other records obtained or generated to adjudicate the claims.
Authority for maintenance of the system:
September 11th Victim Compensation Fund of 2001 enacted into law
as Title IV of Pub. L. 107-42, 115 Stat. 230 (``Air Transportation
Safety and System Stabilization Act'').
Purpose(s)
These records are collected or generated for the purpose of
determining qualification of and/or compensation to claimants under
the September 11th Victim Compensation Fund of 2001.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
It is likely that routine uses will be published at a later date
with an opportunity for comment. In the interim, disclosures
necessary to process claims will be made only with the written
consent of claimants.
Disclosures to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper case files are maintained in filing cabinets. Automated
data, including case files that have been transformed into electronic
form, are stored on computer discs or magnetic tapes, which are also
stored in cabinets.
Retrievability:
Files and automated data are retrieved by name of a claimant or
personal representative of a claimant, the name of the deceased, case
file number and/or Social Security Number.
Safeguards:
Files and automated data are maintained under supervision of
Civil Division personnel, the Special Master, or their contractors.
During working hours--only authorized personnel, with the appropriate
password may handle, retrieve, or disclose any information contained
therein. Access to electronic records is controlled by password or
other user identification code.
Retention and disposal:
All claim files and automated data pertaining to a claim are
destroyed 10 years after the date the claim has been fully
adjudicated and/or payment made, as approved by the National Archives
and Records Administration. Paper files that have been scanned to
create electronic copies may be destroyed after the copies are
verified. Automated data is retained in its most current form only,
however, and as information is updated, outdated information is
deleted.
System manager(s) and address:
Office of the Assistant Attorney General, Civil Division, 950
Pennsylvania Avenue, NW, Washington, DC 20530.
Notification procedure:
Address inquiries to: Office of the Assistant Attorney General,
Civil Division, 950 Pennsylvania Avenue, NW, Washington, DC 20530.
Record access procedures:
Any individual seeking access to information about a claim in
which he/she is a party in interest may write to the Office of the
Assistant Attorney General, Civil Division, 950 Pennsylvania Avenue,
NW, Washington, DC 20530. The request should state what records are
sought and must include the requester's full name, current address,
and claim file number (if known). The request must be signed before a
notary or submitted under penalty of perjury.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the Office of the
Assistant Attorney General, Civil Division, 950 Pennsylvania Avenue,
NW, Washington, DC 20530. The request should clearly and concisely
state what information is being contested, the reason(s) for
contesting it, and the proposed amendment to the record.
Record source categories:
Individuals or entities having information pertinent to the
adjudication of compensation claims, including but not limited to:
Injured individuals; personal representatives of deceased
individuals; eligible claimants; family members; physicians and other
medical professionals, hospitals, and clinics; insurers, employers,
and their agents and representatives.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
CIVIL RIGHTS DIVISION
JUSTICE/CRT-001
System name:
Central Civil Rights Division Index File and Associated Records.
System location:
United States Department of Justice Civil Rights Division (CRT),
10th and Constitution Avenue, NW, Washington, DC 20530; 1425 New York
Avenue, NW., Washington, DC 20530; and Federal Records Center,
Suitland, Maryland 20409.
Categories of individuals covered by the system:
These persons may include: Subjects of investigations, victims,
potential witnesses, individuals of Japanese ancestry who are
eligible, or potentially eligible, for restitution benefits as a
result of their evacuation, relocation, or internment during World
War II, correspondents on subjects directed or referred to CRT or
other persons or organizations referred to in potential or actual
cases and matters of concern to CRT, and CRT employees who handle
complaints, cases or matters of concern to CRT.
Categories of records in the system:
The system consists of alphabetical indices bearing the names of
those individuals identified above and the associated record to which
the indices relate containing the general and particular records of
all CRT correspondences cases, matters, and memoranda, including, but
not limited to, investigative reports, correspondence to and from the
Division memoranda, legal papers, evidence, and exhibits. The names
of some individuals, e.g., witnesses, may not yet be on the central
indices. Records relating to such individuals may be obtained by
direct access to the file jackets. Such file jackets are located
within the respective sections of CRT according to the legal subject
matter assigned to each CRT section. The delegated legal duties and
responsibilities of each section are described as follows:
The records related to the duties of the Appellate Section of CRT
include records generated by all CRT cases that have entered the U.S.
Supreme Court and the Courts of Appeal. Other records include those
generated in the course of Appellate Section duties such as advising
Members of Congress on legislative matters, providing legal counsel
on civil rights issues to Federal agencies and providing counsel to
the various components of the Department of Justice.
The records related to the duties of the Coordination and Review
Section of CRT include letters, studies, and reports concerning the
implementation of Executive Orders 12250 and 12236. Under E.O. 12250,
the Attorney General coordinates and monitors the enforcement of
Title VI of the Civil Rights Act of 1964. Title IX of the Education
Amendments of 1972, as amended, and the civil rights provisions of
any Federal assistance grant which forbids discrimination in
federally assisted programs on the basis of race, color, national
origin, sex, handicap or religion. The Coordination and Review
Section also works with Federal agencies under E.O. 12236 to monitor
review of their enabling legislation on the basis of sex.
In addition, the records related to the duties of the
Coordination and Review Section of CRT include complaint
investigation files and other matters arising under Titles II and III
of the Americans with Disabilities Act (ADA), 42 U.S.C. 12131-12134,
12181-12189. Further, the Coordination and Review Section may
maintain case-related records on investigations arising under section
504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794,
Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d, and Title
IX of the Education Amendments of 1972, 20 U.S.C. 1681, and other
nondiscrimination statutes.
The records related to the duties of the Criminal Section of CRT
include cases or matters arising under 18 U.S.C. 241 and 242 which
prohibit persons acting under color of law or in conspiracy with
others to interfere with or deny the exercise of Federal
constitutional rights, cases involving criminal violations of the
Voting Rights Act of 1965 (42 U.S.C. 1971 through 1974), cases or
matters involving criminal interference with housing rights as is
prohibited by 42 U.S.C. 3631 and criminal interference with other
federally protected rights as is prohibited by 18 U.S.C. 245. Other
Criminal Section records include cases or matters involving 18 U.S.C.
1581 through 1588 which prohibit involuntary servitude, some cases
involving maritime law.
The records related to the duties of the Educational
Opportunities Section of CRT include cases or matters arising under
Federal laws requiring nondiscrimination in public education such as
Titles IV and IX of the Civil Rights Act of 1964 (42 U.S.C. 2000c, 42
U.S.C. 2000h-2) which prohibit discrimination on the basis of race,
color, religion, sex, or national origin: Title IX of the 1972
Education Amendments (20 U.S.C. 1681) which prohibits discrimination
on the basis of sex in educational programs or activities receiving
federal financial assistance and section 504 of the Rehabilitation
Act of 1973 which grants rights to handicapped persons participating
in educational programs receiving federal financial assistance. In
addition, the records related to the duties of the Educational
Opportunities Section include cases or matters arising under the
Equal Educational Opportunities Act of 1974 (20 U.S.C. 1701).
The records related to the duties of the Employment Litigation
Section of CRT include cases or matters arising under Federal laws
prohibiting discriminatory employment practices by State and local
governments such as the equal employment opportunity provisions
contained within the Revenue Sharing Act of 1972, as amended. Other
records include cases or matters arising under Title VII of the Civil
Rights Act of 1964 and its amendment which is the Pregnancy
Discriminatory Act of 1978 (42 U.S.C. 2000e(k)). In addition, the
records related to the duties of the Employment Litigation Section
include cases or matters arising under Executive Order No. 11246
involving equal opportunity laws applicable to public employers,
Federal contractors and subcontractors involved in federally financed
projects.
The records related to the duties of the Housing and Civil
Enforcement Section of CRT include cases or matters involving the
Fair Housing Act of 1968 (42 U.S.C. 3501 through 3619), and cases or
matters involving fair credit laws such as the Equal Credit
Opportunity Act (15 U.S.C. 1691 through 1691g) as well as its
implementing regulations. Regulation B (12 CFR part 202). Other
records include cases or matters arising under Title II and Title III
of the Civil Rights Act of 1964 which prohibit discrimination in
public facilities (except those Title III matters that involve prison
facilities) and cases or matters arising under the nondiscrimination
provisions of the Revenue Sharing Act and the Housing and Community
Development Act of 1974.
The records related to the duties of the Special Litigation
Section of CRT includes cases or matters arising under Title III of
the Civil Rights Act of 1964 as it applies to prison facilities,
cases or matters arising under the Civil Rights of Institutionalized
Persons Act of 1980 (42 U.S.C. 1997), cases or matters involving the
constitutional rights of institutional juveniles, and the
constitutional rights of mentally and physically handicapped persons
of all ages, cases arising under section 504 of the Rehabilitation
Act of 1973, as amended.
The records relate to the duties of the Office of Redress
Administration (ORA) and include records pertaining to the
identification, location and authorization for restitution payments
to eligible individuals of Japanese ancestry who were evacuated,
relocated or interned during World War II. Such restitution payments
are authorized by Section 1C5 of the Civil Liberties Act of 1988 (50
U.S.C. App. 1989b). Records will also relate to any criminal or civil
cases arising under this Act which occur as a result of fraud,
challenges to ORA administrative regulations.
The records related to the duties of the Public Access Section of
the Civil Rights Division include cases or matters arising under
Titles II and III of the Americans with Disabilities Act (ADA), 42
U.S.C. 12131-12134, 12181-12189, which prohibit discrimination by
State and local governments, public accommodations, commercial
facilities, and providers of certain examinations and courses on the
basis of disability. Other records include cases or matters involving
the certification of State and local building codes under section
308(b) of the ADA, 42 U.S.C. 12188(b)(1)(A)(ii), and the provision of
technical assistance under section 506 of the ADA, 42 U.S.C. 12206.
Further, the Public Access Section may maintain case-related records
on investigations arising under section 504 of the Rehabilitation Act
of 1973, as amended, 29 U.S.C. 794, Title VI of the Civil Rights Act
of 1964, 42 U.S.C. 2000d, and Title IX of the Education Amendments of
1972, 20 U.S.C. 1681 and other nondiscrimination statutes. Other
records relate to litigation involving the civil rights statutes
coordinated by the Department of Justice, and such other matters as
may be required to fulfill the duties mandated by the President and
Congress.
Authority for maintenance of the system:
The records in the system of records are kept under the authority
of 44 U.S.C. 3101 and in the ordinary course of fulfilling the
responsibility assigned to CRT under the provisions of 28 CFR 0.50,
0.51.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. Information in the system may be used by employees and
officials of the Department to make decisions in the course of
investigations and legal proceedings: to assist in preparing
responses to correspondence from persons outside the Department to
prepare budget requests, and various reports on the work product of
CRT or to carry out other authorized Department functions.
B. A record maintained in this system of records may be
disseminated as a routine use of such records as follows:
(1) A record relating to a possible or potential violation of
law, whether civil, criminal, or regulatory in nature may be
disseminated to the appropriate federal, state or local agency
charged with the responsibility of enforcing or implementing such
law; (2) In the course of the Administration by CRT of a federally
mandated program, or the investigation or litigation of a case or
matter, a record may be disseminated to a federal, state or local
agency, or to an individual or organization, if there is reason to
believe that such agency, individual or organization possesses
information or has the expertise in an official or technical capacity
to assist in the administration of such program or to analyze
information relating to the investigation, trial or hearing and the
dissemination is reasonably necessary to elicit such assistance,
information or expert analysis, or to obtain the cooperation of a
prospective witness; (3) A record relating to a case or matter, or
any facts derived therefrom, may be disseminated in a proceeding
before a court, grand jury, administrative or regulatory proceeding
or any other adjudicative body before which CRT is authorized to
appear, when the United States, or any agency or subdivision thereof,
is a party to litigation or has an interest in litigation and such
records are determined by CRT to be arguably relevant to the
litigation; (4) a record relating to a case or matter may be
disseminated to an actual or potential party to litigation or the
party's attorney (a) for the purpose of negotiation or discussion on
such matters as settlement of the case or matter, plea bargaining or
(b) in formal or informal discovery proceedings; (5) A record
relating to a case or matter that has been referred for investigation
may be disseminated to the referring agency to notify such agency of
the status of the case or matter or of any determination that has
been made; (6) A record relating to a person held in custody or
probation during a criminal proceeding or after conviction, may be
disseminated to any agency or individual having responsibility for
the maintenance, supervision or release of such person; (7) A record
may be disseminated to the United States Commission on Civil Rights
in response to its request and pursuant to 42 U.S.C. 1975d; (8) A
record may be disseminated to volunteer student workers and students
working under a work-study program as is necessary to enable them to
perform their assigned duties; (9) A record may be disseminated to
complainants and victims to the extent necessary to provide such
persons with information and explanations concerning the progress or
results of the investigation or case arising from the matters of
which the complainants or victims complained or of which they were a
victim; (10) In any health care-related civil or criminal case,
investigation, or matter, information indicating patient harm,
neglect, or abuse, or poor or inadequate quality of care, at a health
care facility or by a health care provider, may be disseminated as a
routine use to any federal, state, local, tribal, foreign, joint,
international or private entity that is responsible for regulating,
licensing, registering, or accrediting any health care provider or
health care facility, or enforcing any health care-related laws or
regulations. Further, information indicating an ongoing quality of
care problem by a health care provider or at a health care facility
may be disseminated to the appropriate health plan. Additionally,
unless otherwise prohibited by applicable law, information indicating
patient harm, neglect, abuse, or poor or inadequate quality of care
may be disseminated to the affected patient or his or her
representative or guardian at the discretion of and in the manner
determined by the agency in possession of the information; (11)
Information permitted to be released to the news media and the public
pursuant to 28 CFR 50.2 may be made available 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; (12) Information may be disclosed as is necessary to respond
to inquiries by Members of Congress on behalf of individual
constituents that are subject to CRT records; (13) A record may be
disclosed as a routine use to the National Archives and Records
Administration (NARA) and to the General Services Administration in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information relating to health care fraud may be disclosed to
private health plans, or associations of private health plans, and
health insurers, or associations of health insurers, for the
following purposes: to promote the coordination of efforts to
prevent, detect, investigate, and prosecute health care fraud; to
assist efforts by victims of health care fraud to obtain restitution;
to enable private health plans to participate in local, regional, and
national health care fraud task force activities; and to assist
tribunals having jurisdiction over claims against private health
plans.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in this system is stored on index cards, in file
jackets, and on computer disks or tapes.
Retrievability:
Information is retrieved through either use of an index card
system or logical queries to the computer-based system. Entries are
arranged alphabetically by the names of individuals covered by the
system. (Complaints received from individuals which have not been
investigated by the Department have not been systematically indexed
and information pertaining to such individuals may or may not be
retrievable.) Information on such individuals may be retrievable from
the file jackets by a number assigned and appearing on the index
cards.
Safeguards:
Information in manual and computer form is safeguarded and
protected in accordance with applicable Department security
regulations for systems of records. Only a limited number of staff
members who are assigned a specific identification code will be able
to use the computer to access the stored information.
Retention and disposal:
Records are maintained on the system while current and required
for official Government use. When no longer needed on an active
basis, the paper files are transferred to the Federal Records Center,
Suitland, Maryland and some records are transferred to computer tape
and stored in accordance with Department security regulations for
system of records. Final disposition is in accordance with records
retirement or destruction as scheduled by NARA.
System manager(s) and address:
Executive Officer. Administrative Management Section, Civil
Rights Division, United States Department of Justice, Washington, DC
20530.
Notification procedure:
Part of this system is exempted from this requirement under 5
U.S.C. 552a(j)(2) and (k)(2). Address inquiries to the System Manager
listed above.
Record access procedures:
Part of this system is exempted from this requirement under 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 exemption shall be made at the time a
request for access is received. A request for access to a record
retrievable in this system shall be made in writing, with the
envelope and letter clearly marked ``Privacy Access Request.''
Include in the request the full name of the individual, his or her
current address, date and place of birth, notarized signature (28 CFR
16.41(b)), the subject of the case or matter as described under
``Categories of records in the system,'' and any other information
which is known and may be of assistance in locating the record, such
as the name of the civil rights related case or matter involved,
where and when it occurred and the name of the judicial district
involved. The requester will also provide a return address for
transmitting the information. Access requests should be directed to
the System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend non-exempt information
retrievable in the system should direct their request to the System
Manager listed above, stating clearly and concisely what information
is being contested, the reasons for contesting it, and the proposed
amendment to the information sought.
Record source categories:
Sources of information contained in this system may be an agency
or person who has or offers information related to the law
enforcement responsibilities and/or other statutorily-mandated duties
of CRT.
Systems exempted from certain provisions of the act:
The Attorney General has exempted parts of this system from
subsections (c)(3), (d), and (g) of the Privacy Act pursuant to 5
U.S.C. 552a (j)(2) and (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.
These exemptions apply only to the extent that information in a
record pertaining to a particular individual relates to an official
Federal investigation and/or law enforcement matter. Those files
indexed under an individual's name which concern only the
administrative management of restitution payments under Section 105
of the Civil Liberties Act of 1988 are not being exempted pursuant to
5 U.S.C. 552a(j)(2) and (k)(2).
JUSTICE/CRT-002
System name: Files of Applications for the Position of Attorney
with the Civil Rights Division.
System location:
U.S. Department of Justice, Civil Rights Division (CRT), 10th and
Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons who have applied for a position as an attorney with CRT.
Categories of records in the system:
The system may contain SF 171 forms, resumes, referral letters,
letters of recommendation, writing samples, interview notes, internal
notes or memoranda, and other correspondence and documents.
Authority for maintenance of the system:
The records in this system of records are kept under the
authority of 44 U.S.C. 3101 and in the ordinary course of fulfilling
the responsibilities assigned to CRT under 28 CFR 0.50, 0.51.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system are used by employees and officials of
the Department in making employment decisions. If an individual is
hired, the records may become part of his or her Official Personnel
Folder.
A record relating to this system, or any facts derived therefrom,
may be disseminated in a proceeding before a court, grand jury,
administrative or regulatory proceeding or any other adjudicative
body before which the Civil Rights Division is authorized to appear,
when the United States, or any agency or subdivision thereof, is a
party to litigation or has an interest in litigation and such records
are determined by the Civil Rights Division to be arguably relevant
to the litigation. A record relating to this system may be
disseminated to an actual or potential party to litigation or the
party's attorney for the purpose of negotiation or discussion on such
matters as settlement of the case or matter, plea bargaining or in
formal or informal discovery proceedings.
Release of information to the news media: Information permitted
to be released in the news media and the public pursuant to 28 CFR
50.2 may be made available from systems or records maintained by the
Department of Justice 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.
Release of information of Members of Congress. Information in the
system may be disclosed as is necessary to respond to inquiries by
Members of Congress on behalf of individual constituents that are
subjects of CRT records.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in the system are primarily original papers or
reproductions or copies thereof. The system consists of files
pertaining to individual applicants.
Retrievability:
Information is retrieved by using an applicant's name.
Safeguards:
Information in the system is unclassified. It is safeguarded and
protected in accordance with Departmental rules and procedures
governing access, production and disclosure of any materials
contained in its official files.
Retention and disposal:
Information is retained in the system until a final employment
decision is made or until such time as CRT is notified by the
applicant that he or she is no longer interested in or available for
the position. If an individual is hired, some or all of the records
may become part of his or her Official Personnel Folder.
System manager(s) and address:
Deputy Assistant Attorney General, Civil Rights Division, U.S.
Department of Justice, Washington, DC 20530.
Notification procedure:
Address inquiries to the Assistant Attorney General, Civil Rights
Division, U.S. Department of Justice, Washington, DC 20530.
Record access procedures:
A request for access to a record from this system shall be made
in writing with the envelope and the letter clearly marked `Privacy
Access Request.' The request should include the name of the applicant
and the position applied for. The requester will also provide a
return address for transmitting the information. Access requests will
be directed to the System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in the system generally are the
applicants, persons referring or recommending the applicant, and
employees and officials of the Department.
Systems exempted from certain provisions of the act:
None.
JUSTICE/CRT-003
System name:
Civil Rights Case Load Evaluation System--Time Reporting System.
System location:
United States Department of Justice, Civil Rights Division (CRT),
10th and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Attorneys and paralegals of CRT of the United States Department
of Justice.
Categories of records in the system:
The system contains the names of Division attorneys and
paralegals and their assignments and allocation of work time.
Authority for maintenance of the system:
The records in this system are kept under the authority of 44
U.S.C. 3101 and in the ordinary course of fulfilling the
responsibilities assigned to CRT under 28 CFR 0.50, 0.51.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
CRT personnel use this system or records to keep track of
resources, i.e., to determine CRT allocations of resources and
professional time to individual assignments of cases and broad
categories of cases (e.g., voting, criminal, enforcement), and to
assist in preparing budget requests and other reports which may be
submitted to the Attorney General or the Congress.
A record relating to this system, or an facts derived therefrom,
may be disseminated in a proceeding before a court, grand jury,
administrative or regulatory proceeding or any other adjudicative
body before which CRT is authorized to appear, when the United
States, or any agency or subdivision thereof, is a party to
litigation or has an interest in litigation and such records are
determined by CRT to be arguably relevant to the litigation. A record
relating to this system may be disseminated to an actual or potential
party to litigation or the party's attorney for the purpose of
negotiation or discussion on such matters as settlement or the case
of matter, plea bargaining or in formal or informal discovery
proceedings.
A record may be accessed by volunteer student workers and
students working under a work-study program as is necessary to enable
them to perform their assigned duties.
Release of information to Members of Congress: Information in the
system may be disclosed as is necessary to respond to inquiries by
Members of Congress on behalf of individual constituents that are
subject of CRT records.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from the system or records may be disclosed to NARA
and GSA for records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on computer disks.
Retrievability:
Information is retrieved by the names of attorneys or paralegals.
Safeguards:
Information contained in the system is unclassified. It is
safeguarded and protected in accordance with Departmental security
regulations for systems or records. Access to the records is limited
to those employees whose official duties require such access.
Retention and disposal:
Records are maintained in the system while current and required
for official Government use. When no longer needed on an active
basis, the records are stored in accoradance with Departmental
security regulations for systems of records. Final disposition is in
accordance with General Records Schedule 5, item 4.
System manager(s) and address:
Executive Officer, Administrative Management Section, Civil
Rights Division, United States Department of Justice, 10th and
Constitution Avenue, NW, Washington DC 20530.
Notification procedure:
Address inquiries to the system manager listed above.
Record access procedures:
A request for access to a record retrievable in this system shall
be made in writing, with the envelope and letter clearly marked
``Privacy Access Request.'' Include in the request the full name of
the individual involved, his or her current address, date and place
of birth, and notarized signature (28 CFR 16.42(b)), and any other
information which is known and may be of assistance in locating the
record. The requester should provide a return address for
transmitting the information. Access to request should be directed to
the system manager listed above.
Contesting record procedures:
Individuals desiring the contest or amend their records should
direct their request to the system manager listed above, stating
clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information sought.
Record source categories:
Information on time-allocation is provided by CRT attorneys and
paralegals.
Systems exempted from certain provisions of the act:
None.
JUSTICE/CRT-004
System name: Registry of Names of Interested Persons Desiring
Notification of Submissions under Section 5 of the Voting Rights
Act.
System location:
U.S. Department of Justice, Civil Rights Division (CRT), 320
First Street, NW, Washington, DC 20530 and U.S. Department of
Justice, 10th and Constitution, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons who have requested that the Attorney General send them
notice of submissions under Section 5 of the Voting Rights Act of
1965, 42 U.S.C. 1973c.
Categories of records in the system:
The Registry contains the name, address and telephone numbers of
interested parties, and, where appropriate, the area or areas with
respect to which notification was requested by such persons.
Authority for maintenance of the system:
46 FR 877 (1981) codified in 28 CFR 51.30, 42 U.S.C. 1973c, 5
U.S.C. 301 and 28 U.S.C. 509.510.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Registry is used to identify persons interested in receiving
notice of Section 5 submissions and to comply with their requests.
The Registry may be used to notify the persons listed therein of any
proposed changes in the ``Procedures for the Administration of
Section 5 of the Voting Rights Act of 1965,'' 46 FR 870 (1981)
codified in 28 CFR part 1, and to solicit their comments which
respect to any such proposed changes.
A record relating to this system, or any facts derived therefrom,
may be disseminated in a proceeding before a court, grand jury,
administrative or regulatory proceeding or any other adjudicative
body before which CRT is authorized to appear, when the United
States, or any agency or subdivision thereof, is a party to
litigation or has an interest in litigation and such records are
determined by CRT to be arguably relevant to the litigation. A record
relating to this system may be disseminated to an actual or potential
party to litigation or the party's attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining or in formal or informal discovery
proceedings.
A record may be accessed by volunteer student workers and
students working under work-study program as is necessary to enable
them to perform their assigned duties.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information in the
system may be disclosed as is necessary to respond to inquiries by
Members of Congress on behalf of individual constituents that are
subjects of CRT records.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA):
A record from a system of records may be disclosed as a routine
use to NARA and GSA in records management inspections conducted under
the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Names are stored in a card file system, and an automated
addresser.
Retrievability:
Records in this system are retrievable by the names of interested
persons and organizations.
Safeguards:
Information in the system is safeguarded in accordance with
Departmental rules and procedures governing access, production and
disclosure of any materials contained in its official files.
Retention and disposal:
An individual or organizational name is retained in the Registry
until such time as that person or organization request that the name
be deleted.
System manager(s) and address:
Chief, Voting Section, Civil Rights Division, U.S. Department of
Justice Washington, DC 20530.
Notification procedure:
Address inquiries to: Assistant Attorney General, Civil Rights
Division, U.S. Department of Justice, Washington, DC 20530.
Record access procedures:
This system contains no information about any individual other
than as described in Category of Record above. Persons whose names
appear on the Registry may have access thereto or have their names
and other information pertaining to them deleted or modified upon a
request of the same nature as indicated in 46 FR 877 (1981) Codified
in 28 CFR 51.30.
Contesting record procedures:
Same as the above.
Record source categories:
Sources of information in the Registry are those persons or
organizations whose names appear therein by virtue of their having
requested inclusion in the Registry pursuant to 46 FR 877 (1981)
codified in 28 CFR 51.30.
Systems exempted from certain provisions of the act:
None.
JUSTICE/CRT-007
System name: Files on Employment Civil Rights Matters Referred
by the Equal Employment Opportunity Commission.
System location:
U.S. Department of Justice, Civil Rights Division (CRT), 10th and
Constitution Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons seeking employment or employed by a state or a political
subdivision of a state who have filed charges alleging discrimination
in employment with the Equal Employment Opportunity Commission
(hereinafter EEOC) which have resulted in a determination by EEOC
that there is probable cause to believe that such discrimination has
occurred, and attempts by EEOC at conciliation have failed.
Categories of records in the system:
The system may contain copies of charges filed with EEOC, copies
of EEOC's ``determination'' letters, letters of transmittal from and
to EEOC, analyses or evaluations summarizing the charge and other
materials in the EEOC file, internal memoranda, attorney notes, and
copies of ``right to sue'' letters issued by CRT. Charges related to
allegations of employment discrimination by public employers filed by
individual complainants which have been referred to the Department of
Justice by EEOC pursuant to 42 U.S.C. 2000e-5(f)(1) or 5(f)(2), or to
allegations of a pattern or practice of violations of the Equal
Employment Opportunity Act by a public employer which have been
referred to the Department of Justice by EEOC pursuant to 42 U.S.C.
2000e-6.
Authority for maintenance of the system:
The records in this system of records are kept under authority of
44 U.S.C. 3101 and in the ordinary course fulfilling the
responsibilities assigned to CRT under 28 CFR 0.50, 0.51.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The system is used by employees and officials of the Department
to make decisions regarding prosecution of alleged instances of
employment discrimination; to issue right to sue letters on behalf of
individuals; to make policy and planning determinations; to prepare
annual budget requests and justifications; to prepare statistical
reports on the work product of the Employment Litigation Section and
to carry out other authorized internal functions of the Department.
If the Department has determined to initiate an investigation or
litigate a matter referred by EEOC the records pertaining to that
matter are not contained in the system. Such records and their
routine uses are described under the notice for the system named:
Central CRT Index File and Associated Records.
A record relating to this system, or any facts derived therefrom
may be disseminated in a proceeding before a court, grand jury,
administrative or regulatory proceeding or any other adjudicative
body before which CRT is authorized to appear, when the United
States, or any agency or subdivision therof, is a party to litigation
or has an interest in litigation and such records are determined by
CRT to be arguably relevant to the litigation. A record relating to
this system may be disseminated to an actual or potential party to
litigation or the party's attorney for the purpose of negotiation or
discussion on such matters as settlement of the case or matter, plea
bargaining or in formal or informal discovery proceedings.
A record may be accessed by volunteer student workers and
students working under a work-study program as is necessary to enable
them to perform their assigned duties.
Releases of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information in the
system may be disclosed as is necessary to respond to inquiries by
Members of Congress on behalf of individual constituents that are
subjects of CRT records.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA):
A record from a system of records may be disclosed as a routine
use to NARA and GSA in records management inspections conducted under
the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in the systems is stored on index cards, in file
jackets, and in computer disks which are maintained by the Employment
Litigation Section, Civil Rights Division. If the charge related to a
public educational agency or institution and was filed before
September 1977, such information may be maintained by the Educational
Opportunities Section, Civil Rights Division.
Retrievability:
Information is retrieved primarily by using the appropriate
Department of Justice file number, or the name of the charging party,
or the state in which the alleged discrimination occurred or through,
other logical queries to the computer based system.
Safeguards:
Information in manual and computer form is safeguarded and
protected in accordance with applicable Departmental security
regulations for systems of records. Only limited number of staff
members who are assigned a specific identification code will be able
to use the computer or to access the stored information.
Retention and disposal:
If the Department determines not to prosecute a matter referred
by the EEOC, the records transmitted with the referral are returned
to the EEOC. Other records in the system are kept for routine use by
the Department and when no longer needed are sent to the Federal
Records Center or are destroyed in accordance with records retention
and disposal schedules as established by NARA.
System manager(s) and address:
Assistant Attorney General, Civil Rights Division, U.S.
Department of Justice, Washington, DC 20530.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from this system shall be made
in writing with the envelope and letter clearly marked ``Privacy
Access Request.'' The request should indicate the state where the
alleged employment discrimination took place and the employer to
which the charge was related. The requester should also provide the
full name of the individual involved, his or her current address,
date and place of birth, notarized signature (28 CFR 16.41(b)), any
other known information which may be of assistance in locating the
record, and a return address for transmitting the information. Access
requests will be directed to the System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought. Disclosure of part of the material in this
system may be prohibited by 42 U.S.C. 2000e-5(b), 42 U.S.C. 2000e-
8(e) and 44 U.S.C. 3510(b). Part of this system is exempted from
access and contest under 5 U.S.C. 552a(k)(2).
Record source categories:
Source of information in this system are charging parties,
information complied and maintained by EEOC, and employees and
officials of the Department of Justice responsible for the
disposition of the referral request.
Systems exempted from certain provisions of the act:
The Attorney General has exempted the system from subsection 9d
of the Privacy Act pursuant to 5 U.S.C. 552(k)(2). Rules have been
promulgated in accordance with the requirements of 5 U.S.C. 553(b),
(c) and have been published in the Federal Register.
JUSTICE/CRT-009
System name: Civil Rights Division Travel Reports.
System location:
United States Department of Justice, Civil Rights Division (CRT),
10th and Constitution Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
All persons who have filed travel authorization forms or travel
voucher forms for official travel on behalf of CRT.
Categories of records in the system:
The system contains information concerning travel expenditures
which were recorded on travel authorization forms (Forms OBD-1 and
DOJ-501) and travel voucher forms (Forms OBD-157 and SF-1012) by CRT
employees or other persons authorized to travel for CRT and submitted
to the Budget and Finance Branch of CRT from fiscal Year 1972 to the
present. The computerized data covers fiscal years 1972 through 1981.
Authority for maintenance of the system:
The records in this system of records are kept under the
authority of 44 U.S.C. 3101 and in the ordinary course of fulfilling
the responsibilities assigned to CRT under 28 CFR 0.50, 0.51.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system are used to make periodic and special
reports to the Administrative Management Section, CRT, and to the
Budget and Finance Branch, CRT, for use in controlling and reviewing
CRT expenditures. Copies of individual's reports may be disclosed to
the individual when appropriate forms are not submitted following a
return from travel status.
A record relating to this system, or any facts derived therefrom,
may be disseminated in a proceeding before a court, grand jury,
administrative or regulatory proceeding or any other adjudicative
body before which CRT is authorized to appear, when the United
States, or any agency or subdivision thereof, is a party to
litigation or has an interest in litigation and such records are
determined by CRT to be arguably relevant to the litigation. A record
relating to this system may be disseminated to an actual or potential
party to litigation or the party's attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining or in formal or informal discovery
proceedings.
A record may be accessed by volunteer student workers and
students working under a work-study program as is necessary to enable
them to perform their assigned duties.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information in the
system may be disclosed as is necessary to respond to inquiries by
Members of Congress on behalf of individual constituents that are
subject to CRT records.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in the system are stored on magnetic tape and on computer
punch cards, on monthly and periodic and special reports printed on
computer. Individual vouchers and travel authorization forms are
stored in file jackets.
Retrievability:
Records in this system are retrieved by the names of those
individuals identified under the caption ``Categories of individuals
covered by the system.''
Safeguards:
Information in the system is unclassified. However, the records
are protected in accordance with applicable Department security
regulations for systems of records. Records are stored in locked
cabinets and access to the computer is limited to those personnel who
have a need for access to perform their official duties.
Retention and disposal:
Records are maintained on the system while current and required
for official Government use. When not longer needed on an active
basis, the records are transferred to computer tape and stored in
accordance with Departmental security regulations for systems of
records. Final disposition will be in accordance with records
retirement or destruction as scheduled by NARA.
System manager(s) and address:
Executive Officer, Administrative Management Section, Civil
Rights Division, United States Department of Justice, Washington, DC
20530.
Notification procedure:
Same as the above.
Record access procedures:
Requests by former employees for access to records in this system
may be made in writing with the envelope and letter clearly marked
``Privacy Act Request''. The request should clearly state the dates
on which official travel was taken. The requestor should also provide
the full name of the individual involved, his or her current address,
date and place of birth, notarized signature (28 CFR 16.41(b)), any
other known information which may be of assistance in locating the
record, and a return address for transmitting the information. Access
requests will be directed to the System Manager. Present employees
may request access by contacting the System Manager directly.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reason for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Source of information are CRT employees and other authorized
persons who file travel authorization and travel voucher forms.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
Criminal Division
JUSTICE/CRM-001
System name:
Central Criminal Division Index File and Associated Records.
System location:
U.S. Department of Justice, Criminal Division, Bond Building,
1400 New York Avenue NW., Washington, DC 20530, and, Federal Records
Center, Suitland, Maryland 20409.
Categories of individuals covered by the system:
Persons referred to in potential or actual cases and matters of
concern to the Criminal Division and correspondents on subjects
directed or referred to the Criminal Division.
Categories of records in the system:
The system consists of alphabetical indices bearing individual
names, and the associated records to which they relate, arranged
either by subject matter or individual identifying number containing
the general and particular records of all Criminal Division
correspondence, cases, matters, and memoranda, including but not
limited to investigative reports, correspondence to and from the
Division, legal papers, evidence, and exhibits. The system also
includes items classified in the interest of national security with
such designations as confidential, secret, and top secret received
and maintained by the Department of Justice. This system may also
include records concerning subject matters more particularly
described in other systems of records of the Criminal Division.
Authority for maintenance of the system:
This system is established and maintained pursuant to 44 U.S.C.
3101 to implement all functions assigned to the Criminal Division in
28 CFR 0.55 through 0.64-2.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: (1) In any case in which
there is an indication of a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, the record in
question may be disseminated to the appropriate federal, state,
local, or foreign agency charged with the responsibility for
investigation or prosecuting such violation or charged with enforcing
or implementing such law; (2) in the course of investigating the
potential or actual violation of any law, whether civil, criminal, or
regulatory in nature, or during the course of a trial or hearing or
the preparation for a trial or hearing for such violation, a record
may be disseminated to a federal, state, local, or foreign agency, or
to an individual or organization, if there is reason to believe that
such agency, individual, or organization possesses information
relating to the investigation, trial, or hearing and the
dissemination is reasonably necessary to elicit such information or
to obtain the cooperation of a witness or an informant; (3) a record
related 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 a federal, state, or local administrative or
regulatory proceeding or hearing in accordance with the procedures
governing such proceeding or hearing; (5) a record relating to a case
or matter may be disseminated to an actual or potential party or his
attorney for the purposes of negotiation or discussion on such
matters as settlement of the case or matter, plea bargaining, or
informal discovery proceedings; (6) 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; (7) a record relating to a person held in custody
pending or during arraignment, trial, sentence, or extradition
proceedings, or after conviction or after extradition proceedings,
may be disseminated to a federal, state, local, or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person; (8) a record relating to a case or matter may be
disseminated to a foreign country pursuant to an international treaty
or convention entered into and ratified by the United States or to an
executive agreement; (9) 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;
(10) a record may be disseminated to a federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; (11) a record may be disseminated to
the public, news media, trade associations, or organized groups, when
the purpose of the dissemination is educational or informational,
such as descriptions of crime trends or distinctive or unique modus
operandi, provided that the record does not contain any information
identifiable to a specific individual other than such modus operandi;
(12) 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 and/or returning a fugitive to a jurisdiction which
seeks his return; (13) a record that contains classified national
security information and material may be disseminated to persons who
are engaged in historical research projects, or who have previously
occupied policy making provisions to which they were appointed by the
President, in accordance with the provisions codified in 28 CFR
17.60; (14) a record relating to an actual or potential civil or
criminal violation of title 17, United States Code, may be
disseminated to a person injured by such violation to assist him in
the institution or maintenance of a suit brought under such title;
(15) in any health care-related civil or criminal case,
investigation, or matter, information indicating patient harm,
neglect, or abuse, or poor or inadequate quality of care, at a health
care facility or by a health care provider, may be disclosed as a
routine use to any federal, state, local, tribal, foreign, joint,
international or private entity that is responsible for regulating,
licensing, registering, or accrediting any health care provider or
health care facility, or enforcing any health care-related laws or
regulations. Further, information indicating an ongoing quality of
care problem by a health care provider or at a health care facility
may be disclosed to the appropriate health plan. Additionally, unless
otherwise prohibited by applicable law, information indicating
patient harm, neglect, abuse, or poor or inadequate quality of care
may be disclosed to the affected patient or his or her representative
or guardian at the discretion of and in the manner determined by the
agency in possession of the information; (16) information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available 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; (17)
information not otherwise required to be released pursuant to 5
U.S.C. 552 may be made available 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; and (18) a record may be disclosed as a
routine use to the National Archives and Records Administration and
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Information relating to health care fraud may be disclosed to
private health plans, or associations of private health plans, and
health insurers, or associations of health insurers, for the
following purposes: to promote the coordination of efforts to
prevent, detect, investigate, and prosecute health care fraud; to
assist efforts by victims of health care fraud to obtain restitution;
to enable private health plans to participate in local, regional, and
national health care fraud task force activities; and to assist
tribunals having jurisdiction over claims against private health
plans.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper documents are stored in file folders and in the Federal
Records Center; selected summary data is stored on manual index cards
and on microfilm and on IBM System/38.
Retrievability:
Summary data, e.g., names, file numbers, subjects, dates of
correspondence, dates of receipt, due dates of assignments, docket
numbers and/or synopses are retrieved from manual index cards
microfilm, and a numerical listing maintained on IBM System/38. File
folders are retrieved through manual or automated indexes which are
accessed through certain summary data, i.e., name or file and docket
numbers.
Safeguards:
The records are safeguarded and protected in accordance with
applicable Departmental rules. Security for the automated records
include strictly controlled access codes and passwords. In addition,
only authorized Criminal Division employees will have access to the
system.
Retention and disposal:
Currently there is an agreement with the Federal Records Center
for retention and disposal after ten years applicable to
approximately 20 percent of the Division records. All other paper
records are currently retained indefinitely. A retention and disposal
schedule for automated records will be under review in connection
with a revised schedule for the paper records.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice; 10th and Constitution Avenue, NW., Washington, DC 20530.
Notification procedure:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a(j)(2), (k)(1), or (k)(2). Inquiry concerning this
system should be directed to the system manager listed above.
Record access procedures:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a(j)(2), (k)(1), or (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 exemption shall be made at
the time a request for access is received. A request for access to a
record contained in this system shall be made in writing, with the
envelope and the letter clearly marked `Privacy Access Request.'
Include in the request the name of the individual involved, his birth
date and place, or any other identifying number or information which
may be of assistance in locating the record, the name of the case or
matter involved, if known, and the name of the judicial district
involved, if known. The requestor will also provide a return address
for transmitting the information. Access requests will be directed to
the system manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the system manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Department officers and employees, and other federal, state,
local, and foreign law enforcement and non-law enforcement agencies,
private persons, witnesses, and informants.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e)(1), (2) and (e)(4), (G), (H) and (I),
(e)(5) and (8), (f) 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.
JUSTICE/CRM-002
System name: Criminal Division Witness Security File.
System location:
U.S. Department of Justice, Criminal Division, 10th Street and
Constitution Avenue, NW, Washington, DC 20530. In addition, some of
the records contained in this system may be located at one or more of
the Organized Crime and Racketeering Sections Field Offices listed in
the appendix to the Criminal Division Systems of Records.
Categories of individuals covered by the system:
Persons who are potential or actual witnesses and/or informants,
relatives, and associates of those individuals.
Categories of records in the system:
The system consists of the Witness Security Program files on all
persons who are considered for admission or who have been admitted
into the program. The files contain information concerning the
individuals, the source and degree of danger to which they are
exposed, the cases in which they are expected to testify, relocation
information and documentation, job assistance, sponsoring office,
requirements for reimbursement and administration of the program, and
protection techniques. Records concerning subject matters described
in this system may also be contained in JUSTICE/CRM-001.
Authority for maintenance of the system:
This system is authorized pursuant to sections 501 through 504 of
Pub. L. 91-452.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: 1. Dissemination of a
record may be made to a federal, state, local, or foreign agency to
acquire information concerning the individual, or those associated
with him, relating to the protection of the subject or to a criminal
investigation; 2. in any case in which there is an indication of a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, the record in question may be disseminated to
the appropriate federal, state, local, or foreign agency charged with
the responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing such law; 3. in the course of
investigating the potential or actual violation of any law, whether
civil, criminal, or regulatory in nature, or during the course of a
trial or hearing or the preparation for a trial or hearing for such
violation, a record may be disseminated to a federal, state, local,
or foreign agency, or to an individual or organization if there is
reason to believe that such agency, individual, or organization
possesses information relating to the investigation, trial, or
hearing and the dissemination is reasonably necessary to elicit such
information or to obtain the cooperation of a witness or an
informant; 4. 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; 5. 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;
6. a record relating to a case or matter may be disseminated to an
actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings; 7. a
record relating to an individual in a matter that has been referred
for either consideration or investigation by an agency may be
disseminated to the referring agency to notify such agency of the
status of the case or matter or of any decision or determination that
has been made; 8. a record relating to an individual held in custody
pending arraignment, trial, or sentence, or extradition proceedings,
or after conviction or after extradition proceedings, may be
disseminated to a federal, state, local, or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person; 9. a record may be disseminated to a foreign
country pursuant to an international treaty or convention entered
into and ratified by the United States or to an executive agreement;
10. a record may be disseminated to a federal, state, local, or
foreign 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; 11. a record may be
disseminated to a federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the reporting of an investigation of an
employee, the letting of a contract or the issuance of a license,
grant, or other benefit by the requesting agency, to the extent that
the information relates to the requesting agency's decision on the
matter; 12. a record may be disseminated to a non-governmental entity
or individual in the acquisition of employment or other services in
behalf of the witnesses.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA), and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is kept on index cards and in
files stored in safe type filing cabinets.
Retrievability:
A record is retrieved by name of the individual.
Safeguards:
The records are maintained in safes with additional physical
safeguards as well as limited access by Departmental personnel.
Retention and disposal:
Currently there are no provisions for the disposal of the records
in the system.
System manager(s) and address:
Assistant Attorney General; Criminal Division; U.S. Department of
Justice; 10th Street and Constitution Avenue, NW, Washington, DC
20530.
Notification procedure:
Inquiry concerning the system should be addressed to the System
Manager listed above.
Record access procedures:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a(j)(2), (k)(1), or (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 exemption shall be made at
the time a request for access is received. A request for access to a
record contained in this system shall be made in writing, with the
envelope and the letter clearly marked `Privacy Access Request'.
Include in the request the name of the individual involved, his birth
date and place, or any other identifying number or information which
may be of assistance in locating the record, the name of the case or
matter involved, if known, and the name of the judicial district
involved, if known. The requestor will also provide a return address
for transmitting the information. Access requests will be directed to
the system manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the system manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
1. Federal, state, local, or foreign government agencies
concerned with the administration of criminal justice; 2. Members of
the public; 3. Government agency employees; 4. Published material; 5.
Persons considered for admission or admitted to the program.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G), (H) and (I),
(e)(5) and (8), (f), 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.
JUSTICE/CRM-003
System name: File of Names Checked to Determine If Those
Individuals Have Been the Subject of An Electronic Surveillance.
System location:
U.S. Department of Justice; Criminal Division; Bond Building,
1400 New York Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
Grand jury witnesses, defendants and potential defendants in
criminal cases and their attorneys.
Categories of records in the system:
The system contains the names of those persons submitted by
federal prosecutors to inquire whether such persons have been the
subject of electronic surveillances. The file consists of the names,
the inquiries made to federal investigatory agencies, the replies
received from such agencies, and the reply submitted to the
prosecutor. Records concerning subject matters described in this
system may also be contained in JUSTICE/CRM-001.
Authority for maintenance of the system:
This system is established and maintained pursuant to 44 U.S.C.
3101. The system is also maintained to implement the provisions of 18
U.S.C. 3504.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: 1. In the appropriate
federal court proceeding in accordance with established
constitutional, substantive, or procedural law or practice; 2. to an
actual or potential party or his attorney in the case or matter in
which the request was made.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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 to the record.
Release of information to the National Archives and Records
Administration (NARA), and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is stored manually in file
jackets.
Retrievability:
A record is retrieved by the name of the individual checked.
Safeguards:
The records are safeguarded and protected in accordance with
applicable Departmental rules.
Retention and disposal:
Currently, there are no provisions for disposal of the records in
this system.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th and Constitution Avenue NW, Washington, DC 20530.
Notification procedure:
A part of this system is exempted from this requirement under 5
U.S.C. 552a(j)(2). Inquiry concerning this system should be directed
to the System Manager listed above.
Record access procedures:
A part of this system is exempted from this requirement under 5
U.S.C. 552a(j)(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 exemption shall be made at the time a request for
access is received. A request for access to a record from this system
shall be made in writing, with the envelope and the letter clearly
marked ``Private Access Request.'' Include in the request the name of
the individual involved, his birth date and place, or any other
identifying number or information which may be of assistance in
locating the record, the name of the case or matter, if known, and
the name of the judicial district involved, if known. The requestor
will also provide a return address for transmitting the information.
Access requests will be directed to the System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in this system are an actual or
potential party or his attorney in the case or matter in question,
federal prosecutors, and the federal investigative agencies.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(4), (d), (e)(4) (G), (H) and (I), (f) 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.
JUSTICE/CRM-004
System name: General Litigation and Legal Advice Section,
Criminal Division, Central Index File and Associated Records.
System location:
U.S. Department of Justice, Criminal Division, Bond Building,
1400 New York Ave., NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons referred to in potential or actual cases and matters of
concern to the General Litigation and Legal Advice Section, Criminal
Division, and correspondents on subjects directed or referred to the
Criminal Division.
Categories of records in the system:
The system consists of an alphabetical index by individual name
or subject matter of all incoming correspondence, cases, and matters
assigned, referred, or of interest to the General Litigation and
Legal Advice Section, Criminal Division. A large percentage of these
records are duplicated in the Central Criminal Division records;
some, however, are not sent through central records come to the
General Litigation and Legal Advice Section directly.
Authority for maintenance of the system:
This system is established and maintained pursuant to 44 U.S.C.
3101, and is intended to assist in implementing and enforcing the
criminal laws of the United States, particularly those codified in
title 18, United States Code. The system is also maintained to
implement the provisions codified in 28 CFR 0.55.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: (1) In any case in which
there is an indication of a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, the record in
question may be disseminated to the appropriate federal, state,
local, or foreign agency charged with the responsibility for
investigating or prosecuting such violation or charged with enforcing
or implementing such law; (2) in the course of investigating the
potential or actual violation of any law, whether civil, criminal, or
regulatory in nature, or during the course of a trial or bearing or
the preparation for a trial or hearing for such violation, a record
may be disseminated to a federal, state, local, or foreign agency, or
to an individual or organization, if there is reason to believe that
such agency, individual, or organization possesses information
relating to the investigation, trial, or hearing and the
dissemination is reasonably necessary to elicit such information or
to obtain the cooperation of a witness or an informant; (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 a federal, state, or local administrative or
regulatory proceeding or hearing in accordance with the procedures
governing such proceeding or hearing; (5) a record relating to a case
or matter may be disseminated to an actual or potential party or his
attorney for the purpose of negotiation or discussion on such matters
as settlement of the case or matter, plea bargaining, or informal
discovery proceedings; (6) 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; (7) a record relating to a person held in custody
pending or during arraignment, trial, sentence, or extradition
proceedings, or after conviction or after extradition proceedings,
may be disseminated to a federal, state, local, or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person; (8) a record relating to a case or matter may be
disseminated to a foreign country pursuant to an international treaty
or convention entered into and ratified by the United States or to an
executive agreement; (9) 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;
(10) a record may be disseminated to a federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; (11) a record may be disseminated to
the public, news media, trade associations, or organized groups, when
the purpose of the dissemination is educational or informational,
such as descriptions of crime trends or distinctive or unique modus
operandi, provided that the record does not contain any information
identifiable to a specific individual other than such modus operandi;
(12) 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 and/or returning a fugitive to a jurisdiction which
seeks his return.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA), and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is stored manually on index
cards.
Retrievability:
A record is retrieved from index cards by the name of the
individual or matter which will then indicate the Section Unit or
attorney assigned to work on the correspondence, case, or matter.
Safeguards:
Records are safeguarded and protected in accordance with
applicable Departmental rules.
Retention and disposal:
Currently there are no provisions for disposal of the records
contained in this system.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th Street and Constitution Avenue, NW, Washington, DC
20530.
Notification procedure:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a (j)(2), (k)(1), or (k)(2). Inquiries concerning
this system should be directed to the System Manager listed above.
Record access procedures:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a (j)(2), (k)(1), or (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 applicability of an
exemption as to a specific record shall be made at the time a request
for access is received. A request for access to a record contained in
this system shall be made in writing, with the envelope and the
letter clearly marked `Privacy Access Request'. Include in the
request the name of the individual involved, his birth date and
place, or any other identifying number or information which may be of
assistance in locating the record, the name of the case or matter
involved, if known, and the name of the judicial district involved,
if known. The requestor will also provide a return address for
transmitting information. Access requests will be directed to the
System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Department offices and employees and other federal, state, local,
and foreign law enforcement and non-law enforcement agencies, private
persons, witnesses, and informants.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (1), (2) and (3), and (e)(4) (G), (H) and
(I), (e) (5) and (8), (f), 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.
JUSTICE/CRM-005
System name: Index to Names of Attorneys Employed by the
Criminal Division, U.S. Department of Justice, Indicating the
Subject of the Memoranda on Criminal Matters They Have Written.
System location:
U.S. Department of Justice, Criminal Division, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Past and present attorneys employed by the Criminal Division,
U.S. Department of Justice.
Categories of records in the system:
This system of records consists of the names of past and present
Criminal Division attorneys and lists the memoranda they have written
on various matters, generally involving legal research, on matters of
interest to the Division. This system is a cross-reference index
maintained for convenience only and does not include the memoranda
themselves other than the fact of authorship.
Authority for maintenance of the system:
This system is established and maintained pursuant to the
authority granted by 44 U.S.C. 3101. The system is also maintained to
implement the provisions codified in 28 CFR 0.55 and 0.61.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
There are no uses of the records in this system outside of the
Department of Justice.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA), and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is stored manually on index
cards.
Retrievability:
A record is retrieved by name of the individual.
Safeguards:
Records are safeguarded and protected in accordance with
applicable Departmental rules.
Retention and disposal:
Currently there are no provisions for disposal of the records in
this system.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from this system shall be made
in writing, with the envelope and the letter clearly marked `Privacy
Access Request'. Include in the request the name of the past or
present attorney employed by the Criminal Division. The requestor
shall also provide a return address for transmitting the information.
Access requests will be directed to the System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Past and present attorneys employed by the Criminal Division,
U.S. Department of Justice.
Systems exempted from certain provisions of the act: None.
JUSTICE/CRM-006
System name: Information File on Individuals and Commercial
Entities Known or Suspected of Being Involved in Fraudulent
Activities.
System location: U.S. Department of Justice, Criminal Division,
10th Street and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system: Individuals
involved in actual or suspected fraudulent activities and their
victims.
Categories of records in the system: This system of records
consists of alphabetized indices of the names of those individuals or
commercial entities known or suspected of involvement in fraudulent
activities both foreign and domestic, and of computerized printouts
of information obtained from documents, records, and other files in
the possession of the Criminal Division that indicate the scope,
details, and methods of operation of known or suspected fraudulent
activities. The system also consists of the documents, records, and
other files to which the printouts relate. Records concerning subject
matters described in this system may also be contained in CRM- 001.
Authority for maintenance of the system: This system is established
and maintained pursuant to 44 U.S.C. 3101, and is intended to assist
in implementing and enforcing the criminal laws of the United States,
codified in title 18, United States Code and elsewhere, particularly
the laws relating to offenses involving fraudulent activities. The
system is also maintained to implement the provisions codified in 28
CFR 0.55, particularly subsection (b).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: A record
maintained in this system of records may be disseminated as a routine
use of such record as follows: (1) In any case in which there is an
indication of a violation or potential violation of law, whether
civil, criminal, or regulatory in nature, the record in question may
be disseminated to the appropriate federal, state, local, or foreign
agency charged with the responsibility for investigating or
prosecuting such violation or charged with enforcing or implementing
such law; (2) in the course of investigating the potential or actual
violation of any law, whether civil, criminal, or regulatory in
nature, or during the course of a trial or hearing or the preparation
for a trial or hearing for such violation, a record may be
disseminated to a federal, state, local, or foreign agency, or to an
individual or organization, if there is reason to believe that such
agency, individual, or organization possesses information relating to
the investigation, trial, or hearing and the dissemination is
reasonably necessary to elicit such information or to obtain the
cooperation of a witness or an informant; (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 a federal, state, or local administrative or
regulatory proceeding or hearing in accordance with the procedures
governing such proceeding or hearing; (5) a record relating to a case
or matter may be disseminated to an actual or potential party or his
attorney for the purpose of negotiation or discussion on such matters
as settlement of the case or matter, plea bargaining, or informal
discovery proceedings; (6) 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; (7) a record relating to a person held in custody
pending or during arraignment, trial, sentence, or extradition
proceedings, or after conviction or after extradition proceedings,
may be disseminated to a federal, state, local, or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person; (8) a record relating to a case or matter may be
disseminated to a foreign country pursuant to an international treaty
or convention entered into and ratified by the United States or to an
executive agreement; (9) 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;
(10) a record may be disseminated to a federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; (11) a record may be disseminated to
the public, news media, trade associations, or organized groups, when
the purpose of the dissemination is educational or informational,
such as descriptions of crime trends or distinctive or unique modus
operandi, provided that the record does not contain any information
identifiable to a specific individual other than such modus operandi;
(12) 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 and/or returning a fugitive to a jurisdiction which
seeks his return.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: A record contained in this system is stored on lists,
index cards, and on computer printout paper. The documents, records,
and other files to which the printouts relate are stored in file
jackets in file cabinets.
Retrievability: A record is retrieved by name of the individual,
trade style used, or by source of the information of the preceding.
Safeguards: The computer center is maintained by the Office of
Management and Finance which has designed security procedures
consistent with the sensitivity of the data. Materials related to the
system maintained at locations other than the location of the
computer center are protected and safeguarded in accordance with
applicable Departmental rules.
Retention and disposal: Currently there are no provisions for
disposal of records contained in this system.
System manager(s) and address: Assistant Attorney General, Criminal
Division, U.S. Department of Justice, 10th Street and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure: Inquiries concerning the system should be
directed to the System Manager listed above.
Record access procedures: The major part of this system is exempted
from this requirement under 5 U.S.C. 552a (j)(2), (k)(1), or (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
exemption shall be made at the time a request for access is received.
A request for access to a record contained in this system shall be
made in writing, with the envelope and the letter clearly marked
`Privacy Access Request`. Include in the request the name of the
individual involved, his birth date and place, or any other
identifying number or information which may be of assistance in
locating the record, the name of the case or matter involved, if
known, and the name of the judicial district involved, if known. The
requestor will also provide a return address for transmitting the
information. Access requests will be directed to the system manager
listed above. Records in this system are exempt from the access
provisions of the Act in accordance with the applicable exemption
notice.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to the system manager listed above, stating clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Records in this system are exempt from the contesting provisions of
the Act in accordance with the applicable exemption notice.
Record source categories: Federal, state, local, or foreign
agencies, investigators, and prosecutors, private organizations,
quasi-governmental agencies, trade associations, private individuals,
publications, and the news media.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c)(3) and (4),
(d), (e)(1), (2), and (3), (e)(4)(G), (H) and (I), (e)(5) and (8),
(f) 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.
JUSTICE/CRM-007
System name: Name Card File on Criminal Division Personnel
Authorized to Have Access to the Central Criminal Division
Records.
System locations:
U.S. Department of Justice, Criminal Division, 10th Street and
Constitution Avenue, NW, Washington, DC 20530, or Federal Records
Center, Suitland, Maryland 20409.
Categories of individuals covered by the system:
Current personnel of the Criminal Division, generally attorneys.
Categories of records int he system:
The file contains the names of those attorneys and others
currently employed by the Criminal Division who are authorized to
have access to the central records of the Division.
Authority for maintenance of the system:
This system is established and maintained pursuant to 44 U.S.C.
3101. The system is also maintained to implement the provisions
codified in 28 CFR 0.55 and 0.61.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
There are no uses of the records in this system outside of the
Department of Justice.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA), and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is stored manually on index
cards.
Retrievability: A record is retrieved by name from the index cards.
Safeguards:
The records are safeguarded and protected in accordance with
applicable Departmental rules.
Retention and disposal:
A name card is destroyed upon notification that the individual is
no longer employed by the Criminal Division.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th Street and Constitution Avenue, NW, Washington, DC
20530.
Notification procedure: Same as the above.
Record access procedures:
A request for access to a record from this system shall be made
in writing, with the envelope and the letter clearly marked `Privacy
Access Request'. Include in the request the name of the individual
involved. The requestor will also provide a return address for
transmitting the information. Access requests will be directed to the
System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Personnel of the Criminal Division.
Systems exempted from certain provisions of the act:
None.
JUSTICE/CRM-008
System name: Name Card File on Department of Justice Personnel
Authorized to Have Access to Classified Files of the Department of
Justice.
System location:
U.S. Department of Justice, Criminal Division, 10th and
Constitution Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
Current personnel of the Department of Justice, generally
attorneys.
Categories of records in the system:
This index file contains the names of those attorneys and others
currently employed in the Department of Justice who are authorized to
have access to records of the Department of Justice classified in the
interest of national security with such designations as confidential,
secret, and top secret.
Authority for maintenance of the system:
This system is established pursuant to Executive Order No. 11652.
The system is also maintained to implement the provisions codified in
28 CFR 17.1 through 17.82.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
There are no uses of the records in this system outside of the
Department of Justice.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA), and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is stored manually on index
cards.
Retrievability:
A record is retrieved by name from the index cards.
Safeguards:
The index is contained in the vault maintained for classified
files of the Department of Justice.
Retention and disposal:
The names in the index are maintained and deleted in accordance
with Departmental regulations.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th Street and Constitution Avenue NW, Washington, DC
20530.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from this system shall be made
in writing, with the envelope and the letter clearly marked ``Privacy
Access Request''. Include in the request the name of the individual
involved. The requestor will also provide a return address for
transmitting the information. Access requests will be directed to the
System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Personnel of the Department of Justice.
Systems exempted from certain provisions of the act:
None.
JUSTICE/CRM-012
System name: Organized Crime and Racketeering Section, General
Index File and Associated Records.
System location:
U.S. Department of Justice, Criminal Division, Organized Crime
and Racketeering Section, 10th Street and Constitution Avenue NW,
Washington, DC 20530.
Categories of individuals covered by the system:
Persons who have been prosecuted or are under investigation for
potential or actual criminal prosecution as well as persons allegedly
involved in organized criminal activity and those alleged to be
associated with the subject.
Categories of records in the system:
The system consists of alphabetical indices bearing individual
names and the associated records to which they relate, arranged
either by subject matter or individual identifying number, of all
incoming correspondence, cases, matters, investigations, and
memoranda assigned, referred, or of interest, to the Organized Crime
and Racketeering Section. The records in this system concern matters
primarily involving organized crime and include, but are not limited
to, case files; investigative reports; intelligence reports; subpoena
and grand jury files; records of warrants and electronic
surveillances; records of indictment, prosecution, conviction,
parole, probation, or immunity; legal papers; evidence; exhibits;
items classified confidential, secret, and top secret; and various
other files related to the Sections activities and it ongoing
investigations, prosecutions, cases, and matters. Records concerning
subject matters described in this system may also be contained in
JUSTICE/CRM-001.
Authority for maintenance of the system:
This system is established and maintained pursuant to 44 U.S.C.
3101 and the Presidential Directive on the Federal Drive Against
Organized Crime, issued May 5, 1966 (Weekly Compilation of
Presidential Documents, Vol. 2, W. No. 18 (1966)). In addition, this
system is maintained to assist in implementing and enforcing the
criminal laws of the United States, particularly those codified in
title 18, United States Code. This system is also maintained to
implement the provisions codified in 28 CFR 0.55 particularly
subsection (g).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: (1) In any case in which
there is an indication of a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, the record in
question maybe disseminated to the appropriate federal, state, local,
or foreign agency charged with the responsibility for investigating
or prosecuting such violation or charged with enforcing or
implementing such law; (2) in the course of investigating the
potential or actual violation of any law, whether civil, criminal, or
regulatory in nature, or during the course of a trial or hearing or
the preparation for a trial or hearing for such violation, a record
may be disseminated to a federal, state, local, or foreign agency, or
to an individual, or organization, if there is reason to believe that
such agency, individual, or organization possesses information
relating to the investigation, trial, or hearing and the
dissemination is reasonably necessary to elicit such information or
to obtain the cooperation of a witness or an informant; (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 a federal, state, or local administrative or
regulatory proceeding or hearing in accordance with the procedures
governing such proceeding or hearing; (5) a record relating to a case
or matter may be disseminated to an actual or potential party or his
attorney for the purpose of negotiation or discussion on such matters
as settlement of the case or matter, plea bargaining, or informal
discovery proceedings; (6) 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; (7) a record relating to a person held in custody
pending or during arraignment, trial, sentence, or extradition
proceedings, or after conviction or after extradition proceedings,
may be disseminated to a federal, state, local, or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person; (8) a record relating to a case or matter may be
disseminated to a foreign country pursuant to an international treaty
or convention entered into and ratified by the United States or to an
executive agreement; (9) 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;
(10) a record may be disseminated to a federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; (11) a record may be disseminated to
the public, news media, trade association, or organized groups, when
the purpose of the dissemination is educational or informational,
such as descriptions of crime trends or distinctive or unique modus
operandi, provided that the record does not contain an information
identifiable to a specific individual other than such modus operandi;
(12) a record maybe 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 and/or returning a fugitive to a jurisdiction which
seeks his return; (13) a record that contains classified national
security information and material may be disseminated to persons who
are engaged in historical research projects, or who have previously
occupied policy making provisions to which they were appointed by the
President, in accordance with the provisions codified in 28 CFR
17.60.
Information may be released 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.
Information may be made available 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; and a record may be
released to the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Information relating to health care fraud may be disclosed to
private health plans, or associations of private health plans, and
health insurers, or associations of health insurers, for the
following purposes: to promote the coordination of efforts to
prevent, detect, investigate, and prosecute health care fraud; to
assist efforts by victims of health care fraud to obtain restitution;
to enable private health plans to participate in local, regional, and
national health care fraud task force activities; and to assist
tribunals having jurisdiction over claims against private health
plans.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records in this system are stored on various documents,
tapes, disc packs, and punch cards, some of which are contained in
files, on index cards, or in related type materials.
Retrievability:
The system is accessed by name but may be grouped for the
conveninence of the user by subject matter, e.g., parole file,
photograph file, etc.
Safeguards:
Materials related to the system are maintained in appropriately
restricted areas and are safeguarded and protected in accordance with
applicable Department rules.
Retention and disposal:
Currently there are no provisions for the disposal of the records
in the system.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th Street and Constitution Avenue NW, Washington, DC
20530.
Notification procedure:
Inquiry concerning the system should be addressed to the System
Manager listed above.
Record access procedures:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a(j)(2), (k)(1), or (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 exemption shall be made at
the time a request for access is received. A request for access to a
record contained in this system shall be made in writing, with the
envelope and the letter clearly marked ``Privacy Access Request''.
Include in the request the name of the individual involved, his birth
date and place, or any other identifying number or information which
may be of assistance in locating the record, the name and of the case
or matter involved, if known, and the name of the judicial district
involved, if known. The requestor will also provide a return address
for transmitting the information. Access requests will be directed to
the system manager listed above. Records in this system are exempt
from the access provisions of the Act in accordance with the
applicable exemption notice.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the system manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought. Records in this system are exempt from the
contesting provisions of the Act in accordance with the applicable
exemption notice.
Record source categories:
1. Federal, state, local, or foreign government agencies
concerned with the administration of criminal justice and non-law
enforcement agencies both public and private; 2. Members of the
public; 3. Government employees; 4. Published material; 5. Witnesses
and informants.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G), (H), and (I),
(e)(5), and (8), (f), 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.
JUSTICE/CRM-014
System name: Organized Crime and Racketeering Section,
Intelligence and Special Services Unit, Information Request
System.
System location: U.S. Department of Justice, Criminal Division,
10th Street and Constitution Avenue, NW, Washington, DC 20530. In
addition, some of the records contained in this system are located at
one or more of the Organized Crime and Racketeering Section Field
Offices listed in the appendix to the Criminal Division's systems of
records.
Categories of individuals covered by the system: Individuals making
inquiries of the Intelligence and Special Services Unit data sources,
Unit personnel processing those inquiries, Intelligence Analysts
assigned to the Strike Forces, and those individuals about whom such
inquiries are made.
Categories of records in the system: The information request record
system provides an audit trail of the Organized Crime and
Racketeering Section information system. Included in this system of
records is such information as the request from an agency and the
date of the request, the employee processing the request, the subject
of the request, and a brief summary of the results of the check.
Authority for maintenance of the system: This system is established
and maintained pursuant to 44 U.S.C. 3101. The system is also
maintained to implement the provisions codified in 28 CFR 0.55
particularly subsection (g).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: A record
maintained in this system of records may be disseminated as a routine
use of such record to a federal agency at its request if such agency
has a need for the record to perform its duties.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: A record contained in this system is stored on computer
tapes, paper, magnetic tape, and disc pack.
Retrievability: A record in this system is accessed by one or more
of the components of the information contained in the system
including accessing by the name of the individual.
Safeguards: The computer center is maintained by the Office of
Management and Finance which has designed security procedures
consistent with the sensitivity of the data. Materials related to the
system maintained at locations other than the location of the
computer are similarly protected by being maintained in a restricted
area at the Department of Justice.
Retention and disposal: Information in the system is constantly
modified as new information is received. Historical data is
maintained as an audit trail until sufficient experience with the
system is received to develop appropriate procedures for the
elimination and destruction of the data. Such procedures are
consistent with applicable governmental procedures.
System manager(s) and address: Assistant Attorney General, Criminal
Division, U.S. Department of Justice, 10th Street and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure: Inquiry concerning this system should be
directed to the System Manager listed above.
Record access procedures: The major part of this system is exempted
from this requirement under 5 U.S.C. 552a(j)(2), (k)(1), or (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
exemption shall be made at the time a request for access is received.
A request for access to a record contained in this system shall be
made in writing, with the envelope and the letter clearly marked
`Privacy Access Request`. Include in the request the name of the
individual involved, his birth date and place, or any other
identifying number or information which may be of assistance in
locating the record, the name of the case or matter involved, if
known, and the name of the judicial district involved, if known. The
requestor will also provide a return address for transmitting the
information. Access requests will be directed to the system manager
listed above. Records in this system are exempt from the access
provisions of the Act in accordance with the applicable exemption
notice.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to the system manager listed above, stating clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Record source categories: Individuals who make inquiry of the
Organized Crime and Racketeering Information System.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c)(3) and (4),
(d), (e)(4)(G), (H) and (I), (f) 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.
JUSTICE/CRM-016
System name: Records on Persons Who Have Outstanding and
Uncollected Federal Criminal Fines or Federal Bond Forfeitures.
System location:
U.S. Department of Justice, Criminal Division, Bond Building,
1400 New York Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons who have outstanding and uncollected federal criminal
fines or federal bond forfeitures whose address is presently unknown
or was at one time, unknown.
Categories of records in the system:
This system contains the names of persons, and correspondence
relating to such persons, who have federal criminal fines or federal
bond forfeitures outstanding and whose whereabouts are presently
unknown or were, at one time, unknown. The system is maintained to
gather information on the whereabouts of such persons and to assist
in federal collection efforts.
Authority for maintenance of the system:
This system is established and maintained pursuant to 44 U.S.C.
3101. This system is also maintained to implement the provisions
codified in 28 CFR 0.171(a).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be
disseminatated as a routine use of such record as follows: (A) In the
case of an individual whose whereabouts are unknown, to any
individual organization, or government agency for the purpose of
gathering information to locate such person; or (B) in the case of
any individual whose name is contained in the system whether or not
his whereabouts are known as follows: (1) In any case in which there
is an indication of a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, the record in
question may be disseminated to the appropriate federal, state,
local, or foreign agency charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing such law; (2) in the course of investigating the
potential or actual violation of any law, whether civil, criminal or
regulatory in nature, or during the course of a trial or hearing or
the preparation for a trial or hearing for such violation, a record
may be disseminated to a federal state, local, or foreign agency, or
to an individual or organization if there is reason to believe that
such agency, individual, or organization possesses information
relating to the investigation, trial, or hearing and the
dissemination is reasonably necessary to elicit such information or
to obtain the cooperation of a witness or an informant; (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 practices; (4) 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; (5) a record
relating to a case or matter may be disseminated to an actual or
potential party or his attorney for the purpose of negotiation or
discussion on such matters as settlement of the case or matter, plea
bargaining, or informal discovery proceedings; (6) a record may be
disseminated to a federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the reporting of an investigation of an
employee, the letting of a contract, or the issuance of a license,
grant, or other benefit by the requesting agency, to the extent that
the information relates to the requesting agency's decision on the
matter.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA), and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is stored manually in file
jackets.
Retrievability:
A record is retrieved by the name of the individual.
Safeguards:
Records are safeguarded and protected in accordance with
applicable Department rules.
Retention and disposal:
Currently there are no provisions for disposal of the records in
this system.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th Street and Constitution Avenue, NW, Washington, DC
20530.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from this sytem shall be made in
writing, with the envelope and the letter clearly marked `Privacy
Access Request.' Include in the request the name and address of the
individual involved, his address, his birth date and place, or other
identifying number of information which may be of assistance in
locating the record, the name of the case involved, if known, and the
name of the judicial district, if known. The requestor will also
provide a return address for transmitting the information. Access
requests will be directed to the System Manager listed above.
Contesting record procedures:
Individual desiring to contest or amend information maintained in
the system should direct their request to the System Manager listed
above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in this system are federal,
state, local, or foreign agencies, and private individuals and
organizations.
Systems exempted from certain provisions of the act:
None.
JUSTICE/CRM-017
System name: Registration and Propaganda Files Under the Foreign
Agents Registration Act of 1938, as amended.
System location:
U.S. Department of Justice, Criminal Division, Bond Building,
1400 New York Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons required to file under the Foreign Agents Registration
Act of 1938, as amended, (FARA), 22 U.S.C. 611 et seq.
Categories of records in the system:
(1) An automated alphabetical indices which includes summary data
such as registrant names, file numbers, dates of registration, and a
synopsis of activities performed for a given foreign principal; and
(2) file folders which contain copies of all registration statements
and statements concerning the distribution of political propaganda
furnished under FARA. Other records related to subject matters
described in this system will be maintained in the Central Criminal
Division Index File and Associated Records (JUSTICE/CRM-001) System.
Such other records may include related correspondence, inspection
and/or investigative reports, and/or statements of any agent of a
foreign principal whose activities have ceased to be of a character
which requires registration under FARA.
Authority for maintenance of the system:
This system is established and maintained pursuant to 22 U.S.C.
611 et seq. The system is also maintained to implement the provisions
of 28 CFR 5.1 through 5.801.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
As prescribed by 22 U.S.C. 616 (a), (b), and (c), records may be
disclosed as follows:
These records are public records and are open to public
examination and inspection and copies of the same shall be furnished
to every applicant at fees prescribed by 28 CFR 5.601. The
registration statement and other statements of any agent of a foreign
principal whose activities have ceased to be of a character which
requires registration under the provisions of FARA may be withdrawn
from public examination. Any records withdrawn will be incorporated
into the Central Criminal Division Index File and Associated Records
(JUSTICE/CRM-001) System.
One copy of every registration statement filed under FARA and one
copy of every amendment or supplement thereto, and one copy of every
item of poilitical propaganda filed under FARA shall be forwarded to
the Secretary of State for such comment and use as the Secretary of
State may determine to be appropriate from the point of view of the
foreign relations of the United States.
Information obtained under FARA, including the names of
registrants, copies of registration statements, or parts thereof,
copies of political propaganda, or other documents or information
filed under FARA, may be furnished to departments and agencies in the
executive branch and committees of the Congress.
In addition, records may be disclosed to (1) a Member of Congress
or a staff person acting upon the Member's behalf (a) as a public
record or (b) when the Member or staff person requests the
information on behalf of and at the request of the individual who is
the subject of the record, and, (2) the National Archives and Records
Administration and the General Services Administration in records
management inspections conducted under the authority of 44 U.S.C.
2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records contained in this system are stored manually on
index cards and in file jackets; selected summary data, e.g., name
and address of registrant, name of foreign principal, description of
activities, amount of money received, and promotional material
disseminated, are stored on magnetic disks.
Retrievability:
Paper records and summary data are retrieved by name of
registrant.
Safeguards:
These records have been designated as public records by 22 U.S.C.
616. However, to protect the integrity of the records, the file
jackets are obtained for applicants by Registration Unit personnel
who are present in the public office during duty hours, and the room
is locked during non-duty hours.
Retention and disposal:
Destroyed ten years after close of case (National Archives and
Records Administration Job No. NC1-60-78-1 pending).
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th Street and Constitution Avenue, NW, Washington, DC
20530.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from this system shall be made
pursuant to the provisions of 28 CFR 5.600 and 5.601.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought
Record source categories:
The source of information contained in this system is the
registrant.
Systems exempted from certain provisions of the act:
None.
JUSTICE/CRM-018
System name: Registration Files of Individuals Who Have
Knowledge of, or Have Received Instruction or Assignment in,
Espionage, Counterespionage, or Sabotage Service or Tactics of a
Foreign Government or of a Foreign Political Party.
System location:
U.S. Department of Justice, Criminal Division, Bond Building,
1400 New York Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons who have knowledge of, or who have received instruction
or assignment in, espionage, counterespionage, or sabotage service or
tactics of a foreign government or of a foreign political party.
Categories of records in the system:
The system contains the statement of the registrant and other
documents required to be filed under 50 U.S.C. 851. The system is a
public record except that certain statements may be withdrawn from
public examination pursuant to 50 U.S.C. 853 and 28 CFR 12.40 by the
Attorney General having due regard for national security and the
public interest. Records concerning subject matters described in this
system may also be contained in JUSTICE/CRM-001.
Authority for maintenance of the system:
This system is established and maintained pursuant to 50 U.S.C.
851 et seq. The system is also maintained to implement the provisions
codified in 28 CFR 12.1 through 12.70.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: (A) In the case of a
record not withdrawn by the Attorney General from public examination,
to any individual, organization, or government agency; or (B) in the
case of a record withdrawn by the Attorney General from public
examination as follows: (1) In any case in which there is an
indication of a violation or potential violation of law, whether
civil, or criminal or regulatory in nature, the registration record
in question may be disseminated to the appropriate federal, state,
local, or foreign agency charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing such law; (2) in the course of investigating the
potential or actual violation of any law, whether civil, criminal, or
regulatory in nature, or during the course of a trial or hearing or
the preparation for a trial or hearing for such violation, a
registration record may be disseminated to a federal, state, local,
or foreign agency, or to an individual or organization, if there is
reason to believe that such agency, individual, or organization
possesses information relating to the investigation, trial, or
hearing and the dissemination is reasonably necessary to elicit such
information or to obtain the cooperation of a witness or an
informant; (3) a record relating to a registration 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 registration 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;
(5) a record relating to a registration may be disseminated to an
actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings; (6) a
record relating to a registration that has been referred by an agency
for investigation may be disseminated to the referring agency to
notify such agency of the status of the registration 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
matter; (7) a registration record relating to a person held in
custody pending or during arraignment, trial, sentence, or
extradition proceedings, or after conviction or after extradition
proceedings may be disseminated to a federal, state, local, or
foreign prison, probation, parole, or pardon authority, or to any
other agency or individual concerned with the maintenance,
transportation, or release of such person; (8) a record relating to a
registration may be disseminated to a foreign country pursuant to an
international treaty or convention entered into and ratified by the
United States or to an executive agreement; (9) a registration record
may be disseminated to a federal, state, local or foreign 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; (10) a registration record may be disseminated
to a federal agency, in response to its request, in connection with
the hiring or retention of an employee, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit by the requesting agency, to the extent that the information
relates to the requesting agency's decisions on the matter; (11) a
registration record that contains classified national security
information and material may be disseminated to persons who are
engaged in historical research projects, or who have previously
occupied policy making provisions to which they were appointed by the
President, in accordance with the provisions codified in 28 CFR
17.60.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA), and the General Services Administration (GSA):
A record from a system of records may be disclosed as a routine use
to NARA and GSA in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is stored manually on index
cards and in file jackets.
Retrievability:
A record is retrieved by name of the individual registrant.
Safeguards:
Records are safeguarded and protected in accordance with
applicable Departmental files.
Retention and disposal:
Currently there are no provisions for disposal of the records in
this system.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th Street and Constitution Avenue, NW, Washington, DC
20530.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from this system shall be made
pursuant to the provisions of 28 CFR 12.40 and 12.41.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
The source of information contained in this system is the
registrant.
Systems exempted from certain provisions of the act:
None.
JUSTICE/CRM-019
System name: Requests to the Attorney General For Approval of
Applications to Federal Judges For Electronic Interceptions.
System location:
U.S. Department of Justice, Criminal Division, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Individuals who have been the subject of requests by federal
investigative agencies for electronic surveillance.
Categories of records in the system:
The system contains requests received from federal investigative
agencies and federal prosecutors, and associated documents, seeking
the authorization of the Attorney General required by 18 U.S.C. 2516
for an application to a federal court for an order authorizing the
interception of a wire or oral communication in cases involving
federal criminal violations. Records concerning subject matters
described in this system may also be contained in JUSTICE/CRM--001.
Authority for maintenance of the system:
This system is established and maintained pursuant to 44 U.S.C.
3101. The system is also maintained to implement the provisions of 18
U.S.C. 2516 and 18 U.S.C. 2519.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: 1. In an appropriate
federal, state, or local court or grand jury proceeding in accordance
with established constitutional, substantive, or procedural law or
practice; 2. to the requesting agency to notify such agency of the
status of the case or matter or of any decision or determination that
has been made; 3. to furnish such information for reports to the
Administrative Office of the United States Courts as is necessary to
comply with the reporting provisions of 18 U.S.C. 2519; 4. to a party
pursuant to 18 U.S.C. 2518 (8)(d), (9), and (10) and 18 U.S.C. 3504.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA), and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is stored manually in file
jackets.
Retrievability:
A record is retrieved by the name of the individual who appears
first on the application or affidavit that is first received.
Safeguards:
The records are safeguarded and protected in accordance with
applicable Departmental rules.
Retention and disposal:
Currently there are no provisions for disposal of the records in
this system.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Inquiry concerning this system should be directed to the System
Manager listed above.
Record access procedures:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a (j)(2), (k)(1), or (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 exemption shall be made at
the time a request for access is received. A request for access to a
record contained in this system shall be made in writing, with the
envelope and the letter clearly marked ``Privacy Access Request''.
Include in the request the name of the individual involved, his birth
date and place, or any other identifying number or information which
may be of assistance in locating the record, the name of the case or
matter involved, if known, and the name of the judicial district
involved, if known. The requestor will also provide a return address
for transmitting the information. Access requests will be directed to
the system manager listed above. Records in this system are exempt
from the access provisions of the Act in accordance with the
applicable exemption notice.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the system manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought. Records in this system are exempt from the
contesting provisions of the Act in accordance with the applicable
exemption notice.
Record source categories:
Sources of information contained in this system are federal
investigative agencies, federal prosecutors, and personnel of the
Criminal Division, Department of Justice.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (2) and (3), (e)(4) (G), (H) and (I),
(e)(8), (f), 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.
JUSTICE/CRM-021
System name: The Stocks and Bonds Intelligence Control Card File
System.
System location:
U.S. Department of Justice, Criminal Division, Bond Building,
1400 New York Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Individuals, and their known associates, who are actual,
potential, or alleged violators, of statutes dealing with stocks,
bonds, and other securities.
Categories of records in the system:
This system is an alphabetical listing of all individuals, and
their associates, who are actual, potential, or alleged violators of
the statutes dealing with counterfeiting, forging, and theft of
stocks, bonds, and other securities including those who traffic, or
are suspected of trafficking, in such stocks, bonds, or other
securities. Records concerning subject matters described in this
system may also be contained in JUSTICE/CRM-001.
Authority for maintenance of the system:
This system is established and maintained pursuant to 44 U.S.C.
3101, and is intended to assist in implementing and enforcing the
criminal laws of the United States codified in title 18, United
States Code and elsewhere, particularly the laws relating to offenses
involving stocks and bonds. The system is also maintained to
implement the provisions codified in 28 CFR 0.55.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: (1) In any case in which
there is an indication of a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, the record in
question may be disseminated to the appropriate federal, state,
local, or foreign agency charged with the responsibility for
investigating or prosecuting such violation or charged with enforcing
or implementing such law; (2) in the course of investigating the
potential or actual violation of any law, whether civil, criminal, or
regulatory in nature, or during the course of a trial or hearing or
the preparation for a trial or hearing for such violation, a record
may be disseminated to a federal, state, local, or foreign agency, or
to an individual or organization, if there is reason to believe that
such agency, individual, or organization possesses information
relating to the investigation, trial, or hearing and the
dissemination is reasonably necessary to elicit such information or
to obtain the cooperation of a witness or an informant; (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 a federal, state, or local administrative or
regulatory proceeding or hearing in accordance with the procedures
governing such proceeding or hearing; (5) a record relating to a case
or matter may be disseminated to an actual or potential party or his
attorney for the purpose of negotiation or discussion on such matters
as settlement of the case or matter, plea bargaining, or informal
discovery proceedings; (6) 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; (7) a record relating to a person held in custody
pending or during arraignment, trial, sentence, or extradition
proceedings, or after conviction or after extradition proceedings,
may be disseminated to a federal, state, local, or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person; (8) a record relating to a case or matter may be
disseminated to a foreign country pursuant to an international treaty
or convention entered into and ratified by the United States or to an
executive agreement; (9) 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;
(10) a record may be disseminated to a federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance f a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; (11) a record may be disseminated to
the public, news media, trade associations, or organized groups, when
the purpose of the dissemination is educational or informational,
such as descriptions of crime trends or distinctive or unique modus
operandi, provided that the record does not contain any information
identifiable to a specific individual other than such modus operandi.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA), and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is stored manually on index
cards.
Retrievability:
A record is retrieved by the name of the individual.
Safeguards:
Records are safeguarded and protected in accordance with
applicable Departmental rules.
Retention and disposal:
Currently there are no provisions for disposal of the records in
this system.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th Street and Constitution Avenue, NW, Washington, DC
20530.
Notification procedure:
Inquiry concerning the system should be directed to the System
Manager listed above.
Record access procedures:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a (j)(2), (k)(1), or (k)(2). To the extend that
this system of records is not subject to exemption, it is subject to
access and contest. A determination as to exemption shall be made at
the time a request for access is received. A request for access to a
record contained in this system shall be made in writing, with the
envelope and the letter clearly marked ``Privacy Access Request.''
Include in the request the name of the individual involved, his birth
date and place, or any other identifying number or information which
may be of assistance in locating the record, the name of the case or
matter involved, if known, and the name of the judicial district
involved, if known. The requester will also provide a return address
for transmitting the information. Access requests will be directed to
the system manager listed above. Records in this system are exempt
from the access provisions of the Act in accordance with the
applicable exemption notice.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the system manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought. Records in this system are exempt from the
contesting provisions of the Act in accordance with the applicable
exemption notice.
Record source categories:
Sources of information contained in this system are federal,
state, local, and foreign government agencies and prosecutors,
private organizations and individuals, and personnel of the
Department of Justice.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G), (H) and (I),
(e)(5) and (8), (f), 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.
JUSTICE/CRM-022
System name: Witness Immunity Records.
System location:
U.S. Department of Justice, Criminal Division, 10th Street and
Constitution Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
Potential or actual witnesses for whom immunity (pursuant to 18
U.S.C. 6001-6005) is proposed.
Categories of records in the system:
The system contains background information on the individual and
the case of matter in which he is expected to testify in a processing
before or ancillary to a court or grand jury of the United States or
an agency of the United States. The information maintained in the
system is entered from DOJ Form-LAA-111, ``Request for Immunity
Authorization'', which is completed by the United States Attorneys,
or from other formal requests for immunity from Federal agencies. The
system also contains a record of action taken by the Criminal
Division on the request.
Authority for maintenance of the system:
This system is established and maintain pursuant to 44 U.S.C.
3101. The system is also maintained to implement the provisions of 18
U.S.C. 6001-6005 and 18 U.S.C. 2514.
Purpose(s):
The system is essential to the Division's efforts in granting
immunity requests as stated in 18 U.S.C. 6001-6005. Requests for
immunity may be made by a United States Attorney or a Federal agency.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) A record may be disseminated to a federal, state, local, or
foreign law enforcement agency to alert such agency to the proposed
immunity or, to the extent necessary for identification purposes, to
elicit information concerning the potential or actual witness which
may be necessary to an evaluation of the proposed immunity; (2) a
record relating to a proposed immunity that has been referred to the
Department of Justice for approval, may be disseminated to the
referring agency to notify such agency of the status of the referral
or of any decision or determination that has been made.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper documents are stored in file folders in locked cabinets;
selected summary data are stored on magnetic disks and on manual
index cards which are also kept in locked cabinets.
Retrievability:
Summary data, e.g., names, request numbers, dates of receipt and
completion are retrieved from manual index cards for requests
received prior to June 1986; for June 1986 and subsequent years,
summary data are retrieved from magnetic disks. File folders are
accessed through the manual or automated indexes.
Safeguards:
The records are safeguarded and protected in accordance with
applicable Departmental rules. Security for the automated records
include strictly controlled access codes and passwords. Only
authorized Criminal Division employees will have access to the
system.
Retention and disposal:
Dispose 10 years after close of request.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th Street and Constitution Avenue NW, Washington, DC
20530.
Notification procedure:
The major part of this system is exempted from this requirement
pursuant to 5 U.S.C. 552a (j)(2) or (k)(2). Inquiry concerning this
system should be directed to the System Manager listed above.
Record access procedures:
The major part of this system is exempted from this requirement
pursuant to 5 U.S.C. 552a (j)(2) or (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 exemption shall be made at
the time a request for access is received. A request for access to a
record from this system shall be made in writing, with the envelope
and the letter clearly marked ``Privacy Access Request''. Include in
the request the name of the individual involved, his birth date and
place, or other identifying number of information which may be of
assistance in locating the record, the name of the case or matter
involved, if known, and the name of the judicial district involved,
if known. The requester will also provide a return address for
transmitting the information. Access requests will be directed to the
System Manager listed above.
Contesting record procedures:
Individuals desiring the contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
1. Federal government prosecutors; 2. Federal agencies; 3.
Department of Justice attorneys and personnel.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (2), (3) and (e)(4) (G), (H) and (I),
(e)(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a
(j)(2) and (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.
JUSTICE/CRM-023
System name: Weekly Statistical Report.
System location: U.S. Department of Justice, Criminal Division,
10th & Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system: Past or present
attorneys and paralegals of the Criminal Division.
Categories of records in the system: The system consists of weekly
statistical reports submitted by each attorney and paralegal of the
Criminal Division detailing the time expended on case or matter
oriented activities and on noncase and nonmatter oriented activities.
The system also includes periodic computer printout summaries.
Authority for maintenance of the system: This system is
established and maintained pursuant to 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Statistical
compilations arranged by Section and by Division are submitted to the
Congress and the Office of Management and Budget in connection with
annual appropriations. There are no other uses of the records in this
system outside of the Department of Justice.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Original Weekly Statistical Reports are retained and the
information contained thereon is also stored at the Department's
computer center. Summaries are also retained on computer printout
paper. Records not at the computer center are stored in file cabinets
in the Criminal Division.
Retrievability: The record is retrieved by date, section, unit,
and name of attorney or paralegal.
Safeguards: The computer center is maintained by the Office of
Management and Finance which has designated security procedures
consistent with the sensitivity of the data. Materials related to the
system maintained at locations other than the location of the
computer center are protected and safeguarded in accordance with
applicable Departmental rules.
Retention and disposal: Information as to individuals is destroyed
at the computer center annually. Original weekly reports are
destroyed approximately every two years. Statistical data and
compilations are maintained indefinitely.
System manager(s) and address: Assistant Attorney General,
Criminal Division, U.S. Department of Justice, 10th & Constitution
Avenues, NW, Washington, DC 20530.
Notification procedure: Same as above.
Record access procedures: A request for access to a record from
this system shall be made in writing with the envelope and the letter
clearly marked `Privacy Access Request.` Include in the request the
name of the past or present attorney or paralegal employed by the
Criminal Division. The requestor shall also provide a return address
for transmitting the information. Access requests will be directed to
the System Manager listed above.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to the System Manager listed above, stating clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Record source categories: Attorneys and paralegals of the Criminal
Division.
Systems exempted from certain provisions of the act: None.
JUSTICE/CRM-025
System name: Tax Disclosure Index File and Associated Records.
System location:
U.S. Department of Justice, Criminal Division, Bond Building,
1400 New York Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
Taxpayers about whom the Criminal Division has requested and/or
obtained disclosure of tax material from the Internal Revenue Service
pursuant to 26 U.S.C. 6103.
Categories of records in the system:
The system contains all requests for tax material, any such
material provided by the Internal Revenue Service or duplicated or
extracted by the Criminal Division from such material, and related
records necessary to the application for and/or safeguarding of such
material received on or after January 1, 1977.
Authority for maintenance of the system:
This system is established and maintained pursuant to 26 U.S.C.
6103(p)(4).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record (A) to any officer or employee of the
Criminal Division who is personally and directly engaged in
preparation for any proceeding (or investigation which may result in
such proceeding) pertaining to the enforcement of a specifically
designated Federal criminal statute not involving tax administration
or to the enforcement of a Federal criminal statute in any matter
involving tax administration; and (B) to any person outside of the
Criminal Division where such dissemination is or reasonably appears
to be in furtherance of proper preparation for any proceeding (or
investigation which may result in such proceeding) pertaining to the
enforcement of a specifically designated Federal criminal statute not
involving tax administration or to the enforcement of a Federal
criminal statute in any manner involving tax administration. Such
dissemination shall be permitted to the extent authorized under 26
U.S.C. 6103(h), 26 U.S.C. 6103(i), 26 CFR 404.6103(h)(2)-1, 26 CFR
404.6103(i)-(l), and Rule 6(e), FR Crim. P. The above mentioned
routine uses include the following:
(1) Dissemination to an attorney of the Criminal Division
assigned responsibility with respect to an above-mentioned proceeding
or an investigation which may result in such proceeding;
(2) Dissemination to an officer or employee of the Department of
Justice with supervisory or clerical responsibility with respect to
an above-mentioned proceeding, or an investigation which may result
in such proceeding;
(3) Dissemination to an officer or employee of another Federal
agency (as defined at 5 U.S.C. 551(l)) with investigative,
supervisory, or clerical responsibility working under the direction
and control of such attorneys of the Department of Justice as are
assigned responsibility with respect to an above-mentioned
proceeding, or an investigation which may result in such proceeding;
(4) Dissemination to a taxpayer to whom such record relates, or
to such taxpayer's legal representative, to properly interview,
consult, depose, or interrogate or otherwise obtain information
relevant to an above-mentioned proceeding, or an investigation which
may result in such proceeding, from such taxpayer or his legal
representative;
(5) Dissemination during the course of an investigation which may
result in an above-mentioned proceeding to any witness who may be
called on to give evidence in such a proceeding to properly
interview, consult, depose, or interrogate or otherwise obtain
relevant information from such potential witness;
(6) Dissemination to any person having special knowledge or
technical skills (such as handwriting analysis, photographic
development, sound recording enhancement, or voice identification) to
properly obtain the services of such person in an above-mentioned
proceeding, or an investigation which may result in such proceeding;
(7) Dissemination to an officer or employee of the Department of
Justice, another Federal agency (as defined at 5 U.S.C. 551(l)), or a
foreign government to properly utilize international contacts and
judicial assistance in an above-mentioned proceeding, or an
investigation which may result in such proceeding;
(8) Dissemination to an officer or employee of the Internal
Revenue Service to obtain additional disclosure pursuant to 26 U.S.C.
6103 in an above-mentioned proceeding, or an investigation which may
result in such proceeding;
(9) Dissemination to a Federal grand jury;
(10) Dissemination to an officer or employee of the Department of
Justice to obtain a court order to compel testimony pursuant to 18
U.S.C. 6002 and 6003 in any above-mentioned proceeding, or an
investigation which may result in such proceeding;
(11) Dissemination to any party to an above-mentioned proceeding,
to properly conduct negotiations concerning, or obtain authorization
for, disposition of the proceeding, in whole or in part, or to obtain
stipulations of fact in connection with the proceeding;
(12) Dissemination to a judicial or administrative body (such as
the United States Parole Commission) in an above-mentioned proceeding
or in preparation therefore, or in any post-conviction proceeding
resulting from an above-mentioned proceeding;
(13) Dissemination to a court reporter in an above-mentioned
proceeding, or as required, in preparation therefor.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A record contained in this system is stored manually on index
cards and in file jackets.
Retrievability:
A record is retrieved by name of the taxpayer in indices
maintained in individual sections of the Criminal Division.
Safeguards:
Records are safeguarded in accordance with Department of Justice
rules and procedures. Buildings in which records are located are
under security guard, and access to premises is by official
identification. Records are stored in spaces which are locked outside
of normal office hours and in safe type filing cabinets which are
locked when not being accessed. Access to such cabinets is limited to
Division personnel whose duties and responsibilities require such
access and to whom access may be permitted. A record of access is
kept which indicates the name of each person who gains access to
material from the secured area and the date and time of each access.
Retention and disposal:
Records not retained are returned to the Internal Revenue Service
or rendered undisclosable in accordance with 26 U.S.C.
6103(p)(4)(f)(ii). Currently there are no provisions for disposal of
records contained in this system that are not returned to the
Internal Revenue Service or are otherwise rendered undisclosable.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th Street and Constitution Avenue, NW, Washington, DC
20530.
Notification procedure:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a(j)(2). Inquiry concerning the system should be
addressed to the system manager listed above.
Record access procedures:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a(j)(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 exemption shall be made at the time a request for
access is received. A request for access to a record contained in
this system shall be made in writing, with the envelope and the
letter clearly marked `Privacy Access Request.' Include in the
request the name of the individual involved, his birth date and place
or any other identifying number or information which may be of
assistance in locating the record, the name of the case or matter
involved, if known, and the name of the judicial district involved,
if known. The requestor will also provide a return address for
transmitting the information. Access requests will be directed to the
system manager listed above. Records in this system are exempt from
the access provisions of the Act in accordance with the applicable
exemption notice.
Contesting record procedures:
Taxpayers desiring to contest or amend information maintained in
the system should direct their request to the system manager listed
above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought. Records in this system are exempt from the
contesting provisions of the Act in accordance with the applicable
exemption notice.
Record source categories:
Sources of information contained in this system are the Internal
Revenue Service, Federal investigative agencies, Federal prosecutors,
and personnel of the Criminal Division, Department of Justice.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (1), (2) and (3), (e)(4)(G), and (H) and
(I), (e) (5) and (8), (f), 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.
JUSTICE/CRM-026
System name: Index of Prisoners Transferred Under Prisoner
Transfer Treaties.
System location:
U.S. Department of Justice, Criminal Division, Bond Building,
1400 New York Avenue, NW, 10th and Constitution Ave., NW, Washington,
DC 20530.
Categories of individuals covered by the system:
Prisoners transferred to or from prisons in the United States
under prisoner transfer treaties with other countries.
Categories of records in the system:
The system consists of alphabetical indicies bearing individual
names of prisoners involved in transfers and the tape recordings and
occasional verbatim transcripts of consent verification hearings held
pursuant to 18 U.S.C. 4107 and 4108, as well as copies of consent
verification forms.
Authority for maintenance of the system:
The system is maintained to implement the provisions of 18 U.S.C.
4107(e) and 4108(e). The records maintained in the system are used in
conjunction with litigation relating to transfer of prisoners under
prisoner transfer treaties.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The file is used by personnel of the Office of International
Affairs of the Criminal Division to confirm the status of
verification consent proceedings and to provide a readily retrievable
record in the event of litigation on the issue of consent to the
transfer. In addition, a record may be disseminated to the court, to
court personnel, and to parties and their counsel in any litigation
brought on the issue of proper consent to a prisoner transfer; to a
state, local or foreign government, at its request, when the record
relates to one of its past or present prisoners who have been the
subject of a consent verification hearing; and, to any foreign
government that is a party to an applicable treaty in a scheduled
report that is required by the treaty.
Release of information to the news media and the public:
Information permitted to be released to the news media and the public
pursuant to 28 CFR 50.2 may be made available from systems of records
maintained by the Department of Justice 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.
Release of information to Members of Congress: Information
contained in the system not otherwise required to be released
pursuant to 5 U.S.C. 552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record of the system of records may be disclosed to NARA and
GSA National Archives and Records Administration (NARA) for records
management inspections conducted under the authority of 44 U.S.C.
2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Verification consent forms and tape records are stored in file
drawer safes.
Retrievability:
A record is retrieved from index cards by the name of the
individual and from the file jackets by location and date of the
verification consent hearings which appear on the index cards.
Safeguards:
The records are stored in file drawer safes. Access to them is
limited to personnel of the Office of International Affairs, Criminal
Division, United States Department of Justice. The office in which
the records are contained is securely locked at night and on
weekends.
Retention and disposal:
Currently it is planned to maintain records for 10 years in file
safes referred to above and then transfer them to the Federal Records
Center for retention.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Inquiry concerning this system should be in writing and made to
the system manager listed above.
Record access procedures:
A request for access to a record contained in this system shall
be made in writing to the system manager, with the envelope and
letter clearly marked ``Privacy Act Request''. The request shall
include the name of the individual involved, his birth date and
place, or any other identifying number or information which may be of
assistance in locating the record, and the name of the case or matter
involved, if known. The requester shall also provide a return address
for transmitting the information.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the system manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information.
Record source categories:
Court records and prisoner statements.
Systems exempted from certain provisions of the act:
None.
JUSTICE/CRM-027
System name: Office of Special Investigations (OSI) Displaced
Persons Listings.
System location:
U.S. Department of Justice, Criminal Division, Bond Building,
1400 New York Avenue, NW, Washington, DC 20530, and Federal Records
Center, Suitland, Maryland 20409.
Categories of individuals covered by the system:
Individuals who applied for entry visas into the United States
under the Displaced Persons Acts in force from 1948 to 1952 and for
whom the United States Army Counterintelligence Corps assembled visa
investigation files.
Categories of records in the system:
The system consists of alphabetical indexes bearing the names of
persons who applied for entry visas under the Displaced Persons Acts,
their visa applications, investigative reports and any other
supporting documents.
Authority for maintenance of the system:
This system is established and maintained pursuant to 44 U.S.C.
3101 and is intended to assist in implementing and enforcing the
criminal laws of the United States, particularly those Criminal
Statutes codified in ``Criminal Laws,'' United States Code. The
system is also maintained to implement the provisions codified in 28
CFR 0.55 and 0.61.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used by OSI personnel as source material to
locate potential witnesses who might be able to provide information
of investigative interest. However, a record maintained in this sytem
of records may be disseminated as a routine use of such record as
follows: (1) Records, or some part thereof, relating to a particular
visa applicant, may become a part of an investigative record
maintained in a published system of records entitled ``Central
Criminal Division Index File and Associated Records, JUSTICE/CRM-
001'' and be subject to the routine uses of that system; (2) a record
relating to a case or matter may be disseminated to a foreign country
pursuant to an international treaty or convention entered into and
ratified by the United States or to an executive agreement; (3) a
record may be disseminated to a Federal, State, local, foreign, or
international enforcement agency to assist in the general crime
prevention and detection efforts of the recipient agency or to
provide investigative leads to such agency; and (4) 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 and/or returning a fugitive to a jurisdiction which
seeks his return.
Release of information to the news media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Index records in this system will be stored by name and control
number on an IBM System/38. The actual records are papers in files
stored in file boxes on shelves in locked record storage rooms.
Retrievability:
Records stored in this system can be retrieved by the name of the
individual, and by the control number of the record.
Safeguards:
Appropriate steps have been taken to preserve security and
minimize the risk of unauthorized access to the system. Staff members
who use the computer to input data or who have access to the stored
data have been given specific identification codes or passwords by
the system security officer which will restrict access to specific
data. The files will be kept in a locked room with restricted access.
Retention and disposal:
Currently there are no provisions for the disposal of records in
the system.
System manager(s) and address:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Inquire in writing to the system manager listed above.
Record access procedures:
Portions of this system are exempt from disclosure and contest by
5 U.S.C. 552a(k)(2). Make all requests for access to those portions
not so exempted by writing to the system manager identified above.
Clearly mark the envelope and letter ``Privacy Access Requests;''
provide the full name and notarized signature of the individual who
is the subject of the record, his/her date and place of birth, or any
other identifying number or information which may assist in locating
the record; and, a return address.
Contesting record procedures:
Direct all requests to contest or amend information maintained in
the system to the system manager listed above. State clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment to the information.
Record source categories:
The information in this system was originally compiled during the
course of investigations undertaken by the United States Army Counter
Intelligence Corps pursuant to the Displaced Persons Acts in effect
from 1948 to 1952. For the most part, the information in this system
was obtained directly from the visa applicant himself, but the
records would also contain information from other individuals or
entities which would have shed light on the information supplied by
the visa applicant.
Systems exempted from certain provisions of the act:
The Attorney General has exempted certain categories of records
in this system from subsection (d) of the Privacy Act 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.
DEPARTMENT OF JUSTICE
Community Relations Service
JUSTICE/CRS-001
System name: Operational Data Information System.
System location: Community Relations Service, U.S. Department of
Justice, 550 11th Street NW, Washington, DC 20530.
Categories of individuals covered by the system: Conciliators and
Mediators of the Community Relations Service of the U.S. Department
of Justice.
Categories of records in the system: The file contains the names
of CRS employees, their case assignments, and the time allocated to
each assignment. In addition, information reflecting the current
status and handling of the case is included within the system.
Authority for maintenance of the system: The file is established
to effect the purposes of 42 U.S.C. 2000g-1, 2000g-3 (1970).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The file is used
by CRS personnel as a basis for preparing daily, weekly, and monthly
activity reports for internal management. It is also used by the
Administrative Office to prepare time efficiency analyses on CRS
personnel. In addition, the file will be consulted in order to
prepare budget requests and reports to the Associate Attorney
General, the Attorney General, and to Congress.
Release of Information to the News Media and the Public:
Information from the system of records may be made available to the
news media and the public, unless such release would violate 42
U.S.C. 2000g-2, or would constitute an unwarranted invasion of
personal privacy.
Release of Information to Members of Congress: Information
contained in the system, not otherwise required to be released
pursuant to 5 U.S.C. 552, may be made available 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 unless such release
would violate 42 U.S.C. 2000g-2.
Release of Information to the National Archives and Records
Administration: A record from the system of records may be disclosed
to the National Archives and Records Administration (NARA) for
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906, unless such disclosure would violate 42 U.S.C.
2000g-2.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Automated records are maintained on magnetic disk at the
Department of Justice Data Management Service.
Retrievability: Information is retrieved by a variety of key words
including, but not limited to, the name of the employee, geographic
location, and subject matter of the record.
Safeguards: Information maintained in the system is safeguarded
and protected in accordance with Department rules and procedures
governing the handling of computerized information. Only individuals
specifically authorized by the Director of CRS will have access to
the computer through a single terminal located in an office occupied
during the day and locked at night. Access to the information in the
system will be limited to those CRS employees whose official duties
require such information.
Retention and disposal: Records classified by the subject's name
are retained until 60 days after the record subject leaves the
employment of the Community Relations Service and are then deleted
from the system.
System manager(s) and address: Deputy Director, Community
Relations Service, U.S. Department of Justice, Todd Building, 550
11th Street NW, Washington, DC 20530.
Notification procedure: Address inquiries to Office of Chief
Counsel, Community Relations Service, U.S. Department of Justice, 550
11th Street NW, Washington, DC 20530.
Record access procedures: In all cases, requests for access to a
record shall be in writing, by mail or in person. If request for
access is made by mail, the envelope and letter shall be clearly
marked ``Privacy Act Request.'' The requester shall include a
description of the record requested and, if known, the case file
number(s). To identify a record relating to an individual, the
requester must provide the individual's full name, date and place of
birth, employee identification number, and date of employment and
duty assignment station(s) while employed by the Community Relations
Service.
Contesting record procedures: Any individual desiring to contest
or amend information maintained in the system should direct his or
her request to the Deputy Director, Community Relations Service, U.S.
Department of Justice, Todd Building, 550 11th Street NW, Washington,
DC 20530. The request should state clearly what information is being
contested, the reason for contesting, and the proposed amendment to
the information.
Record source categories: The records are prepared by the
conciliator/mediator or, in exceptional cases, by his or her
supervisor.
Systems exempted from certain provisions of the act: None.
DEPARTMENT OF JUSTICE
Drug Enforcement Administration
JUSTICE/DEA-001
System name: Air Intelligence Program.
System location:
Drug Enforcement Administration, 1405 Eye Street, NW, Washington,
DC 20537. Also, field offices. See Appendix 1 for list of addresses.
Categories of individuals covered by the system:
(A) Aircraft Owners; (B) Licensed Pilots.
Categories of records in the system:
(A) FAA Civil Aircraft Registry; (B) FAA Aircraft Owners
Registry; (C) FAA Airman Directory; (D) Entries into NADDIS.
Authority for maintenance of the system:
The System is maintained to provide intelligence and law
enforcement activities pursuant to the Comprehensive Drug Abuse
Prevention and Control Act of 1970 (Pub. L. 91-513) and
Reorganization Plan No. 2 of 1973.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The system provides a research data base for identification of
aircraft, aircraft owners and pilots that are known or suspected of
involvement in illicit air transportation of narcotics. Information
developed from this system is provided to the following categories of
users for law enforcement purposes on a routine basis: (A) Other
Federal law enforcement agencies; (B) State and local law enforcement
agencies; (C) Foreign law enforcement agencies with whom DEA
maintains liaison.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice unless it is determined that release of the
specific information in the content of a particular case would
constitute an unwarranted invasion of personal privacy.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Reference materials are maintained on microfiche. Information
developed from the reference materials is entered onto the NADDIS
magnetic tape.
Retrievability:
This system is indexed by name and identifying numbers.
Safeguards:
This system of records is maintained at DEA Headquarters which is
protected by twenty-four hour guard service and electronic
surveillance. Access to the building is restricted to DEA employees
and those persons transacting business within the building who are
escorted by DEA employees. Access to the system is restricted to
authorized DEA employees with appropriate clearance on a need-to-know
basis.
Retention and disposal:
Reference materials are retained until updated and then
destroyed. Entries into NADDIS are retained for twenty-five years.
System manager(s) and address:
Deputy Assistant Administrator, Office of Intelligence, Drug
Enforcement Administration, 1405 Eye Street, NW, Washington, DC
20537.
Notification procedure:
The reference materials in this system are matters of public
record. Information developed from this system and entered into the
Narcotics and Dangerous Drug Information System (NADDIS) has been
exempted from compliance with subsection (d) of the Act by the
Attorney General.
Record access procedures:
Same as above.
Contesting record procedures:
Same as the above.
Record source categories:
Federal Aviation Administration.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G), and (H),
(e)(5) and (8), (f), (g), (h) of the Privacy Act pursuant to 5 U.S.C.
552a (j) and (k). 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.
JUSTICE/DEA-003
System name:
Automated Records and Consolidated Orders System/Diversion
Analysis and Detection System (ARCOS/DADS).
System location:
Drug Enforcement Administration, 700 Army Navy Drive, Arlington,
VA 22202. Also field offices. See Appendix 1 for list of addresses.
Categories of individuals covered by the system:
Persons registered with DEA under the Comprehensive Drug Abuse
Prevention and Control Act of 1970 (Pub. L. 91-513).
Categories of records in the system:
The information contained in this system consists of individual
business transactions between levels of handlers of controlled
substances to provide an audit trail of all manufactured and/or
imported controlled substances to the dispensing level.
Authority for maintenance of the system:
This system of records is maintained pursuant to the reporting
requirements of the Comprehensive Drug Abuse Prevention and Control
Act of 1970 (21 U.S.C. 826(d)) and to enable the United States to
fulfill its treaty obligations under the Single Convention on
Narcotic drugs and the Convention on Psychotropic.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
All automated data files associated with ARCOS-DADS are
maintained in the Department of Justice Data Center and the Drug
Enforcement Administration Data Center.
Retrievability:
Records on individuals are retrieved by name and DEA registration
number.
Safeguards:
The portion of the records maintained in DEA headquarters is
protected by twenty-four hour guard service and electronic
surveillance. Access to all DEA facilities is restricted to DEA
employees and those persons transacting business within the building
who are escorted by DEA employees. Access to the system is restricted
to DEA employees who have appropriate security clearances on a need
to know basis. Access to automated records requires user
identification numbers which are issued to authorized DEA employees.
Retention and disposal:
Input data received from registrants is maintained for 60 days
for backup purposes and then destroyed by shredding or electronic
erasure. ARCOS master inventory records are retained for eight
consecutive calendar quarters. As the end of a new quarter is
reached, the oldest quarter of data is purged from the record. ARCOS
transaction history will be retained for a maximum of five years and
then destroyed.
System manager(s) and address:
Deputy Assistant Administrator, Office of Diversion Control, Drug
Enforcement Administration, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to Freedom of Information Section,
Drug Enforcement Administration, Washington, D.C. 20537. Inquiries
should include inquirer's name, date of birth, and social security
number.
Record access procedures:
Same as the above.
Contesting record procedures:
Same as the above.
Record source categories:
Information is obtained from registrants under the Controlled
Substances Act (Pub. L. 91-513).
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3), (d), (e)(4)(G) and (H), (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k). Rules have been promulgated in accordance with the
requirements of 5 U.S.C. 552a(k). Rules have been promulgated in
accordance with the requirements of 5 U.S.C. (b), (c) and (e) and
have been published in the Federal Register.
JUSTICE/DEA-005
System name: Controlled Substances Act Registration Records
(CSA).
System location:
Drug Enforcement Administration, 1405 Eye Street NW, Washington,
DC 20537. Also, field offices. See Appendix 1 for list of addresses.
Categories of individuals covered by the system:
Records are maintained on the following categories of individuals
registered under the Controlled Substances Act including registrants
doing business under their individual name rather than a business
name: (A) Physicians and related practitioners; (B) Dentists; (C)
Veterinarians; (D) Persons conducting research with controlled
substances; (E) Importers of controlled substances; (F) Exporters of
controlled substances; (G) Manufacturers of controlled substances;
(H) Distributors of controlled substances; (I) Pharmacies.
Categories of records in the system:
The Controlled Substances Act Registration Records are maintained
in a manual system which contains the original of the application for
registration under 224, 224a, 225, 225a, 226, 227, 268, and 363a,
order forms (DEA-222's) and any correspondence concerning a
particular registrant. In addition, the same basic data is maintained
in an automated system for quick retrieval.
Authority for maintenance of the system:
The Drug Enforcement Administration is required under the
Comprehensive Drug Abuse Prevention and Control Act of 1970 (Pub. L.
91-513) to register all handlers of controlled substances.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Controlled Substances Act Registration Records produce
special reports as required for statistical analytical purposes.
Disclosures of information from this system are made to the following
categories of users for the purposes stated: (A) Other Federal law
enforcement and regulatory agencies for law enforcement and
regulatory purposes; (B) State and local law enforcement and
regulatory agencies for law enforcement and regulatory purposes; (C)
Persons registered under the Controlled Substances Act (Pub. L. 91-
513) for the purpose of verifying the registration of customers and
practitioners.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The automated portion of this system is maintained on magnetic
tape and the manual portion is by batch.
Retrievability:
The automated system is retrieved by name and registration
number. The manual portion is filed in batches by date the
application was processed. A microfiche system of the names by State
is maintained for quick reference purposes. In addition, a number of
telecommunication terminals have been added to the existing network.
Safeguards:
This system of records is maintained in DEA Headquarters which is
protected by twenty-four hour guard service and electronic
surveillance. Access to the building is restricted to DEA employees
and those persons transacting business within the building who are
escorted by DEA employees. Access to the system is restricted to DEA
personnel on a need-to-know basis. A specific computer program is
necessary to extract information. Information that is retrievable by
terminals requires user identification numbers which are issued to
authorized employees of the Department of Justice.
Retention and disposal:
Records in the manual portion of the system are retired to the
Federal Records Center after one year and destroyed after eight
years. The automated data is stored in the Department of Justice
Computer Center and destroyed after five years.
System manager(s) and address:
Deputy Assistant Administrator, Office of Diversion Control, Drug
Enforcement Administration, 1405 Eye Street NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to Freedom of Information Section,
Drug Enforcement Administration, 1405 Eye Street NW, Washington, DC
20537. Inquiries should include inquirer's name, date of birth, and
social security number.
Record access procedures:
Same as the above.
Contesting record procedures:
Same as the above.
Record source categories:
Information contained in this system of records is obtained from:
(A) Registrants and applicants under the Controlled Substances Act
(Pub. L. 91-513); (B) DEA Investigators.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3), (d), (e)(4) (G) and (H), (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k). 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.
JUSTICE/DEA-007
System name: International Intelligence Data Base.
System location: Drug Enforcement Administration, 1405 I Street NW,
Washington, DC 20537. Also, field offices. See Appendix 1 for list of
addresses.
Categories of individuals covered by the system: Known and
suspected drug traffickers.
Categories of records in the system: (A) Intelligence reports; (B)
Investigative reports; (C) Subject files.
Authority for maintenance of the system: This system is maintained
for law enforcement and intelligence purposes pursuant to the
Comprehensive Drug Abuse Prevention and Control Act of 1970,
Reorganization Plan No. 2 of 1973 and the Single Convention on
Narcotic Drugs.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: This system is
maintained to further criminal investigations through the collation,
analysis and dissemination of intelligence information. This system
produces the following reports: (a) Tactical, operational and
strategic intelligence reports; (b) Major organizational reports; (c)
Network analysis; (d) Trafficker profiles; (e) Intelligence briefs on
prior experience with individuals, firms, countries, etc.; (f)
Country profiles; (g) Country Intelligence Action Plans; (h) Current
Situational reports; (i) Special reports as requests; (j) Drug
patterns and trends and drug trafficking from source to U.S.
distributors.
In addition, information is provided to the following categories
of users for law enforcement purposes on a routine basis: (A) Other
Federal law enforcement agencies; (B) State and local law enforcement
agencies; (C) Foreign law enforcement agencies with whom DEA
maintains liaison; (D) U.S. Intelligence and Military Intelligence
Agencies involved in drug enforcement; (E) U.S. Department of State;
(F) Committees and working groups under the Strategy Council on Drug
Abuse.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of Information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in standard case files and on
index cards.
Retrievability: The system is indexed by name and subject category
and retrieved by use of a card file index.
Safeguards: This system of records is maintained at DEA
Headquarters which is protected by twenty-four hour guard service and
electronic surveillance. Access to the building is restricted to DEA
employees and those persons transacting business within the building
who are escorted by DEA employees. In addition, all records contained
in this system are stored in GSA approved security containers. Access
to the System is restricted to authorized DEA personnel with Secret
Clearance or above.
Retention and disposal: The records contained in this system are
currently retained for an indefinite period.
System manager(s) and address: Assistant Administrator for
Intelligence, Drug Enforcement Administration, 1405 I Street NW,
Washington, DC 20537.
Notification procedure: Inquiries should be addressed to Freedom of
Information Unit, Drug Enforcement Administration, 1405 I Street NW,
Washington, DC 20537. Inquiries should include inquirer's name, date
of birth, and social security number.
Record access procedures: Same as Notification Procedure.
Contesting record procedures: Same as Notification Procedure.
Record source categories: (A) Other Federal Agencies; (B) State and
local law enforcement agencies; (C) Foreign law enforcement agencies;
(D) Confidential informants.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c)(3) and (4),
(d), (e)(1), (2) and (3), (e)(4)(G), (H), (e)(5) and (8), (f), (g),
and (h) of the Privacy Act pursuant to 5 U.S.C. 552a(j) and (k).
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.
JUSTICE/DEA-008
System name:
Investigative Reporting and Filing System, Justice/DEA-008.
System location:
Drug Enforcement Administration: 700 Army Navy Drive, Arlington,
VA 22202; and field offices. For field office addresses, see appendix
identified as ``DEA Appendix--List of Record Location Addresses,
Justice/DEA-999.''
Categories of individuals covered by the system:
A. Drug offenders
B. Alleged drug offenders; and
C. Persons suspected of drug offenses.
D. Defendants.
Such individuals may include individuals registered with DEA and
responsible for the handling, dispensing, or manufacturing of
controlled substances under the Comprehensive Drug Abuse Prevention
and Control Act of 1970.
Categories of records in the system:
Subpart A:
Subpart A is (1) a manual index (which serves as a backup to the
automated index described in subpart B) and (2) paper case file
records consisting of: Criminal Investigative Files; Regulatory Audit
and Investigatory Files; and General Investigative Files. These files
may include investigative and confidential informant reports and all
documented findings and investigative ``lead'' information relative
to preregistrant inspections, investigations, targeted conspiracies,
and trafficking situations, etc. The reports pertain to the full
range of DEA criminal drug enforcement and regulatory investigative
functions that emanate from the Comprehensive Drug Prevention and
Control Act of 1970.
For example, records in the Criminal Investigative Case Files may
include a systematic gathering of information targeted on an
individual or group of individuals operating in illegal drugs either
in the United States or internationally; reports on individuals
suspected or convicted of narcotics violations; reports of arrests;
information on drug possession, sales, and purchases by such
individuals; and information on the transport of such drugs, either
inside the United States or internationally, by such individuals.
Records in the Regulatory Audit and Investigatory Files may include
similar investigative reports regarding those individuals
specifically identified under item C. of the ``Categories of
Individuals Covered by the System.'' Records in the General
Investigative Files may generally include fragmentary or low priority
information on an individual which is not significant enough to open
a case file.
Subpart B:
Subpart B is an automated index containing limited, summary-type
data which are extracted from and which point to the case files
maintained by DEA as described in subpart A above, or to files
maintained by other Federal, State, or local law enforcement
agencies. Examples of such data include: Record number; subject name
(person, business, vessel), aliases and soundex; personal data;
(occupation(s), race, sex, date and place of birth, height, weight,
hair color, eye color, citizenship, nationality/ethnicity, alien
status); special considerations (fugitive armed/dangerous); resident
and criminal address (business and personal); miscellaneous numbers
(telephone, passport, drivers license, vehicles registration, social
security number, etc.); relevant case file numbers, with indicators
for active investigations; date/stamp (event) data. (Subpart B will
contain no classified information.)
Authority for maintenance of the system:
This system is established and maintained to enable DEA to carry
out its assigned law enforcement and criminal regulatory functions
under the Comprehensive Drug Abuse Prevention and Control Act of 1970
(Pub. L. 91-513), Reorganization Plan No. 2 of 1973, and Title 21
United States Code; and to fulfill United States obligations under
the Single Convention on Narcotic Drugs.
Purpose(s):
The records in this system have been compiled for the purpose of
identifying, apprehending, and prosecuting individuals connected in
any way with the illegal manufacture, distribution, or use of drugs.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Relevant records or any relevant facts derived therefrom may be
disclosed to:
(1) Other Federal, State, local, and foreign law enforcement and
regulatory agencies, and components thereof, to support their role in
the detection and monitoring of the distribution of illegal drugs in
the United States or such other roles in support of counterdrug law
enforcement as may be permitted by law. Direct, electronic, ``read
only'' access by Federal, State, or local law enforcement agencies
only to subpart B of this system of records may be permitted to
enable these agencies (i) to identify law enforcement information or
activities which may be relevant to their law enforcement
responsibilities and (ii) where such information or activities is
identified, either request access from DEA to the underlying case
file records described in subpart A or, where the case file is
maintained by another agency, request access from such other agency,
and (iii) to ensure appropriate coordination of such activities with
DEA or other appropriate law enforcement agency. In addition, direct,
electronic, read and write access may be permitted, but only to the
index data generated by the accessing agency to enable such agency to
modify or deleted its own data.
(2) Other Federal, State, local, and foreign law enforcement and
regulatory agencies, and components thereof, to the extent necessary
to elicit information pertinent to counter-drug law enforcement;
(3) Foreign law enforcement agencies through the Department of
State (with whom DEA maintains liaison), and agencies of the U.S.
foreign intelligence community to further the efforts of those
agencies with respect to the national security and foreign affairs
aspects of international drug trafficking;
(4) Individuals and organizations in the course of investigations
to the extent necessary to elicit information about suspected or
known illegal drug violators;
(5) Federal and state regulatory agencies responsible for the
licensing or certification of individuals in the fields of pharmacy
and medicine to assist them in carrying out such licensing or
certification functions;
(6) Any person or entity to the extent necessary to prevent an
imminent or potential crime which directly threatens loss of life or
serious bodily injury;
(7) 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;
(8) 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;
(9) National Archives and Records Administration and the General
Services Administration in records management inspections conducted
under the authority of 44 U.S.C. 2904 and 2906; and
(10) To a court or adjudicative body before which DEA 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 DEA to be arguably relevant to the litigation; (i) DEA,
or any subdivision thereof, or (ii) any employee of DEA in his or her
official capacity, or (iii) any employee of DEA in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (iv) the United States, where DEA
determines that the litigation is likely to affect it or any of its
subdivisions.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records described in subpart A of the ``Categories of Records in
the System'' are maintained on standard index cards and in standard
file folders at DEA Headquarters and field offices. Records described
in subpart B are stored on a computer database at the DEA and on a
mainframe at the Department of Justice Computer Center.
Retrievability:
Information will be retrieved by accessing either the manual or
automated index by name and by cross-referencing the name with a
number assigned to the case file. The law enforcement components of
the Department of Justice may have direct, electronic, ``read only''
access (under subsection (b)(1) of the Privacy Act) to subpart B of
the ``Categories of Records in the System''. These data will assist
DOJ law enforcement components in identifying whether there may be
detailed records which reside in subpart A of this system of records
that may be relevant to their law enforcement responsibilities. Where
such records are identified, DOJ law enforcement components may
request access. In addition, DOJ law enforcement components may have
direct, electronic ``read and write'' access to the index data
generated by such component to modify or delete its own data.
Safeguards:
Access is limited to designated employees with a need-to-know.
All records are stored in a secure area of a secure building. In
addition to controlled access to the building, the areas where
records are kept are either attended by responsible DEA employees,
guarded by security guard, and/or protected by electronic
surveillance and/or alarm systems, as appropriated. In addition,
paper records, including the manual index, are in locked files during
off-duty hours and unauthorized access to the automated index is also
prevented through state-of-the-art technology such as encryption and
multiple user ID's and passwords.
Retention and disposal:
Paper records will be transferred to the Washington National
Records Center 10 years after date of last entry; and destroyed 25
years after date of last entry. The related index will be deleted 25
years after date of last entry. Approval pending DEA records
management and the NARA.
System manager(s) and address:
Assistant Administrator, Operations Division, Drug Enforcement
Administration, Freedom of Information Section, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to: Drug Enforcement
Administration, Freedom of Information Section, Washington, DC 20537.
Record access procedure:
Same as above.
Contesting record procedure:
Same as above.
Record source categories:
(a) DEA personnel, (b) Confidential informants, witnesses and
other cooperating individuals, (c) Suspects and defendants, (d)
Federal, State and local law enforcement and regulatory agencies, (e)
foreign law enforcement agencies, (f) business records by subpoena,
and (g) drug and chemical companies.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e) (1), (2) and (3), (e)(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 subsection (k)(1). 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.
JUSTICE/DEA-009
System name: Medical Records.
System location:
Drug Enforcement Administration; 1405 Eye Street NW, Washington,
DC 20537. Also, field offices. See Appendix 1 for list of addresses.
Categories of individuals covered by the system:
(A) DEA employees; (B) Cooperating individuals;
Categories of records in the system:
(A) Annual physical examinations; (B) Reports of disease or
injury pertaining to DEA Special Agents and Chemists; (C) Reports of
job related injury or illness for employees and cooperating
individuals; (D) Pre-employment physical examination of DEA Special
Agents and Investigators; (E) Physical examination reports of non-
federal police personnel applying to attend the National Training
Institute.
Authority for maintenance of the system:
These records are maintained to establish and maintain an
effective and comprehensive health program for employees pursuant to
5 U.S.C. 7901, 29 U.S.C. 655 and Executive Order 11807 of September
28, 1974.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are maintained for internal DEA use. The only
disclosure outside the agency would be to a physician when authorized
by the subject.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from system of records maintained by the
Department of Justice unless it is determined that release of the
specific information in the context of a particular case would
constitute an unwarranted invasion of personnel privacy.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained in standard file folders.
Retrievability:
Records are retrieved by name.
Safeguards:
This system of records is maintained at DEA Headquarters which is
protected by twenty-four hour guard service and electronic
surveillance. Access to the building is restricted to DEA employees
and those persons transacting business within the building who are
escorted by DEA employees. In addition, the records are stored in
file safes in an alarmed, controlled access area. Access to the
system is limited to employees of the medical office on a need-to-
know basis.
Retention and disposal:
These records are retained indefinitely.
System manager(s) and address:
Medical Administration, Drug Enforcement Administration, 1405 Eye
Street NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to Freedom of Information Section,
Drug Enforcement Administration, 1405 Eye Street NW, Washington, DC
20537. Inquiries should contain the following information: Name; Date
and Place of Birth; Dates of Employment with DEA; Employee number.
Record access procedures:
Same as the above.
Contesting record procedures:
Same as above.
Record source categories:
Individuals on whom records are maintained; Employees of Medical
Office.
Systems exempted from certain provisions of the act:
None.
JUSTICE/DEA-010
System name: Planning and Inspection Division Records.
System location:
Drug Enforcement Administration, 1405 I Street, NW, Washington,
DC 20537. Also, field offices. See Appendix I for list of addresses.
Categories of individuals covered by the system:
(A) DEA employees, past and present; (B) Applicants for
employment with DEA; (C) Drug offenders, alleged drug offenders, and
persons suspected of drug offenses; (D) Offenders, alleged offenders,
and persons suspected of committing Federal and state crimes broadly
characterized as corruption or integrity offenses; (E) Confidential
informants; (F) Witnesses; (G) Nonimplicated persons with pertinent
knowledge of circumstances or aspects with pertinent knowledge of
circumstances or aspects of a case or suspect. These are pertinent
references of fact developed by personal interview or third party
interview and are recorded as a matter for which a probable need will
exist.
Categories of records in the system:
(A) Investigative reports with supporting memoranda and work
papers relating to investigations of individuals and situations. (B)
General files which include, among other things, supporting memoranda
and work papers and miscellaneous memoranda relating to
investigations of and the purported existence of situations and
allegations about individuals. (C) Audit and inspection reports of
inspections of DEA offices, personnel, and situations.
Authority for maintenance of the system:
Reorganization Plan No. 1 of 1968 and 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information contained in this system is provided to the following
categories of users as a matter or routine uses for law enforcement
and regulatory purposes: A. Other Federal law enforcement and
regulatory agencies; B. State and local law enforcement and
regulatory agencies; C. Foreign law enforcement agencies with whom
DEA maintains liaison; D. The Department of State; E. The Department
of Defense and Military Departments; F. U.S. Intelligence agencies
concerned with drug enforcement; G. The United Nations; H. Interpol;
I. To individuals and organizations in the course of investigations
to elicit information.
In addition, disclosures are routinely made to the following
categories for the purposes stated: A. To Federal agencies for
national security clearance purposes and to Federal and state
regulatory agencies responsible for the licensing or certification of
individuals in the fields of pharmacy and medicine; B. To the Office
of Management and Budget upon request in order to justify the
allocations of resources; C. To state and local prosecutors for
assistance in preparing cases concerning criminal and regulatory
matters; D. To the news media for public information purposes; E. To
Federal, State and local governmental agencies who are conducting
suitability for employment investigations on current or prospective
employees.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as routine
use to the NARA and GSA in records management inspections conducted
under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual records are maintained in standard investigation folders.
Automated records are maintained on magnetic disks.
Retrievability:
Access to manual records can be accomplished by the use of a card
index maintained alphabetically by employee name. Access to the
automated system is achieved by reference to personal identifiers,
other data elements or any combination thereof.
Safeguards:
These records are maintained at DEA Headquarters which is
protected by twenty-four hour guard service and electronic
surveillance. Access to the building is restricted to DEA employees
and those persons transacting business within the building who are
escorted by DEA employees. Access to the system is restricted to
employees of the Office of Internal Security and upper level
management officials. The records are stored in a vault protected by
alarm and cipher locks. Access to the system will be on a strict
need-to-know basis.
Retention and disposal:
Case files are destroyed after five years unless the Office of
Internal Security of the Chief Counsel determines that these files
are required for potential or ongoing litigation. This determination
will be subject to annual review. General files and audit files shall
be retained as long as the subject is employed at DEA and for two
years after termination.
System manager(s) and address:
Security Programs Manager, Drug Enforcement Administration, 1405
I Street NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to Freedom of Information Section,
Drug Enforcement Administration, 1405 I Street NW, Washington, DC
20537.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
(A) DEA Investigations; (B) Federal, State and local law
enforcement agencies; (C) Cooperating individuals.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c), (3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G), (H) (e) (5)
and (8), (f), (g), (h) of the Privacy Act pursuant to 5 U.S.C. 552a
(j) and (k). 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.
JUSTICE/DEA-011
System name: Operations Files.
System Location: Drug Enforcement Administration, 1405 Eye Street,
NW, Washington, DC 20537. Also, field offices. See Appendix 1 for
list of addresses.
Categories of individuals covered by the system:
(A) Cooperating Individuals; (B) Confidential Informants.
Categories of records in the system:
(A) Biographic and background information; (B) Official Contact
Reports; (C) Intelligence Reports (DEA-6).
Authority for maintenance of the system:
This system of records is maintained to assist in intelligence
operations pursuant to the Comprehensive Drug Abuse Prevention and
Control Act of 1970 (Pub. L. 91-513) and Reorganization Plan No. 2 of
1973.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This system is used to keep a history of intelligence operations
against narcotics traffickers and their support networks. Information
contained in this system is provided to the following categories of
users for law enforcement purposes on a routine basis: (A) Other
Federal law enforcement agencies; (B) State and local law enforcement
agencies; (C) Foreign law enforcement agencies with whom DEA
maintains liaison; (D) United States Intelligence and Military
Intelligence agencies involved in durg enforcement; (E) The United
States Department of State.
Release of information to the news media. Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in standard case files.
Retrievability:
These files are retrieved manually by subject matter category and
coded identification number.
Safeguards:
This system of records is maintained at DEA Headquarters which is
protected by twenty-four hour guard service and electronic
surveillance. Access to the building is restricted to DEA employees
and those persons transacting business within the building who are
escorted by DEA employees. In addition, all files are stored in GSA
approved security containers approved for Secret material and treated
as if they carried a Secret classification whether classified or not.
Access to the files is restricted to authorized DEA employees with
Top Secret clearances on a limited need-to-know basis.
Retention and disposal:
These records are retained indefinitely.
System manager(s) and address:
Deputy Assistant Administrator, Office of Intelligence, Drug
Enforcement Administration, 1405 Eye Street NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to Freedom of Information Section,
Drug Enforcement Administration, 1405 I Street NW, Washington, DC
20537.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
(A) DEA Reports; (B) Reports of federal, state and local
agencies; (C) Reports of foreign agencies with whom DEA maintains
liaison.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G), (H), (e)(5) and
(8), (f), (g), (h) of the Privacy Act pursuant to 5 U.S.C. 552a (j)
and (k). 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.
JUSTICE/DEA-012
System name: Registration Status/Investigation Records.
System location:
Drug Enforcement Administration, 1405 Eye Street NW, Washington,
DC 20537. Also, field offices. See Appendix 1 for list of addresses.
Categories of individuals covered by the system:
Individuals who have a Controlled Substances Act registration
number under their personal name who have had some action taken
against their license or registration.
Categories of records in the system:
(A) DEA reports of investigation; (B) Information received from
state regulatory agencies.
Authority for maintenance of the system:
This system of records is maintained to enable the Drug
Enforcement Administration to perform its regulatory functions under
the Comprehensive Drug Abuse Prevention and Control Act of 1970.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information contained in this system of records is provided for
law enforcement and regulatory purposes to the following categories
of users on a routine basis: (A) Other federal law enforcement and
regulatory agencies; (B) State and local law enforcement and
regulatory agencies; (C) To respondents and their attorneys for
purposes of discovery, formal and informal, in the course of an
adjudicatory, rulemaking, or other hearing held pursuant to the
Controlled Substances Act of 1970.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of Information to Members of Congress. Information
contained in systems or records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in standard case file folders.
Retrievability:
This system is indexed by name of registrant.
Safeguards:
This system of records is maintained in DEA Headquarters which is
protected by 24-hour guard service and electronic surveillance.
Access to the building is restricted to DEA employees and those
persons transacting business within the building who are escorted by
DEA employees. Access to the system is restricted to authorized
employees of the Diversion Operation Section on a need-to-know basis.
Retention and disposal:
These records are retained as long as there is a need for the
file. These are working files and may be destroyed when no longer
required or merged into the Investigative Case File and Reporting
System.
System manager(s) and address:
Deputy Assistant Administrator, Office of Diversion Control, Drug
Enforcement Administration; 1405 Eye Street, NW, Washington, DC
20537.
Notification procedure:
Inquiries should be addressed to: Freedom of Information Section,
Drug Enforcement Administration, 1405 I Street, NW, Washington, DC
20537.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
(A) DEA Investigators: (B) State and local regulatory agencies.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3), (d), (e)(4)(G) and (H), (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k). 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.
JUSTICE/DEA-013
System name: Security Files.
System location:
Drug Enforcement Administration, 1405 Eye Street, NW, Washington,
DC 20537. Also, field offices. See Appendix 1 for list of addresses.
Categories of individuals covered by the system:
(A) DEA personnel; (B) Cooperating individuals and informants;
(C) Drug traffickers and suspected drug traffickers; (D) Individuals
who might discover DEA investigations or undercover operations by
chance.
Categories of records in the system:
This system of records contains reports concerning the categories
of individuals stated above.
Authority for maintenance of the system:
This system of records is maintained to identify and correct
security problems in the area of intelligence operations and
installations pursuant to the Comprehensive Drug Abuse Prevention and
Control Act of 1970 (Pub. L. 91-513) and Reorganization Plan No. 2 of
1973.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This system is utilized to generate reports on security problems
in the area of intelligence operations and installations. In
addition, information is provided to the following categories of
users for law enforcement purposes on a routine basis: (A) Other
federal law enforcement agencies; (B) State and local law enforcement
agencies; (C) Foreign law enforcement agencies with whom DEA
maintains liaison.
Release of information on the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in standard case folders.
Retrievability:
The information in this system is retrieved by subject matter
category or by coded identification number.
Safeguards:
This system of records is maintained at DEA Headquarters which is
protected by twenty-four hour guard service and electronic
surveillance. Access to the building is restricted to DEA employees
and those persons transacting business within the building who are
escorted by DEA employees. In addition, these records are stored in
GSA approved security containers authorized for Secret material.
Access to the system is restricted to authorized DEA personnel who
have Top Secret Clearances on a limited need-to-know basis.
Retention and disposal:
Records in this system are retained as long as the individual
remains active and then destroyed or retired to the Federal Records
Center.
System manager(s) and address:
Deputy Assistant Administrator, Office of Intelligence, Drug
Enforcement Administration, 1405 Eye Street, NW, Washington, DC
20537.
Notification procedure:
Inquiries should be addressed to: Freedom of Information Section
Drug Enforcement Administration, 1405 I Street, NW, Washington, DC
20537.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
(A) DEA Reports; (B) Reports of federal, state and local
agencies.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G), (H), (e)(5) and
(8), (f), (g), (h) of the Privacy Act pursuant to 5 U.S.C. 552a (j)
and (k). 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.
JUSTICE/DEA-014
System name: System to Retrieve Information from Drug Evidence
(STRIDE/Ballistics).
System location:
Drug Enforcement Administration, 1405 Eye Street, NW, Washington,
DC 20537. Also, field office. See Appendix 1 for list of addresses.
Categories of individuals covered by the system:
Defendants and suspected violators.
Categories of records in the system:
Ballistics report.
Authority for maintenance of the system:
This system is maintained to provide drug intelligence for law
enforcement purposes pursuant to the Comprehensive Drug Abuse
Prevention and Control Act of 1970 and Reorganization Plan No. 2 of
1973.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system is provided to the following
categories of users for law enforcement purposes on a routine basis:
(A) Other federal law enforcement agencies; (B) State and local law
enforcement agencies; (C) Foreign law enforcement agencies with whom
DEA maintains liaison.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The information is stored on magnetic tape.
Retrievability:
The system is indexed by case number and exhibit number. The
information can be retrieved by name of DEA case number and exhibit
number. In addition, a number of telecommunication terminals have
been added to the existing network.
Safeguards:
This system of records is maintained at DEA, headquarters which
is protected by twenty-four hour guard service and electronic
surveillance. Access to the building is restricted to DEA employees
and those persons transacting business within the building who are
escorted by DEA employees. Access to the system is restricted to
authorized DEA employees with appropriate clearance on a need-to-know
basis. Information that is retrievable by terminals requires user
identification numbers which are issued to authorized employees of
the Department of Justice.
Retention and disposal:
The information contained in this system is retained
indefinitely.
System manager(s) and address:
Chief, Forensic Sciences Section, Drug Enforcement
Administration; 1405 Eye Street, NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to: Freedom of Information Section,
Drug Enforcement Administration, 1405 I Street, NW, Washington, DC
20537.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
DEA Reports: Scientific Analysis.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G), (H), (e)(5) and
(8), (f), (g), (h) of the Privacy Act pursuant to 5 U.S.C. 552a (j).
Rules have been promulgated in accordance with the requirements of 5
U.S.C. 553 (b), (c) and (e) and been published in the Federal
Register.
JUSTICE/DEA-015
System name: Training Files.
System location:
Drug Enforcement Administration, 1405 I Street, NW, Washington,
DC 20537 and DEA Office of Training, Federal Law Enforcement Training
Center, Glynco, Georgia 31524.
Categories of individuals covered by the system:
Individuals who have attended training programs sponsored by the
Drug Enforcement Administrative Office of Training.
Categories of records in the system:
(A) Students names; (B) Dates and locations of schools; (C) Class
average and individual student grades; (D) Locations of student's
employers; (E) Number of years experience in general law enforcement
and drug law enforcement; (F) Classification of student's employers
by state, local, county, or Federal; (G) Type of school attended; (H)
Class rosters; (I) Biographic data; (J) Evaluation reports; (K)
Application and attendance records.
Authority for maintenance of the system:
This system is maintained to provide educational and training
programs on drug abuse and controlled substances law enforcement
pursuant to the Comprehensive Drug Abuse Prevention and Control Act
of 1970.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This system is maintained to assist in performing the
administrative functions of the Office of Training and is used to
prepare class directories, class rosters, program evaluation reports
and statistical reports. In addition, information from this system is
provided to Federal, state and local law enforcement and regulatory
agencies employing former students and biographical data may be
provided to students and former students in the form of class rosters
and alumni publications.
Release of information to the news media: Information permitted
to be released to the news media and the public may be made available
from systems of records maintained by the Department of Justice
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.
Release of information of Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The manual records in this system are maintained on index cards
and in file folders and the automated portion is maintained on
magnetic tapes.
Retrievability:
Data may be retrieved by the student's last name, school location
code, or by beginning course dates.
Safeguards:
Those records maintained at DEA Headquarters are protected by
twenty-four hour guard service and electronic surveillance. Access to
the building is restricted to DEA employees and those persons
transacting business within the building who are escorted by DEA
employees. In addition, access to file is limited to Office of
Training personnel on a need-to-know basis. Those records maintained
at the Drug Enforcement Administration, Office of Training, FBI
Academy Quantico, Virginia. Access to file is restricted to DEA
personnel on a need-to-know basis.
Retention and disposal:
Records in this system are currently maintained indefinitely.
System manager(s) and address:
Deputy Assistant Administrator, Office of Training, Drug
Enforcement Administration FBI Academy.
Notification procedure:
Inquiries should be addressed to: Freedom of Information Section,
Drug Enforcement Administration, 1405 Eye Street NW, Washington, DC
20537.
Inquiries should contain name; date and place of birth; and dates
of attendance at courses sponsored by the Office of Training.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
(A) Students: (B) Instructors.
Systems exempted from certain provisions of the act:
None.
JUSTICE/DEA-016
System name: Drug Enforcement Administration Accounting System
(DEAAS II).
System location:
Drug Enforcement Administration, 1405 Eye Street NW, Washington,
DC 20537. Also field offices. See Appendix 1 for list of addresses.
Categories of individuals covered by the system:
All individuals who submit vouchers requesting payment for goods
or services rendered, except payroll vouchers for DEA employees.
These include vendors, contractors, experts, witnesses, court
reporters, travelers, relocated employees, etc.
Categories of records in the system:
All vouchers paid except payroll vouchers for DEA employees. In
addition all advance of funds issued to DEA travelers.
Authority for maintenance of the system:
The system is established and maintained in accordance with the
Budget and Accounting Procedures Act of 1950 as amended, 31 U.S.C. 66
and U.S.C. 200(a).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
After payment of the vouchers, the accounting data is used for
the purpose of internal management reporting and external reporting
to agencies such as OMB, U.S. Treasury, and the GAO.
Release of information to the News Media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of Information to Members of Congess: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of Information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual voucher files are maintained alphabetically by payee's
name. Travel advance information and other budget and accounting data
are maintained by an online computerized file. Information on travel
advances is stored by employee identification number, other budget
and accounting data is maintained by obligation number or other
program identifier.
Retrievability:
Information from manual voucher files is retrieved by using the
name of the payee. Travel advance information is retrieved by
employee identification number; other budget and accounting data is
retrieved by obligation number or other program identifier.
Safeguards:
Information contained in the system is unclassified. It is
safeguarded in accordance with organizational rules and procedures.
Access to manual voucher files is restricted to employees on a need
to know basis. Information that is retrievable by terminals can be
retrieved only by authorized employees of the Department of Justice
who have been issued user identification numbers.
Retention and disposal:
The payment documents are retained at this location for three
fiscal years (current and two prior years). The records are then
shipped to a Federal Records Center for storage in accordance with
the General Record Schedule published by the General Services
Administration. In the computerized file for travel advances, only
the last two transactions in any particular account are retained in
the file. Old transactions are automatically purged as new
transactions are entered.
System manager(s) and address:
Deputy Assistant Administrator, Office of Administration, Drug
Enforcement Administration, 1405 Eye Street NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to Freedom of Information Section,
Drug Enforcement Administration, 1405 Eye Street NW, Washington, DC
20537.
Record access procedures:
Same as ``Notification Procedure'' above.
Contesting record procedures:
Same as ``Notification Procedure'' above.
Record source categories:
Submitted by the payee involved.
Systems exempted from certain provisions of the act:
None.
JUSTICE/DEA-017
System name: Grants of Confidentiality Files (GCF).
System location:
Drug Enforcement Administration, 1405 Eye Street, NW, Washington,
DC 20537.
Categories of individuals covered by the system:
Applicants for grants of confidentiality.
Categories of records in the system:
(A) Requests for and actual Grants of Confidentiality; (B)
Correspondence relating to above; (C) Documents relating to
investigations of said applicants.
Authority for maintenance of the system:
Pursuant to 21 U.S.C. 872 of the Comprehensive Drug Abuse
Prevention and Control Act of 1970.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in these records are utilized for the purpose of
investigating applicants prior to the granting of confidentiality. In
the course of such investigations, information may be disseminated to
state and local law enforcement and regulatory agencies to other
federal law enforcement and regulatory agencies.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained on standard case folders.
Retrievability:
The information in this system is retrieved by name of grantee.
Safeguards:
This systems of records is maintained at DEA Headquarters which
is protected by twenty-four hour guard service and electronic
surveillance. Access to the building is restricted to DEA employees
and those persons transacting business within the building who are
escorted by DEA employees. In addition, the records are stored in bar
lock filing cabinets and access to the system is restricted to
members of the DEA employees on a ``need to know basis.''
Retention and disposal:
Records in this system are retained indefinitely.
System manager(s) and address:
Chief Counsel, Drug Enforcement Administration, 1405 Eye Street,
NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to: Freedom of Information Section,
Drug Enforcement Administration, 1405 Eye Street, NW, Washington, DC
20537. Inquiries should include the inquirer's name, date, and place
of birth.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
(A) DEA investigative reports; (B) Applicants; (C) Reports from
other federal, state and local agencies.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(d)(1) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
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.
JUSTICE/DEA-018
System name: DEA Applicant Investigations (DAI).
System location:
Drug Enforcement Administration; 1405 Eye Street, NW, Washington
DC 20537.
Categories of individuals covered by the system:
Applicants for employment with DEA.
Categories of records in the system:
Information in records may include date and place of birth,
citizenship, marital status, military and social security status.
These records contain investigative information regarding an
individual's character, conduct, and behavior in the community where
he or she lives or lived, arrests and convictions for any violations
against the law, information from inquiries directed to present and
former supervisors, co-workers, associates, educators, etc, credit
and National Agency checks, and other information developed from the
above.
Authority for maintenance of the system:
5 U.S.C. 301 and Executive Order No. 10450.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used by DEA to implement an effective screening
process for applicants. To foreign, federal, state and local law
enforcement and regulatory agencies, where appropriate, for referral
to avoid duplication of the investigative process and where the
appropriate agency is charged with the responsibility of
investigating or prosecuting potential violations of law.
Release of information to the news media. Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in standard investigative folders.
Retrievability:
These records are retrieved by use of a card index maintained
alphabetically by employee name.
Safeguards:
These records are maintained at DEA Headquarters which is
protected by twenty-four hour guard service and electronic
surveillance. Access to the building is restricted to DEA employees
and those persons transacting business within the building who are
escorted by DEA employees. Access to the system is restricted to
employees of the office of Internal Security and upper level
management officials. The records are stored in safe-type combination
lock file cabinets.
Retention and disposal:
These records are maintained during period of employment and for
5 years after termination of employment and then destroyed.
System manager(s) and address:
Security Programs Manager, Drug Enforcement Administration, 1405
Eye Street, NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to: Freedom of Information Section,
Drug Enforcement Administration, 1405 Eye Street, NW, Washington, DC
20537. Inquiries should include the inquirer's name, date, and place
of birth.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
DEA investigations, federal, state and local law enforcement
agencies.
Cooperating individuals, employees, educational institutions,
references, neighbors, associates, credit bureaus, medical officials,
probation officials.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsection
(d)(1) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
Rules have been promulgated in accordance with the requirements at 5
U.S.C. 553 (b), (c) and (e) and have been published in the Federal
Register.
JUSTICE/DEA-020
System name: Essential Chemical Reporting System.
System location:
Drug Enforcement Administration (DEA), 1405 I Street, NW,
Washington, DC 20537. Also, DEA Field Offices. See Appendix 1 for
list of addresses.
Categories of individuals covered by the system:
A. Individual who submit reports concerning the sale, loss, or
theft of precursor or other chemical essential to the manufacture of
controlled substances.
B. Individuals who are reported as the purchaser, importer, or
individual suffering the loss or theft of precursor or other chemical
essential to the manufacture of controlled substances.
C. Individuals who are reported as the person placing an order
for precursor or other chemical essential to the manufacture or
controlled substances.
D. Individual who are reported as being involved in or having
knowledge of the details relative to the loss or theft of precursor
or other chemical essential to the manufacture of controlled
substances.
Categories of records in the system:
The system contains: (1) Precursor dine reports submitted to DEA
pursuant to Pub. L. No. 95-633. (2) Information extracted from
precursor reports and maintained on magnetic tape. (3) Reports
submitted voluntarily to DEA concerning chemicals essential to the
manufacture of controlled substance.
Authority for maintenance of the system:
This system of records is maintained pursuant to the reporting
requirements contained in Pub. L. 95-633.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information contained in this system is provided to the following
categories of users for the purposes stated:
(A) Other Federal law enforcement and regulatory agencies for law
enforcement or regulatory purposes.
(B) State and local law enforcement and regulatory agencies for
law enforcement and regulatory purposes.
(C) Release of information to the news media: Information
permitted to be released to the news media and the public pursuant to
28 CFR 50.2 may be made available from systems of records maintained
by the Department of Justice 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.
(D) Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available to a Member of Congress or staff acting
upon the Member's behalf when the Member or staff requests the
information on behalf of or at the request of the individual who is
the subject of the record.
(E) Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in management inspections under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Essential chemical report documents will be maintained in manual
file folders. Information extracted will be maintained on magnetic
tape.
Retrievability:
The information maintained on magnetic tape will be retrievable
by the name of any individual mentioned in the report.
Safeguards:
The proposed system of records will be maintained in DEA
Headquarters which is protected by twenty-four hour guard serivce and
electronic surveillance. Access to the building is restricted to DEA
employees and those persons transacting business within the building
who are escorted by DEA employees. Manual files will be maintained in
the DEA central files and access to these documents will be
restricted to DEA employees on a need-to-know basis. Access to
information maintained on magnetic tape will require a specific
computer program to extract information. Access to information
through ADP terminals will require a user identification code which
will be issued to authorized DEA employees on a strict need-to-know
basis.
Retention and disposal:
Until DEA gains experience to establish the useful life of the
records in this system, the records will be maintained indefinitely.
System manager(s) and address:
Assistant Administrator for Operations, Drug Enforcement
Administration, 1405 I Street NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to Freedom of Information Section,
Drug Enforcement Administration, 1405 I Street, NW, Washington DC
20537.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individuals required to submit prescursor reports pursuant to
Pub. L. 95-633, and individuals who voluntarily submit reports
concerning the sale, distribution or importation of chemicals
essential to the manufacture of controlled substances.
Systems exempted from certain provisions of the act:
None.
JUSTICE/DEA-021
System name:
DEA Aviation Unit Reporting System.
System location:
Drug Enforcement Administration (DEA), Investigative Support
Section, Aviation Unit, DEA/Justice, PO Box 534, Addison, Texas
75001.
Categories of individuals covered by the system:
DEA pilots.
Categories of records in the system:
The system contains: (1) Records relating to the operation and
maintenance of DEA aircraft. (2) Records relating to pilot
qualifications (CSC Form 671).
Purpose(s):
This system is maintained to monitor the utilization and
maintenance of DEA aircraft and the qualifications of DEA pilots in
furtherance of DEA enforcement operations conducted pursuant to the
Comprehensive Drug Abuse Prevention and Control Act of 1970 (Pub. L.
91-513).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) Federal Aviation Administration for purposes of aircraft
documentation and pilot certification.
(2) Department of Defense for communication purposes.
(3) United States Coast Guard for communication purposes.
(4) Communications relay services under contract with DEA for
communications purposes.
(5) Release of information to the news media: Information
permitted tone released to the news media and the public pursuant to
28 CFR 50.2 may be made available from systems of records maintained
by the Department of Justice 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.
(6) Release of information to Members of Congress. Information
contained in the systems of records maintained by the Department of
Justice, not otherwise requested to be released pursuant to 5 U.S.C.
552, may be made available 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.
(7) Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system
Storage:
The automated portion of the records is maintained on an ADP disk
storage device. Documentary records are maintained in manual file
folders.
Retrievability:
Information relating to individuals in the system is retrieved by
pilot name or identifying number assigned by DEA.
Safeguards:
Access to the system is restricted to DEA personnel on a need-to-
know basis. The records are maintained in a secure room at the
Addison Aviation Facility in accordance with DEA security procedures
and are protected by an electronic alarm system.
Retention and disposal:
The automated records are maintained for five years and then
purged from the data base. Manual records are maintained
indefinitely.
System manager(s) and address:
Chief, Investigative Support Section, Drug Enforcement
Administration, Washington, D.C. 20537.
Notification procedure:
Inquiries should be addressed to the Freedom of Information
Section, Drug Enforcement Administration, Washington, D.C. 20537.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information pertaining to individuals in the system is obtained
from reports submitted by DEA pilots.
Systems exempted from certain provisions of the act:
None.
JUSTICE/DEA-023
System name: Clerical, Technical and Professional (CTAP) Program
Files.
System location:
Drug Enforcement Administration, 1405 I Street, NW, Washington,
DC 20537 and field offices (see Appendix 1 for addresses).
Categories of individuals covered by the system:
Clerical technical and professional employees (GS/1-12) of DEA
who volunteer to participate in the CTAP program.
Categories of records in the system:
Biographic, educational and career development records of CTAP
employees, interview and evaluation forms concerning CTAP employees
and individual career development plans.
Authority for maintenance of the system:
OMB Circular No. A-48 (September 23, 1971). Federal Personnel
Manual, Chapter 410.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information is disclosed to DEA counselors and supervisors to
develop and plan individualized career development programs for DEA
employees.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2, may be made available from systems of records maintained by the
Department of Justice unless it is determined that release of the
specific information in the context of a particular case would
constitute an unwarranted invasion of personnel privacy.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise requested to be released pursuant to 5 U.S.C.
552, may be made available to a Member of Congress or staff acting
upon the Member's behalf when the Member or staff requests that
information on behalf of and at the request of the individual who is
the subject of the record.
Release of information to the National Archives and Record
Administration (NARA) and to the General Service Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records in the system are maintained in manual file folders
and on ADP equipment.
Retrievability:
Records will be retrieved by employee name.
Safeguards:
The records in the system will be maintained in facilities which
meet DEA security requirements. Access to the system will be
restricted to DEA employees on a need-to-know basis.
Retention and disposal:
Indefinite.
System manager(s) and address:
Assistant Administrator, Office of Administration, Drug
Enforcement Administration, 1405 I Street, NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to Freedom of Information Section,
Drug Enforcement Administration, 1405 I Street, NW, Washington, DC
20537.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
DEA employees, CTAP Counselors, DEA personnel files.
Systems exempted from certain provisions of the act:
None.
JUSTICE/DEA-027
System name: DEA Employee Profile System (DEPS).
System location:
Drug Enforcement Administration, 1405 I Street, NW, Washington,
DC 20537.
Categories of individuals covered by the system:
DEA employees.
Categories of records in the system:
The following eight categories of information will be maintained
in the system:
1. Personal identification
2. Work experience
3. Language & geographical areas
4. Formal education
5. Special skills
6. Record of training
7. Consideration for vacancies
8. Awards
Authority for maintenance of the system:
This system is maintained to effectively place and assign
employees to positions to further the mandates of the Comprehensive
Drug Abuse Prevention and Control Act of 1970.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records will be used principally by the Personnel Management
Division. Selected data will be forwarded by this personnel section
to the Career Development Board and operational units throughout DEA
for the purpose of:
1. Identifying employees with particular skills or qualifications
for assignment to special projects.
2. Identification of candidates for overseas assignments who have
specific language skills.
3. Insuring that the Career Development Board will be reviewing
the entirety of an applicant's background.
4. Calculating DEA's human resources on hand and to project more
accurately future resource needs and capabilities.
Information from this system will not be disseminated outside of
DEA.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records will be maintained on magnetic tape and a disk
storage device.
Retrievability:
The information in this system can be retrieved by the
individual's name, special skills information, special knowledge
information or by some combination of the above information.
Safeguards:
The records of the system will be maintained at DEA Headquarters
which is protected by twenty-four hour guard service and electronic
surveillance. Access to the building is restricted to DEA employees
and those transacting business within the building who are escorted
by DEA employees. In addition, the area where the tapes and disks are
stored is a secured area and access is restricted to those employees
who have business in the area and those non-DEA people who are
transacting business within the area and escorted by a DEA employee.
Inquiries to the system are only made by the written request of the
Chief, Personnel Management Division.
Retention and disposal:
Records in this system are retained as long as the individual is
employed by DEA.
System manager(s) and address:
Deputy Assistant Administrator, Office of Administration, Drug
Enforcement Administration, 1405 I Street NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to Freedom of Information Section,
Drug Enforcement Administration, 1405 I Street NW, Washington, DC
20537. Inquiries should include inquirer's name, date of birth, and
social security number.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as Notification Procedures
Record source categories:
1. DEA employee
2. Servicing personnel Office
3. The Justice Uniform Personnel System (Juniper).
Systems exempted from certain provisions of the act: None.
JUSTICE/DEA-028
System name: Regional Automated Intelligence Data System
(RAIDS).
System location: Drug Enforcement Administration, 8400 NW 53rd
Street, Miami, Florida 33166.
Categories of individuals covered by the system: Individuals
suspected of illicit narcotic trafficking.
Categories of records in the system: Information extracted from DEA
investigative reports.
Authority for maintenance of the system: The Comprehensive Drug
Abuse Prevention and Control Act of 1970 (Pub. L. 91-513).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information
contained in this system is provided to the following categories of
users as a matter of routine use for law enforcement and regulatory
purposes: (a) Other federal law enforcement and regulatory agencies;
(b) State and local law enforcement and regulatory agencies; (c)
Foreign law enforcement agencies with whom DEA maintains liaison; (d)
The Department of Defense and military departments; (e) The
Department of State; (f) United States intelligence agencies
concerned with drug enforcement; (g) The United Nations; (h) The
International Police Organization (Interpol); and (i) To individuals
and organizations in the course of investigations to elicit
information.
In addition, disclosures are routinely made to the following
categories for the purposes stated: (a) To federal agencies for
national security clearance purposes and to federal and state
regulatory agencies responsible for the licensing or certification of
individuals in the fields of pharmacy and medicine; (b) To the Office
of Management and Budget, upon request, in order to justify the
allocation of resources; (c) To state and local prosecutors for
assistance in preparing cases concerning criminal and regulatory
matters; and (d) To respondents and their attorneys for purposes of
discovery, formal and informal, in the course of an adjudicatory,
rulemaking, or other hearing held pursuant to the Controlled
Substances Act of 1970.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspection conducted under the authority
of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records in the system are maintained on magnetic discs.
Retrievability: Information is retrieved by name of the subject and
by various topical queries.
Safeguards: The system is protected by both physical security and
dissemination and access controls. The system is maintained in a
secure DEA facility and protected by electronic means. Access to the
computer is restricted by the assignment of unique input and query
access codes to authorized DEA employees on a strict need-to-know
basis.
Retention and disposal: Records in the system are currently
maintained indefinitely.
System manager(s) and address: Regional Director, DEA South Eastern
Regional Office, 8400 NW, 53rd Street, Miami, Florida 33166.
Notification procedure: Inquiries should be addressed to: Freedom
of Information Unit, Drug Enforcement Administration, 1405 I Street,
NW, Washington, DC 20537.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Records in the system consist entirely of
information extracted from DEA investigative reports.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c)(3) and (4),
(d), (e), (1), (2), and (3), (e)(4) (G) and (H), (e) (5) and (8),
(f), (g) and (h) of the Privacy Act pursuant to 5 U.S.C. 552a (j) and
(k). Rules have been promulgated in accordance with the requirements
of 5 U.S.C. 553(b), (c) and (e).
JUSTICE/DEA-030
System name: Agent Recruit Assessment Program.
System location:
Drug Enforcement Administration (DEA), 1405 I Street, NW,
Washington, DC 20537.
Categories of individuals covered by the system:
A. Prospective recruits for basic agent classes
B. Basic agent trainees
C. Special Agents
Categories of records in the system:
The system contains information concerning: (1) Scores on
measurement instruments; (2) personality score derivatives; and (3)
job-related factors.
Authority for maintenance of the system:
This system is maintained under DEA's authority to recruit and
train Special Agents to enforce the Comprehensive Drug Abuse
Prevention and Control Act of 1970 (Pub. L. 91-513).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records maintained in this system are utilized only for
internal purposes and no disseminaton outside the Department of
Justice is contemplated.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The automated portion of the records is maintained on an ADP
storage device. Documentary records are maintained in manual file
folders.
Retrievability:
Information relating to an individual is retrieved by name or a
unique identifying number assigned by DEA.
Safeguards:
Access to the system is restricted to DEA personnel on a strict
need-to-know basis. The records are maintained in a secure area at
DEA headquarters, which is protected by guards and electronic means.
Retention and disposal:
The automated portion of the system is maintained for 15 years
and then purged from the data base. Manual records are maintained
indefinitely.
System manager(s) and address:
Assistant Administrator for Enforcement, Drug Enforcement
Administration, 1405 I Street, NW, Washington, DC 20537.
Notification procedure:
Inquiries should be addressed to: Freedom of Information
Division, Drug Enforcement Administration, 1405 I Street, NW,
Washington, DC 20537.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information pertaining to individuals in the system is obtained
from test protocols and allied records or provided by the
individuals.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(d), (e)(4)(G) and (H), and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(6). See 28 CFR 16.98 for exemption regulations.
JUSTICE/DEA-INS-111
System name: Automated Intelligence Records System (Pathfinder).
System location:
U.S. Department of Justice, Drug Enforcement Administration, 1405
Eye Street, NW, Washington, DC 20537 and El Paso Intelligence Center
(EPIC), El Paso, Texas 79902.
Categories of individuals covered by the system:
(1) Those individuals who are known, suspected, or alleged to be
involved in (a) narcotic trafficking, (b) narcotic-arms trafficking,
(c) alien smuggling or transporting, (d) illegally procuring, using,
selling, counterfeiting, reproducing, or altering identification
documents relating to status under the immigration and nationality
laws, (e) terrorist activities (narcotic, arms or alien trafficking/
smuggling related), (f) crewman desertions and stowaways, (g)
arranging or contracting a marriage to defraud the immigration laws;
and (h) facilitating the transportation of narcotics proceeds: (2) In
addition to the categories of individuals listed above, those
individuals who (a) have had citizenship or alien identification
documents put to fraudulent use or have reported them as lost or
stolen, (b)arrive in the United States from a foreign territory by
private aircraft, and (c) are informants or witnesses (including non-
implicated persons) who have pertinent knowledge of some
circumstances or aspect of a case or suspect may be the subject of a
file within this system: and (3) In the course of criminal
investigation and intelligence gathering, DEA and INS may detect
violation of non-drug or non-alien related laws. In the interests of
effective law enforcement, this information is retained in order to
establish patterns of criminal activity and to assist other law
enforcement agencies that are charged with enforcing other segments
of criminal law. Therefore, under certain limited circumstances,
individuals known, suspected, or alleged to be involved in non-
narcotic or non-alien criminal activity may be the subject of a file
maintained within this system.
Categories of records in the system:
In general, this system contains computerized and manual
intelligence information gathered from DEA and INS investigative
records and reports. Specifically, intelligence information is
gathered and collated from the following DEA and INS records and
reports; (1) DEA Reports of Investigation (DEA-6), (2) DEA and INS
Intelligence Reports, (3) INS Air Detail Office Index (I-92A). (4)
INS Operational Activities Special Information System (OASIS). (5)
INS Marine Intelligence Index, (6) INS Fraudulent Document Center
Index, (7) INS Terrorist Index, (8) INS Reports of Investigation and
Apprehension (I-44, I-213, G-166) and (9) U.S. Coast Guard Vessel 408
file. In addition, data is obtained from commercially available
flight plan information concerning individuals known, suspected or
alleged to be involved in criminal smuggling activities using private
aircraft.
Authority for maintenance of the system:
This sytem has been established in order for DEA and INS to carry
out their law enforcement, regulatory, and intelligence functions
mandated by the Comprehensive Drug Abuse Prevention and Control Act
of 1970 (84 Stat. 1236), Reorganization Plan No. 2 of 1973, the
Single Convention on Narcotic Drugs, (18 UST 1407), and sections
103.265, and 290 and Title III of the Immigration and Nationality
Act, as amended (8 U.S.C. 1103, 1305, 1360, 1401 et seq.). Additional
authority is derived from Treaties, Statutes, Executive Orders and
Presidential Proclamations which DEA and INS have been charged with
administering.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This system will be used to produce association and link analysis
reports and such special reports as required by intelligence analysts
of DEA and INS. The system will also be used to provide ``real-time''
responses to queries from Federal, state, and local agencies charged
with border law enforcement responsibilities.
Information from this system will be provided to the following
categories of users for law enforcement and intelligence purposes
provided a legitimate and lawful ``need to know'' is demonstrated:
(a) Other Federal law enforcement agencies, (b) state and local law
enforcement agencies, (c) foreign law enforcement agencies with whom
DEA and INS maintain liaison, (d) U.S. intelligence and military
intelligence agencies involved in border criminal law enforcement,
(e) clerks and judges of courts exercising appropriate jurisdiction
over subject matter maintained within this system, and (f) Department
of State; (g) various Federal, State, and local enforcement
committees and working groups including Congress and senior
Administration officials; (h) The Department of Defense and military
departments; (i) The United Nations; (j) The International Police
Organization (Interpol); (k) to individuals and organizations in the
course of investigations to elicit information; (l) to the Office of
Management and Budget, upon request, in order to justify the
allocation of resources; (m) to respondents and their attorneys for
purposes of discovery, formal and informal, in the course of an
adjudicatory, rulemaking, or other hearing held pursuant to the
Controlled Substances Act of 1970; and (n) in the event there is an
indication of a violation or potential violation of law whether
civil, criminal, regulatory, or administrative in nature, the
relevant information may be referred to the appropriate agency,
whether Federal, state, local or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute or rule,
regulations, or order issued pursuant thereto.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to the NARA and GSA records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual subsets of the Pathfinder Information System are
maintained on standard index cards and manual folders. Standard
security formats are employed. The records are stored on computer at
the DOJ computer center, Washington, DC.
Retrievability:
Access to individual records can be accomplished by reference to
either the manual indices or the automated information system. Access
is achieved by reference to personal identifiers, other data elements
or any combination thereof.
Safeguards:
The Pathfinder System of Records is protected by both physical
security methods and dissemination and access controls. Fundamental
in all cases is that access to intelligence information is limited to
those persons or agencies with a demonstrated and lawful need to know
for the information in order to perform assigned functions.
Physical security when intelligence files are attended is
provided by responsible DEA and INS employees. Physical security when
files are unattended is provided by the secure locking of material in
approved containers or facilities. The selection of containers or
facilities is made in consideration of the sensitivity or National
Security Classification as appropriate, of the files, and the extent
of security guard and/or surveillance afforded by electronic means.
Protection of the automated information system is provided by
physical, procedural, and electronic means. The master file resides
in the DEA Office of Intelligence Secured Computer System and is
physically attended or safe-guarded on a full time basis. Access or
observation to active telecommunications terminals is limited to
those with a demonstrated need to know for retrieval information.
Surrepititious access to an unattended terminal is precluded by a
complex authentication procedure. The procedure is provided only to
authorized DEA and INS employees. Transmission from DEA Headquarters
to El Paso, Texas is accomplished via a dedicated secured line.
An automated log of queries is maintained for each terminal.
Improper procedure results in no access and under certain conditions
completely locks out the terminal pending restoration by the master
controller at DEA Headquarters after appropriate verification.
Unattended terminals are otherwise located in locked facilities after
normal working hours.
The dissemination of intelligence information to an individual
outside the Department of Justice is made in accordance with the
routine uses as described herein and otherwise in accordance with
conditions of disclosure prescribed in the Privacy Act. The need to
know is determined in both cases by DEA and INS as a prerequisite to
the release of information.
Retention and disposal:
Records maintained within this system are retained for fifty-five
(55) years.
System manager(s) and address:
Deputy Assistant Administrator, Office of Intelligence, Drug
Enforcement Administration, 1405 Eye Street, NW, Washington, DC 20537
and Associate Commissioner, Enforcement, Immigration and
Naturalization Service, 425 Eye Street, NW, Washington, DC 20536.
Notification procedure:
Inquiries should be addressed to Freedom of Information Section,
Drug Enforcement Administration, 1405 Eye Street, NW, Washington, DC
20537.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Commercially available flight plan information source;
Confidential informants; DEA intelligence and investigative records/
reports; INS investigative, intelligence and statutory mandated
records/reports; records and reports of other Federal, state and
local agencies; and reports and records of foreign agencies with whom
DEA maintains liaison.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e), (1), (2), and (3), (e)(4)(g), (H) and (I),
(e) (5) and (8), (f), (g), and (h) of the Privacy Act pursuant to 5
U.S.C. 552a(j) and (k). 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.
JUSTICE/DEA-999
DEA Appendix 1--List of record location addresses. Copies of all
or part of any system of records published by the Drug Enforcement
Administration pursuant to 5 U.S.C. 552a may be maintained at the DEA
field offices listed below. However, procedures for processing
inquiries concerning DEA systems of records have been centralized in
DEA Headquarters. Inquiries concerning all DEA systems of records
should be addressed to:
Freedom of Information Section:
Drug Enforcement Administration, 1405 Eye Street, NW,
Washington, DC 20537.
Drug Enforcement Administration Field Offices:
Atlanta Division
Atlanta Division Office, 75 Spring Street, SW, Room 740,
Atlanta, Georgia 30303
Charleston Resident Office, 334 Meeting Street, Room 325,
Charleston, South Carolina 29403
Columbia Resident Office, 1101 Laurel, PO Box 702, Room 204,
Columbia, South Carolina 29202
Columbus Resident Office, PO Box 1565, Columbus, Georgia 31902
Greensboro Resident Office, 2300 W. Meadowview Road, Suite 224,
Greensboro, North Carolina 27407
Knoxville Resident Office, 1111 Northshore Drive, Room 610,
Knoxville, Tennessee 37919
Memphis Resident Office, 167 N. Main Street, 401 Federal
Building, Memphis, Tennessee 38103
Nashville Resident Office, 801 Broadway, A929, Estes Kefauver
Building, FB-USCH, Nashville, Tennessee 37203
Savannah Resident Office, 124 Barnard Street, Room B-220,
Savannah, Georgia 31401
Wilmington Resident Office, 272 Front Street, Suite 423,
Wilmington, North Carolina 28401
Boston Division
Boston Division Office, G-64 JFK Federal Building, Boston,
Massachusetts 02203
Bridgeport Resident Office, 915 Lafayette Boulevard, FB-USCH,
Room 200, Bridgeport, Connecticut 06604
Burlington Resident Office, PO Box 327, Essex Junction, Vermont
05452
Concord Resident Office, 55 Pleasant Street, Federal Building,
PO Box 1314, Concord, New Hampshire 03301
Hartford Resident Office, 450 Main Street, Room 628, Hartford,
Connecticut 06103
Portland Resident Office, 1355 Congress Street, Suite D,
Portland, Maine 04102
Providence Resident Office, 232 John O. Pastore Federal
Building, Exchange Terrace, Providence, Rhode Island 02903
Springfield Resident Office, 1550 Main Street, Room 408,
Springfield, Massachusetts 01103
Chicago Division
Chicago Division Office, 219 Dearborn Street, Chicago, Illinois
60604
Fargo Resident Office, PO Box 1127, Fargo, North Dakota 58107
Hammond Resident Office, 507 State Street, Room 632, Hammond,
Indiana 46320
Indianapolis Resident Office, 575 N. Pennsylvania, Room 290,
Indianapolis, Indiana 46204
Milwaukee Resident Office, 517 E. Wisconsin, 228A FB-USCH,
Milwaukee, Wisconsin 53202
Minneapolis Resident Office, 110 S. 4th Street, 402 Federal
Building, Minneapolis, Minnesota 55401
Springfield Resident Office, 524 S. Second Street, Suite 650,
Springfield, Illinois 62701
Dallas Division
Dallas Division Office, 1880 Regal Row, Dallas, Texas 75235
Fort Worth Resident Office, 501 W. 10th Street, U.S.
Courthouse, Room 506, Fort Worth, Texas 76102
Oklahoma City Resident Office, 200 NW Fifth Street, Federal
Building, Suite 960, Oklahoma City, Oklahoma 73102-3202
Tulas Resident Office, 333 W. Fourth Street, Room 3335, Tulsa,
Oklahoma 74103
El Paso Resident Office, 4110 Rio Bravo, Suite 100, El Paso,
Texas 79902
Alpine Resident Office, PO Box 1282, Alpine, Texas 79830
Lubbock Resident Office, 2345 50th Street, Suite 120, Lubbock,
Texas 79412
Midland, Texas, Post of Duty, 200 E. Wall, Federal Building,
Room 105, Midland, Texas 79701
Tyler, Texas, Post of Duty, 3301 Golden Road No. 5, Tyler,
Texas 75713
Denver Division
Denver Division Office, 316 US Customs House, PO Box 1860,
Denver, Colorado 80201
Cheyenne Resident Office, 2120 Capitol Avenue, 8020 Federal
Center, Cheyenne, Wyoming 82001
Salt Lake City Resident Office, 125 State Street, 8416 Federal
Building, Salt Lake City, Utah 84138
Albuquerque District Office, 5301 Central Avenue NE., 1st
National Bank Building East, Suite 900, Albuquerque, New Mexico 87108
Glenwood Springs Resident Office, 401 23rd Street, Suite 104,
Glenwood Springs, Colorado 81601
Las Cruces Resident Office, PO Box 399, Las Cruces, New Mexico
88004
Detroit Division
Detroit Division Office, 231 W. Lafayette, 357 Federal
Building, Detroit, Michigan 48226
Cincinnati Resident Office, 505 Main Street, 7405 Federal
Office Building, Cincinnati, Ohio 45202
Cleveland Resident Office, 601 Rockwell Avenue, Room 300,
Cleveland, Ohio 44114
Grand Rapids Resident Office, 110 Michigan Avenue, NW, 310 FB-
USCH, Grand Rapids, Michigan 49503
Louisville Resident Office, 600 Federal Place, 1006 Federal
Building, Louisville, Kentucky 40202
Saginaw Resident Office, 100 S. Warren Street, Room 1061,
Federal Building, Saginaw, Michigan 48606
Houston Division
Houston Division Office, 333 West Loop North, Houston, Texas
77024
Corpus Christi Resident Office, 400 Mann Street, PO Box 2443,
Suite 403, Corpus Christi, Texas 78403
Galveston Resident Office, 6000 Broadway, Suite 104, Galveston,
Texas 77550
Beaumont, Texas, Post of Duty, 700 North Street, Suite 102,
Beaumont, Texas 77701-1899
McAllen District Office, 3017 S. 10th Street, McAllen, Texas
78503
Brownsville, Resident Office, 1100 FM 802, Suite, 200,
Brownsville, Texas 78521
Laredo Resident Office, PO Box Drawer 2307, Laredo, Texas 78044
San Antonio Resident Office, 1802 NE Loop 410, 1800 Central
Building, 4th Floor, San Antonio, Texas 78217
Austin Resident Office, 55 N. Interregional Highway, PO Box 8,
Austin, Texas 78767
Eagle Pass Resident Office, 342 Rio Grande, Room 102, Eagle
Pass, Texas 78852
Los Angeles Division
Los Angeles Division Office, 305 S. Figueroa Street, Los
Angeles, California 90071
Guam Resident Office, 238 O'Hara Street, Suite 502C, Agana,
Guam 96910
Honolulu Resident Office, 300 Ala Moana Boulevard, Room 3129,
PO Box 50163, Honolulu, Hawaii 96850
Las Vegas Resident Office, 300 Las Vegas Boulevard South, FB-
USCH, Room 204, PO Box 16023, Las Vegas, Nevada 89101-0023
Reno Resident Office, 4600 Kietzke Lane, 209 Building I, Reno,
Nevada 89502
Riverside Resident Office, 3610 Central Avenue, Room 511, PO
Box 2946, Riverside, California 92516
Santa Ana Resident Office, 34 Civic Center Plaza, PO Box 12609,
Santa Ana, California 92712
Santa Barbara Resident Office, 6445 Calle Real, Suite C,
Goleta, California 93117
Miami Division
Miami Division Office, 8400 NW 53rd Street, Miami, Florida
33166
Ft. Lauderdale Resident Office, 299 E. Broward Boulevard, FB-
USCH, Suite 404, Ft. Lauderdale, Florida 33301
Ft. Myers Resident Office, 2345 Union Street, Suite D, Ft.
Myers, Florida 33902
Gainsville Resident Office, 1717 NE 9th Street, Suite 134, PO
Box 2918, Gainsville, Florida 32601
Jacksonville Resident Office, 4077 Woodcock Drive, Suite 210,
Jacksonville, Florida 32207
Marathon Resident Office, 11400 Overseas Highway, PO Box 1269,
Room 215, Marathon, Florida 33050
Orlando Resident Office, 498 Palm Springs Plaza Drive, Suite
801, Altamonte Springs, Florida 32701
Panama City Resident Office, 410 Jenks Avenue, PO Box 1486,
Panama City, Florida 32402
Tampa Resident Office, 700 Twiggs Street, Suite 400, Tampa,
Florida 33602
Tampa Task Force Airport Detail, 700 Twiggs Street, Suite 400,
Tampa, Florida 33602
West Palm Beach Resident Office, 701 Clematis Street, Room 223,
West Palm Beach, Florida 33401
San Juan District Office, 416 Ponce de Leon Avenue, Chase
Building, Suite 514, Hato Rey, Puerto Rico 00918
Newark Division
Newark Division Office, 970 Broad Street, Federal Office
Building, Room 806, Newark, New Jersey 07102
Atlantic City Resident Office, PO Box AB, Northfield, New
Jersey 08225
Camden, New Jersey Resident Office, c/o DEA, PO Box 428,
Bellmawr, New Jersey 08031
New Orleans Division
1661 Canal Street, Suite 2200, New Orleans, Louisiana 70112
Baton Rouge Resident Office, 4560 North Boulevard, Suite 118,
Baton Rouge, Louisiana 70806
Birmingham Resident Office, 236 Goodwin Crest, Suite 520,
Birmingham, Alabama 35209
Gulfport Mississippi, Post of Duty, PO Box 1387, Gulfport,
Mississippi 39502
Jackson Resident Office, 100 W. Capitol Street, 1501 Federal
Building, Jackson, Mississippi 39269
Little Rock Resident Office, One Union National Plaza, Suite
850, Little Rock, Arkansas 72201
Mobile Resident Office, 2 Office Park, Suite 216, Mobile,
Alabama 36609
Shreveport Resident Office, 8A20A Federal Building, Shreveport,
Louisiana 71101
New York Division
New York Division Office, 555 W. 57th Street, Suite 1900, New
York, New York 10019
Albany Resident Office, Clinton Avenue & North Pearl Street,
746 Leo W. O'Brien Federal Building, Albany, New York 12207
Buffalo Resident Office, 28 Church Street, Suite 300, Buffalo,
New York 14202
Rochester Resident Office, PO Box 14210, Rochester, New York
14614
Long Island Resident Office, One Huntington Quadrangle, Suite
1C-02, Melville, New York 11747
New York DEA Drug Task Force, 555 W. 57th Street, Suite 1700,
New York, New York 10019-2978
JFK Airport Station, PO Box 361, Jamaica, New York 11430
Philadelphia Division
Philadelphia Division Office, 600 Arch Street, Room 10224,
William J. Green Federal Building, Philadelphia, Pennsylvania 19106
Harrisburg Resident Office, PO Box 557, Harrisburg,
Pennsylvania 17108-0557
Pittsburgh Resident Office, 1000 Liberty Avenue, Federal
Building, Room 2306, Pittsburgh Pennsylvania 15222
Wilmington Resident Office, 844 King Street, J. Caleb Boggs
Federal Building, Rms. 5305-5307, Wilmington, Delaware 19801
Phoenix Division
Phoenix Division Office, One N. First Street, Suite 201,
Phoenix, Arizona 85004
Yuma Resident Office, 3150 Winsor Avenue, Suite 202, Yuma,
Arizona 85364
Tucson Resident Office, 2110 E. Airport Drive, Tucson, Arizona
85706
Nogales Resident Office, 3970 Fairway Drive, Nogales, Arizona
85621
San Diego Division
San Diego Division Office, 402 W. 35th Street, National City,
California 92050
Calexico Resident Office, 38 W. 4th Street, PO Box J, Calexico,
California 92231
Tecate Resident Office, Highway 188, PO Box 280, Tecate,
California 92080
San Francisco Division
San Francisco Division Office, 450 Golden Gate Avenue, PO Box
36035, Room 12215, San Francisco, California 94102
Fresno Resident Office, 2202 Monterrey Street Room, 104F,
Fresno, California 93721
Sacramento Resident Office, 2941 Fulton Avenue, PO Box 214556,
Sacramento, California 95821
San Jose Resident Office, 280 S. First Street, Room 2133, San
Jose, California 95113
Seattle Division
Seattle Division Office, 220 W. Mercer, Suite 301, Seattle,
Washington 98119
Anchorage Resident Office, 701 C Street, Anchorage, Alaska
99513
Blaine Resident Office, 170 C Street, PO Box 1680, Blaine,
Washington 98230
Boise Resident Office, 2404 Bank Drive, American Reserve
Building, Suite 212, Boise, Idaho 83705
Eugene Resident Office, 211 E. 7th Avenue, 230 Federal
Building, Eugene, Oregon, 97401
Great Falls Resident Office, 1111 4th Street South, PO Box
2887, Great Falls, Montana 59403
Portland Resident Office, 1220 SW 3rd Avenue, Room 1566,
Portland, Oregon 97204
Spokane Resident Office, 920 W. Riverside, PO Box 1504, USCH,
Spokane, Washington 99201
St. Louis Division
St. Louis Division Office, 120 S. Central Avenue, Suite 200,
St. Louis, Missouri 63105
Cape Girardeau, Missouri, Post of Duty, 339 Broadway, Room 159,
Cape Girardeau, Missouri 63701
Des Moines Resident Office, 210 Walnut Street, PO Box 1784,
USCH, Federal Building, Room 667, Des Moines, Iowa 50309
Kansas City Resident Office, 812 N. 7th Street, Room 206,
Kansas City, Kansas 66101
Omaha Resident Office, 215 N. 17th Street, Federal Building, PO
Box 661, Downtown Station, Omaha, Nebraska 68101
Sioux Falls Resident Office, PO Box 1109, Sioux Falls, South
Dakota 57101
Wichita Resident Office, 1919 Amidon, Suite 218, Wichita,
Kansas 67230
Washington, DC Division
Washington, DC Division Office, 400 Sixth Street SW., Room
2558, Washington, DC 20024
Charleston Resident Office, 22 Capital Street, PO Box 1146,
Charleston, West Virginia 25324
Clarksburg, West Virginia, Post of Duty, 168 W. Main Street, PO
Box 262, Room 502, Clarksburg, West Virginia 26301
Charleston Resident Office, 22 Capital Street, PO Box 1146,
Charleston, West Virginia 25324
Norfolk Resident Office, 200 Granby Mall, Federal Building,
Suite 320, Norfolk, Virginia 23510
Richmond Resident Office, 400 N. 8th Street, PO Box 10150,
Richmond, Virginia 23240
Baltimore District Office, 31 Hopkins Plaza, 955 Federal
Building, Baltimore, Maryland 21201
El Paso Intelligence Division
El Paso Intelligence Division, 2211 E. Missouri, Suite 200, El
Paso, Texas 79903
Laboratories
Special Testing & Research Laboratory, 7704 Old Springhouse
Road, McLean, Virginia 22102-3494
Mid-Atlantic Laboratory, 460 New York Avenue NW, Washington, DC
20537
Northeast Laboratory, 555 W. 57th Street, New York, New York
10019
Southeast Laboratory, 5205 NW 84th Avenue, Miami, Florida 33166
North Central Laboratory, 610 S. Canal Street, Room 500,
Chicago, Illinois 60607
South Central Laboratory, 1880 Regal Row, Dallas, Texas 75235
Southwest Laboratory, PO Box 1536, National City, California
92050
Western Laboratory, 450 Golden Gate Avenue, Box 36075, San
Francisco, California 94102
Other DEA Offices
Aviation Unit
Addison Aviation Facility, DEA/Justice, PO Box 534, Addison,
Texas 75001
Foreign Offices
Ankara, Turkey Country Office, DEA/Justice, American Embassy,
APO New York, New York 09254
Istanbul Resident Office, DEA/Justice, American Consulate
General, APO New York, New York 09380
Athens Greece Country Office, DEA/Justice, American Embassy,
APO New York, New York 09253
Bangkok, Thailand Country Office, DEA/Justice, American
Embassy, APO San Francisco, California 96346
Chiang Mai Resident Office, DEA/Justice, American Embassy, Box
C, APO San Francisco, California 96346
Songkhla Resident Office, DEA/Justice, American Embassy, Box S,
APO San Francisco, California 96346
Bern, Switzerland County Office, DEA/Justice, American Embassy,
Department of State Pouch Mail 20520
Bogota, Colombia Country Office, DEA/Justice, American Embassy,
APO Miami, Florida 34038
Barranquilla Resident Office, DEA/Justice, American Embassy,
APO Miami, Florida 34038
Cali Resident Office, DEA/Justice, American Embassy, APO Miami,
Florida 34038
Medellin Resident Office, DEA/Justice, American Embassy, APO
Miami, Florida 34038
Bonn, W. Germany Country Office, DEA/Justice, American Embassy,
Box 290, APO New York, New York 09080
Frankfurt Resident Office, DEA/Justice, American Consulate
General, APO New York, New York 09213
Brasilia, Brazil Country Office, DEA/Justice, American Embassy,
APO Miami, Florida 34030
Sao Paulo Resident Office, c/o Brasilia Country Office, APO
Miami, Florida 34030
Brussels, Belgium Country Office, DEA/Justice, American
Embassy, APO New York, New York 09667
Buenos Aires, Argentina Country Office, DEA/Justice, American
Embassy, APO Miami, Florida 34034
Cairo, Egypt Country Office, DEA/Justice, American Embassy, Box
10, FPO New York, New York 09527
Caracas, Venezuela Country Office, DEA/Justice, American
Embassy, APO Miami, Florida 34037
Copenhagen, Denmark Country Office, DEA/Justice, American
Embassy, APO New York, New York 09170
Caracao, Netherlands Antilles Country Office, DEA/Justice, c/o
U.S. Consulate General, Department of State Pouch Mail 20520
Guatemala City, Guatemala Country Office, DEA/Justice, American
Embassy, APO Miami, Florida 34024
Hong Kong Country Office, DEA/Justice, American Consulate
General, Box 30, FPO San Francisco, California 96659
Islamabad, Pakistan Country Office, DEA/Justice, Department of
State, Pouch Mail 20520
Karachi Resident Office, DEA/Justice, Department of State,
Pouch Mail 20520
Lahore Resident Office, DEA/Justice, Department of State, Pouch
Mail 20520
Peshawar Resident Office, DEA/Justice, Department of State,
Pouch Mail 20520
Jakarta, Indonesia Country Office, DEA/Justice, Department of
State, Pouch Mail 20520
Kingston, Jamaica Country Office, DEA/Justice, Department of
State, Pouch Mail 20520
Kuala Lumpur, Malaysia Country Office, DEA/Justice, Department
of State, Pouch Mail 20520
La Paz, Bolivia Country Office, DEA/Justice, American Embassy,
APO Miami, Florida 34032
Santa Cruz Resident Office, c/o La Paz, Bolivia Country Office,
APO Miami, Florida 34032
Lagos, Nigeria Country Office, DEA/Justice, Department of
State, Pouch Mail 20520
Cochabamba Resident Office, c/o La Paz, Bolivia Country Office,
APO Miami, Florida 34032
Lima, Peru Country Office, DEA/Justice, American Embassy, APO
Miami, Florida 34031
London, England Country Office, DEA/Justice, American Embassy,
Box 40, FPO New York, New York 09510
Madrid, Spain Country Office, DEA/Justice, American Embassy,
APO New York, New York 09285
Manila, Philippines Country Office, DEA/Justice, American
Embassy, APO San Francisco, California 96528
Mexico City, Mexico Country Office, DEA/Justice, PO Box 3087,
Laredo, Texas 78041
Guadalajara Resident Office, DEA/Justice, PO Box 3088, Laredo,
Texas 78041
Hermosillo Resident Office, PO Box 1090, Nogales, Arizona 85621
Mazatlan Resident Office, DEA/Justice, Department of State,
Pouch Mail 20520
Merida Resident Office, DEA/Justice, American Consulate, PO Box
3087, Laredo, Texas 78044
Monterrey Resident Office, DEA/Justice, American Consulate, PO
Box 3098, Laredo, Texas 78040
Nassau, Bahamas Country Office, DEA/Justice, PO Box N8197,
Department of State, Pouch Mail 20520
New Delhi, India Country Office, DEA/Justice, American
Consulate, Department of State, Pouch Mail 20520
Nicosia, Cypress Country Office, DEA/Justice, American Embassy,
FPO New York, New York 09530
Ottawa Country Office, 100 Wellington Street, DEA/Justice,
American Embassy, Ottawa, Ontario, Canada KIP-5T1
Montreal Resident Office, DEA/Justice, PO Box 65, Postal
Station, Desjardins, Montreal, American Consulate General, Montreal,
Quebec, Canada HSB 161
Panama City, Panama Country Office, DEA/Justice, American
Embassy, Box E, APO Miami, Florida 34002
Paris, France Country Office, DEA/Justice, American Embassy,
APO New York, New York 09777
Marseilles Resident Office, DEA/Justice, American Embassy, APO
New York, New York 09777
Quito, Ecuador Country Office, DEA/Justice, American Embassy,
APO Miami, Florida 34039
Guayaquil Resident Office, DEA/Justice, U.S. Consulate, APO
Miami, Florida 34039
Rome, Italy Country Office, DEA/Justice, American Embassy, APO
New York, New York 09794-0007
Milan Resident Office, DEA/Justice, American Embassy, Box M,
APO New York, New York 09794
San Jose, Costa Rica Country Office, DEA/Justice, American
Embassy, APO Miami, Florida 34020
Santiago, Chile Country Office, DEA/Justice, American Embassy,
APO Miami, Florida 34033
Santo Domingo, Dominican Republic Country Office, DEA/Justice,
American Embassy, APO Miami, Florida 34041
Seoul, Korea Country Office, DEA/Justice, American Embassy, APO
San Francisco, California 96301
Singapore Country Office, DEA/Justice, American Embassy, FPO
San Francisco, California 96699-0001
The Hague, Netherlands Country Office, DEA/Justice, American
Embassy, APO New York, New York 09159
Tokyo, Japan Country Office, DEA/Justice, American Embassy, APO
San Francisco, California 96503
Vienna, Austria Country Office, DEA/Justice, American Embassy,
APO New York, New York 09108
DEPARTMENT OF JUSTICE
Executive Office for Immigration Review
JUSTICE/EOIR-001
System name:
Records and Management Information System (JUSTICE/EOIR-001).
System location:
Executive Office for Immigration Review, Department of Justice,
5107 Leesburg Pike, Suite 2400, Falls Church, Virginia 22041. The
system is also located in EOIR field offices (see appendix identified
as JUSTICE/EOIR-999).
Categories of individuals covered by the system:
This system contains case-related information pertaining to
aliens and alleged aliens brought into the immigration hearing
process, including certain aliens previously or subsequently admitted
for lawful permanent residence.
Categories of records in the system:
This system includes the name, file number, address and
nationality of aliens and alleged aliens, decision memoranda,
investigatory reports and materials compiled for the purpose of
enforcing immigration laws, exhibits, transcripts, and other case-
related papers concerning aliens, alleged aliens or lawful permanent
residents brought into the administrative adjudication process.
Authority for maintenance of the system:
This system is established and maintained under the authority
granted the Attorney General pursuant to 44 U.S.C. 3101 and 3103 and
to fulfill the legislative mandate under 8 U.S.C. 1103, 1226 and
1252. Such authority has been delegated to EOIR by 8 CFR part 3.
Purpose(s):
Information in this system serves as the official record of
immigration proceedings. EOIR employees use the information to
prepare, process and track the proceedings. The information is
further used to generate statistical reports and various documents,
i.e., hearing calendars and administrative orders.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information may be disseminated to the Department of State;
Federal courts; Members of Congress; the alien or alleged alien's
representative or attorney of record; and, to Federal, State and
local agencies. Information is disseminated to the Department of
State, pursuant to 8 CFR 208.11, to allow its preparation of advisory
opinions regarding applications for political asylum; to the Federal
courts to enable their review of EOIR administrative decisions on
appeal; to Members of Congress to respond to constituent inquiries;
and, to the representative or attorney of record to ensure fair
representation. Finally, in any claim in which there is an indication
of a violation or potential violation of law, whether civil, criminal
or regulatory in nature, information, including investigatory
information, may be disseminated to the appropriate Federal, State or
local agency charged with the responsibility of investigating or
prosecuting such violation or with enforcing or implementing such
law.
Relevant information contained in this system of records may also
be released 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Release of information to the news media and the public:
Information permitted to be released to the news media and the public
pursuant to 28 CFR 50.2 may be made available from systems of records
maintained by the Department of Justice unless it is determined that
release of the specific information in the context of a particular
matter would constitute an unwarranted invasion of personal privacy.
Release of information to Members of Congress: Information
contained in the system, not otherwise required to be released
pursuant to 5 U.S.C. 552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from the system of records may be disclosed
to the National Archives and Records Administration (NARA) for
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders which are stored in file
cabinets. A subset of the records is maintained on fixed disks or
removable disk packs which are stored in file cabinets. All records
are stored in secured EOIR office space.
Retrievability:
Manual records are indexed by alien file number. Automated
records are retrievable by a variety of identifying data elements
including, but not limited to, alien file number, alien name and
nationality.
Safeguards:
Information maintained in the system is safeguarded in accordance
with Department of Justice rules and procedures. Record files are
maintained in file cabinets accessible only to EOIR employees.
Automated information is stored on either fixed disks or removable
disk packs which are stored in cabinets. Only EOIR employees in
possession of specific access codes and passwords will be able to
access automated information. All manual and automated records and
mediums are located in EOIR office space accessible only to EOIR
employees and locked during off-duty hours.
Retention and disposal:
Record files are retained for six months after the final
disposition of the case, then forwarded to regional Federal Records
Centers. Automated records are maintained in EOIR field office data,
bases for ninety days after final disposition, then transferred to
the host computer at EOIR headquarters and retained indefinitely.
System manager(s) and address:
General Counsel, Executive Office for Immigration Review, U.S.
Department of Justice, 5107 Leesburg Pike, Suite 2400, Falls Church,
Virginia 22041.
Notification procedure:
Address all inquiries to the system manager listed above.
Record access procedures:
Portions of this system are exempt from disclosure and contest by
5 U.S.C. 552a (k)(1) and (k)(2). Make all request for access to those
portions not so exempted by writing to the system manager identified
above. Clearly mark the envelope and letter ``Privacy Access
Requests'': provide the full name and notarized signature to the
individual who is the subject of the record, his/her date and place
of birth, or any other identifying number or information which may
assist in locating the record; and, a return address.
Contesting record procedure:
Direct all requests to contest or amend information maintained to
the system manager listed above. State clearly and concisely what
information is being contested, the reason for contesting it, and the
proposed amendment to the information.
Record source categories:
Department of Justice offices and employees, primarily those of
the Immigration and Naturalization Service; the Department of State
and other Federal, State and local agencies; and the parties to
immigration proceedings and their witnesses.
Systems exempted from certain provisions of the act:
The Attorney General has exempted certain records of this system
from the access provisions of the Privacy Act (5 U.S.C. 552a(d))
pursuant to 5 U.S.C. 552a (k)(1) and (k)(2). Rules have promulgated
in accordance with the requirements of 5 U.S.C. 553 (b), (c) and (e)
and have been published in the Federal Register.
JUSTICE/EOIR-003
System name:
Practitioner Complaint/Disciplinary Files.
System location:
United States Department of Justice (DOJ), Executive Office for
Immigration Review (EOIR), 5107 Leesburg Pike, Suite 2400, Falls
Church, VA 22041; and at EOIR field offices as detailed in Justice/
EOIR-999, most recently published April 13, 1999 at 64 FR 18051.
Categories of individuals covered by the system:
Attorneys and authorized representatives, as defined under 8 CFR
292.1, who have been subject to disciplinary complaints filed with,
or received by, EOIR, including complaints from any source
whatsoever; complaints who file complaints against such attorneys and
authorized representatives.
Categories of records in the system:
The system contains the following categories of records:
Complaints filed by any person or organization; records of state
disciplinary authority proceedings; criminal conviction records;
investigatory records, including preliminary inquiry reports;
communications with individuals and/or outside agencies concerning
disciplinary investigations and proceedings; interagency
communications; copies of Notices of Intent to Discipline (NID) filed
by EOIR and/or the Immigration and Naturalization Service (INS),
together with supporting documentation; disciplinary proceeding
transcripts; and settlement agreements and other dispositions,
including administrative disciplinary decisions.
Authority for maintenance of the system:
Sec. 292 of the Immigration and Nationality Act, as amended at 8
U.S.C. 1362 and 8 CFR part 3.
Purpose(s):
Information in the system is used by the office of the General
Counsel, EOIR, in conducting disciplinary investigations and
instituting disciplinary proceedings against immigration
practitioners. The records are used in, and provide documentation of,
among other things, disciplinary investigations and formal
proceedings instituted by EOIR. The information may be further used
to generate statistical reports and various administrative records,
including docket printouts.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
EOIR may disclose relevant information as follows:
(1) To Federal or state agencies as required by law;
(2) In any proceeding before an adjudicative body before which
DOJ, or any DOJ component or subdivision thereof, is authorized to
appear and when any of the following is a party to litigation or has
an interest in litigation and such records are determined by DOJ, or
any component or subdivision thereof, to be arguably relevant to the
litigation: DOJ or any DOJ components thereof; any DOJ employee in
his/her official capacity; any DOJ employee in his/her individual
capacity where DOJ has agreed to represent the employee; or the
United States where DOJ, or any DOJ component thereof, determines
that litigation is likely to affect it or any of its subdivisions;
(3) To an actual or potential party, including an immigration
practitioner, or to his or her attorney of record, for the purpose of
negotiation or discussion on such matters as settlement of a case or
matter, conducting informal discovery proceedings involving records
in this system, or to otherwise ensure fair representation;
(4) To complainants who file disciplinary complaints, or to their
counsel of record;
(5) To Federal, state, and local authorities, including, but not
limited to, state bar grievance committees and other attorney
discipline authorities for possible disbarment or disciplinary
proceedings;
(6) In any disciplinary complaint in which there is an indication
of a violation or potential violation of law, whether civil,
criminal, or regulatory in nature, information, including
investigatory information, may be disseminated to the appropriate
agency (including any Federal, state, local, foreign, or tribal
authority) charged with the responsibility of investigating or
prosecuting such violation or with enforcing or implementing such
law;
(7) To Members of Congress or their staff acting upon the
Member's behalf where 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 any Federal agency or to any individual or organization
for the purpose of performing audit or oversight operations of DOJ
and to meet related reporting requirements;
(9) To the new 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; and
(10) To the National Archives and Records Administration (NARA)
in records management inspections that may be conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders which are stored in filing
cabinets. A subset of records are maintained on fixed magnetic disks
or removable diskettes which are stored in filing cabinets. All
records are stored in secured EOIR office space.
Retrievability:
Records are retrieved by name and/or docket number of the
individual who is subject to the disciplinary proceeding.
Safeguards:
Information maintained in the system is safeguarded in accordance
with DOJ rules and procedures. Record files are maintained in file
cabinets accessible only to EOIR employees. Automated information is
stored on either fixed disks or removable diskette packs which are
stored in filing cabinets or computers which may be accessed only
through the use of passwords and/or name identifications issued to
authorized EOIR employees. All manual and automated mediums are
located in EOIR office space accessible only to EOIR employees and
locked during off-duty hours.
Retention and disposal:
Record files are maintained for six months after final
disposition of the case, then forwarded to regional Federal Records
Centers. Automated records are maintained at EOIR headquarters
indefinitely.
System manager(s) and address:
Director, Executive Office for Immigration Review (EOIR), 5107
Leesburg Pike, Suite 2400, Falls Church, VA 22041.
Notification procedure:
Same as Records Access Procedures.
Record access procedures:
Portions of this system may be exempt from disclosure and contest
pursuant to 5 U.S.C. 552a(k)(1) and (k)(2). Any individual desiring
to contest or amend information not subject to exemption must direct
his/her request to the system manager noted above. In all cases,
requests for access to a record shall be made in writing. Written
requests may be submitted by mail or in person. Clearly mark the
envelope and letter ``Privacy Access Request'' and provide the full
name and notarized signature of the individual who is the subject of
the record and any other identifying number or information that may
assist in locating the record in accordance with 28 CFR 16.41(d), and
a return address.
Contesting record procedure:
Direct all requests to contest or amend information maintained in
the system to the system manager listed above in the manner described
above in Records Access Procedures. State clearly and concisely what
information is being contested, the reasons for contesting it, and
the proposed amendment to the information.
Record source categories:
Law enforcement agencies, Federal and state courts, state bar
licensing authorities, state bar grievance and/or disciplinary
agencies, immigration practitioners responses during disciplinary
proceedings, and inquiries and/or complaints from witnesses or
members of the general public, including supporting documentation.
Systems exempted from certain provisions of the act:
The Attorney General has proposed to exempt certain records of
this system from the access provisions of the Privacy Act (5 U.S.C.
552a(d)), pursuant to 5 U.S.C. 552a(k)(1) and (k)(2). Rules have been
proposed in accordance with the requirements of 5 U.S.C. 553 (b),
(c), and (e), and have been published as of this date in the Federal
Register.
JUSTICE/EOIR-999
System name: Appendix to Executive Office for Immigration
Review System of Records.
EOIR field offices are located as follows:
Executive Office for Immigration Review, Immigration
Court, 901 N. Stuart Street, Suite 1300, Arlington, VA
22203
Executive Office for Immigration Review, Immigration
Court, Martin Luther, King Jr. Federal Bldg., 77
Forsyth Street, Room 112, Atlanta, GA 30303
Executive Office for Immigration Review, Immigration
Court, US Appraisers Bldg., 103 S. Gay Street, Room
702, Baltimore, MD 21202
Executive Office for Immigration Review, Immigration
Court, 7850 Metro Parkway, Suite 320, Bloomington, MN
55425
Executive Office for Immigration Review, Immigration
Court, JFK Federal Bldg., 15 New Sudbury Street, Room
320, Boston, MA 02203
Executive Office for Immigration Review, Immigration
Court, 515 11th Street W., 3rd Floor, Bradenton, FL
34205
Executive Office for Immigration Review, Immigration
Court, 130 Delaware Avenue, Suite 410, Buffalo, NY
14202
Executive Office for Immigration Review, Immigration
Court, Federal Bldg., 55 E. Monroe Street, Suite 1900,
Chicago, IL 60603
Executive Office for Immigration Review, Immigration
Court, 1200 Main Street, Suite 700, Dallas, TX 75202.
Executive Office for Immigration Review, Immigration
Court, Byron G. Rogers Federal Bldg., 1961 Stout
Street, Room 1403, Denver, CO 80294
Executive Office for Immigration Review, Immigration
Court, Brewery Park II, 1155 Brewery Park Blvd., Suite
450, Detroit, MI 48207
Executive Office for Immigration Review, Immigration
Court, 625 Evans Street, Room 148A, Elizabeth, NJ 07201
Executive Office for Immigration Review, Immigration
Court, 1545 Hawkins Blvd., Suite 205, El Paso, TX 79925
Federal Detention Center, 1705 E. Hanna Road, Suite
366, Eloy, AZ 85232
Executive Office for Immigration Review, Immigration
Court, 3260 N. Pinal Parkway Avenue, Florence, AZ 85232
Executive Office for Immigration Review, Immigration
Court, GSA Center, 651 Federal Dr., Suite 111-14,
Guaynabo, San Juan, PR 00965
Executive Office for Immigration Review, Immigration
Court, 201 E. Jackson Street, Harlingen, TX 78550
Executive Office for Immigration Review, Immigration
Court, AA Ribicoff Federal Bldg. and Courthouse, 450
Main Street, Room 509, Hartford, CT 06103-3015
Executive Office for Immigration Review, Immigration
Court, PJKK Federal Bldg., 300 Ala Moanu Blvd., Room 8-
112, Honolulu, HI 96850
Executive Office for Immigration Review, Immigration
Court, 2320 La Branch Street, Room 2235, Houston, TX
77004
Executive Office for Immigration Review, Immigration
Court, 2409 La Brucherie Road, Imperial, CA 92251
Krome North Processing Center, 18201 SW 12th Street,
Miami, FL 33194
Laredo Service Processing Center, PO Box 440110,
Laredo, TX 78044-0110
Executive Office for Immigration Review, Immigration
Court, Mira Loma Facility, 45100 N. 60th Street West,
Lancaster, CA 93536
Executive Office for Immigration Review, Immigration
Court, Pacific Enterprise Plaza, 3365 Pepper Lane,
Suite 200, Las Vegas, NV 89120
Executive Office for Immigration Review, Immigration
Court, 606 S. Olive Street, Suite 1500, Los Angeles, CA
90014
Port Isabel Processing Center, Route 3, Box 341, Bldg.
37, Los Fresnos, TX 78566
Executive Office for Immigration Review, Immigration
Court, Clifton B. Davis Federal Bldg., 167 N. Main
Street, Room 1026, Memphis, TN 38103
Executive Office for Immigration Review, Immigration
Court, 155 S. Miami Avenue, Room 800, Miami, FL 33130
Ulster Correctional Facility, Berme Road, Napanoch, NY
12458
Executive Office for Immigration Review, Immigration
Court, 970 Broad Street, Room 1135, Newark, NJ 07102
Executive Office for Immigration Review, Immigration
Court, One Canal Place, 365 Canal Street, Suite 2450,
New Orleans, LA 70130
Executive Office for Immigration Review, Immigration
Court, 26 Federal Plaza, Suite 1000, New York, NY 10278
Executive Office for Immigration Review, Immigration
Court, 1900 E. Whatley Road, Oakdale, LA 71463
Executive Office for Immigration Review, Immigration
Court, 5449 South Semoran Blvd., Suite 200, Orlando, FL
32803
Executive Office for Immigration Review, Immigration
Court, 1600 Callowhill Street, Room 400, Philadelphia,
PA 19130
Executive Office for Immigration Review, Immigration
Court, Federal Bldg., 200 E Mitchell Dr., Suite 200,
Phoenix, AZ 85102
Executive Office for Immigration Review, Immigration
Court, U.S. Post Office/Courthouse Bldg., 615 E.
Houston Street, Room 598, San Antonio, TX 78205-2040
Executive Office for Immigration Review, Immigration
Court, 401 West A Street, Suite 800, San Diego, CA
92101-7904
Executive Office for Immigration Review, Immigration
Court, 550 Kearny Street, Suite 800, San Francisco, CA
94108
INS San Pedro Service Processing Center, 2001 Seaside
Avenue, Room 136, San Pedro, CA 90731
Executive Office for Immigration Review, Immigration
Court, Key Tower Bldg., 1000 Second Avenue, Suite 3150,
Seattle, WA 98104
Executive Office for Immigration Review, Immigration
Court, 160 N. Stone Avenue, Suite 300, Tucson, AZ
85701-1502
Executive Office for Immigration Review, Immigration
Court, 201 Varick Street, Room 1140, New York, NY 10014
Executive Office for Immigration Review, Immigration
Court, 3434 Concord Road, York, PA 17402
DEPARTMENT OF JUSTICE
Federal Bureau of Investigation
JUSTICE/FBI-BRU
System name:
Blanket Routine Uses (BRU) Applicable to More Than One FBI
Privacy Act System of Records.
APPLICABILITY:
The following routine uses describe those types of disclosures
which are common to more than one FBI Privacy Act system of records
and which the FBI is establishing as ``blanket'' routine uses. Unless
this or other published notice expressly provides otherwise, these
blanket routine uses shall apply, without need of further
implementation, to every existing FBI Privacy Act system of records
and to all FBI systems of records created or modified hereafter.
These blanket routine uses supplement but do not replace any routine
uses that are separately published in the notices of individual
record systems to which the blanket routine uses apply.
Routine uses of records maintained in the FBI, including categories
of users and the purposes of such uses:
System records may be disclosed to the following persons or
entities under the circumstances or for the purposes described below,
to the extent such disclosures are compatible with the purpose for
which the information was collected. (These routine uses are not
meant to be mutually exclusive and may overlap in some cases.)
BRU-1. Violations of Law, Regulation, Rule, Order, or Contract.
If any system record, on its face or in conjunction with other
information, indicates a violation or potential violation of law
(whether civil or criminal), regulation, rule, order, or contract,
the pertinent record may be disclosed to the appropriate entity
(whether federal, state, local, joint, tribal, foreign, or
international), that is charged with the responsibility of
investigating, prosecuting, and/or enforcing such law, regulation,
rule, order, or contract.
BRU-2. Non-FBI Employees. To contractors, grantees, experts,
consultants, students, or other performing or working on a contract,
service, grant, cooperative agreement, or other assignment for the
Federal Government, when necessary to accomplish an agency function.
BRU-3. Appropriate Disclosures to the Public. To the news media
or members of the general public in furtherance of a legitimate law
enforcement or public safety function as determined by the FBI, e.g.,
to assist in locating fugitives; to provide notifications of arrests;
to provide alerts, assessments, or similar information on potential
threats to life, health, or property; or to keep the public
appropriately informed of other law enforcement or FBI matters or
other matters of legitimate public interest where disclosure could
not reasonably be expected to constitute an unwarranted invasion of
personal privacy. (The availability of information in pending
criminal or civil cases will be governed by the provisions of 28 CFR
50.2.)
BRU-4. Courts or Adjudicative Bodies. To a court or adjudicative
body, in matters in which (a) the FBI or any FBI employee in his or
her official capacity, (b) any FBI employee in his or her individual
capacity where the Department of Justice has agreed to represent the
employee, or (c) the United States, is or could be a party to the
litigation, is likely to be affected by the litigation, or has an
official interest in the litigation, and disclosure of system records
has been determined by the FBI to be arguably relevant to the
litigation. Similar disclosures may be made in analogous situations
related to assistance provided to the Federal Government by non-FBI
employees (see BRU-2).
BRU-5. Parties. To an actual or potential party or his or her
attorney for the purpose of negotiating or discussing such matters as
settlement of the case or matter, or informal discovery proceedings,
in matters in which the FBI has an official interest and in which the
FBI determines records in the system to be arguably relevant.
BRU-6. As Mandated by Law. To such recipients and under such
circumstances and procedures as are mandated by Federal statute or
treaty.
BRU-7. Members of Congress. To a Member of Congress or a person
on his or her staff acting on the Member's behalf when the request is
made on behalf and at the request of the individual who is the
subject of the record.
BRU-8. NARA/GSA Records Management. To the National Archives and
Records Administration and the General Services Administration for
records management inspections and such other purposes conducted
under
[[Page 33560]]
the authority of 44 U.S.C. 2904 and 2906.
BRU-9. Auditors. To any agency, organization, or individual for
the purposes of performing authorized audit or oversight operations
of the FBI and meeting related reporting requirements.
BRU-10. Former Employees. The DOJ 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. (Such disclosures will be effected under procedures
established in title 28, Code of Federal Regulations, sections
16.300-301 and DOJ Order 2710.8C, including any future revisions.)
FBI RECORDS SYSTEMS TO WHICH THESE BLANKET ROUTINE USES DO NOT
APPLY:
These blanket routine uses shall not apply to the following FBI
Privacy Act systems of records (to which shall apply only those
routine uses established in the records system notice for the
particular system):
JUSTICE/FBI-017, National DNA Index System (NDIS) (last published
in the Federal Register on July 18, 1996, at 61 FR 37495); and
JUSTICE/FBI-018, National Instant Criminal Background Check
System (NICS) (last published in the Federal Register on November 25,
1998, at 63 FR 65,223).
JUSTICE/FBI 001
System name:
National Crime Information Center (NCIC).
System location:
Federal Bureau of Investigation, Criminal Justice Information
Services (CJIS) Division, 1000 Custer Hollow Road, Clarksburg, WV
26306.
Categories of individuals covered by the system:
A. Wanted Persons:
1. Individuals for whom federal warrants are outstanding.
2. Individuals who have committed or have been identified with an
offense which is classified as a felony or serious misdemeanor under
the existing penal statutes of the jurisdiction originating the entry
and for whom a felony or misdemeanor warrant has been issued with
respect to the offense which was the basis of the entry. Probation
and parole violators meeting the foregoing criteria.
3. A ``Temporary Felony Want'' may be entered when a law
enforcement agency has need to take prompt action to establish a
``want'' entry for the apprehension of a person who has committed, or
the officer has reasonable grounds to believe has committed, a felony
and who may seek refuge by fleeing across jurisdictional boundaries
and circumstances preclude the immediate procurement of a felony
warrant. A ``Temporary Felony Want'' shall be specifically identified
as such and subject to verification and support by a proper warrant
within 48 hours following the entry of a temporary want. The agency
originating the ``Temporary Felony Want'' shall be responsible for
subsequent verification or re-entry of a permanent want.
4. Juveniles who have been adjudicated delinquent and who have
escaped or absconded from custody, even though no arrest warrants
were issued. Juveniles who have been charged with the commission of a
delinquent act that would be a crime if committed by an adult, and
who have fled from the state where the act was committed.
5. Individuals who have committed or have been identified with an
offense committed in a foreign country, which would be a felony if
committed in the United States, and for whom a warrant of arrest is
outstanding and for which act an extradition treaty exists between
the United States and that country.
6. Individuals who have committed or have been identified with an
offense committed in Canada and for whom a Canada-Wide Warrant has
been issued which meets the requirements of the Canada-U.S.
Extradition Treaty, 18 U.S.C. 3184.
B. Individuals who have been charged with serious and/or
significant offenses:
1. Individuals who have been fingerprinted and whose criminal
history record information has been obtained.
2. Violent Felons: Persons with three or more convictions for a
violent felony or serious drug offense as defined by 18 U.S.C.
924(e).
C. Missing Persons:
1. A person of any age who is missing and who is under proven
physical/mental disability or is senile, thereby subjecting that
person or others to personal and immediate danger.
2. A person of any age who is missing under circumstances
indicating that the disappearance was not voluntary.
3. A person of any age who is missing under circumstances
indicating that that person's physical safety may be in danger.
4. A person of any age who is missing after a catastrophe.
5. A person who is missing and declared unemancipated as defined
by the laws of the person's state of residence and does not meet any
of the entry criteria set forth in 1-4 above.
D. Individuals designed by the U.S. Secret Service as posing a
potential danger to the President and/or other authorized protectees.
E. Members of Violent Criminal Gangs: Individuals about whom
investigation has developed sufficient information to establish
membership in a particular violent criminal gang by either:
1. Self admission at the time of arrest or incarceration, or
2. Any two of the following criteria:
a. Identified as a gang member by a reliable informant;
b. Identified as a gang member by an informant whose information
has been corroborated;
c. Frequents a gang's area, associates with known members, and/or
affects gang dress, tattoos, or hand signals;
d. Has been arrested multiple times with known gang members for
offenses consistent with gang activity; or
e. Self admission (other than at the time of arrest or
incarceration).
F. Members of Terrorist Organizations: Individuals about whom
investigation has developed sufficient information to establish
membership in a particular terrorist organization using the same
criteria listed above in paragraph E, items 1 and 2 a-e, as they
apply to members of terrorist organizations rather than members of
violent criminal gangs.
G. Unidentified Persons:
1. Any unidentified deceased person.
2. Any person who is living, but whose identify has not been
ascertained (e.g., infant, amnesia victim).
3. Any unidentified catastrophe victim.
4. Body parts when a body has been dismembered.
Categories of records in the system:
A. Stolen Vehicle File:
1. Stolen vehicles.
2. Vehicles wanted in conjunction with felonies or serious
misdemeanors.
3. Stolen vehicle parts including certificates of origin or
title.
B. Stolen License Plate File.
C. Stolen Boat File.
D. Stolen Gun File:
1. Stolen guns.
2. Recovered guns, when ownership of which has not been
established.
E. Stolen Article File.
F. Securities File:
1. Serially numbered stolen, embezzled, or counterfeited
securities.
2. ``Securities'' for present purposes of this file are currency
(e.g., bills, bank notes) and those documents or certificates which
generally are considered to be evidence of debt (e.g., bonds,
debentures, notes) or ownership of property (e.g., common stock,
preferred stock), and documents which represent subscription rights,
warrants and which are of the types traded in the securities
exchanges in the United States, except for commodities futures. Also
included are warehouse receipts, travelers checks and money orders.
G. Wanted Person File: Described in ``Categories of individuals
covered by the system: A. Wanted Persons, 1-4.''
H. Foreign Fugitive File: Identification data regarding persons
who are fugitives from foreign countries, who are described in
``Categories of individuals covered by the system: A. Wanted
Persons, 5 and 6.''
I. Interstate Identification Index File: A cooperative federal-
state program for the interstate exchange of criminal history record
information for the purpose of facilitating the interstate exchange
of such information among criminal justice agencies: Described in
``Categories of individuals covered by the system: B. 1.''
J. Identification records regarding persons enrolled in the
United States Marshals Service Witness Security Program who have been
charged with serious and/or significant offenses. Described in
``Categories of individuals covered by the system: B.''
K. Bureau of Alcohol, Tobacco, and Firearms (BATF) Violent Felon
File: Described in ``Categories of individuals covered by the system:
B.2.''
L. Missing Person File: Described in ``Categories of individuals
covered by the system: C. Missing Persons.''
M. U.S. Secret Service Protective File: Described in ``Categories
of individuals covered by the system: D.''
N. Violent Criminal Gang File: A cooperative federal-state
program for the interstate exchange of criminal gang information. For
the purpose of this file, a ``gang'' is defined as a group of three
or more persons with a common interest, bond, or activity
characterized by criminal delinquent conduct. Described in
``Categories of individuals covered by the system: E. Members of
Violent Criminal Gangs.''
O. Terrorist File: A cooperative federal-state program for the
exchange of information about terrorist organizations and
individuals. For the purposes of this file, ``terrorism'' is defined
as activities that involve violent acts or acts dangerous to human
life that are a violation of the criminal laws of the United States
or any state or would be a criminal violation if committed within the
jurisdiction of the United States or any states, which appear to be
intended to:
1. Intimidate or coerce a civilian population,
2. Influence the policy of a government by intimidation or
coercion, or
3. Affect the conduct of a government by crimes or kidnaping.
Described in ``Categories of individuals covered by the system: F.
Members of Terrorist Organizations.''
P. Unidentified Person File: Described in ``Categories of
individuals covered by the system: G. Unidentified Persons.''
Authority for maintenance of the system:
The system is established and maintained in accordance with 28
U.S.C. 534; 28 CFR part 20; Department of Justice Appropriation Act,
1973, Pub. L. 92-544, 86 Stat. 1115; Securities Acts Amendment of
1975, Pub. L. 94-29, 89 Stat. 97; and 18 U.S.C. 924 (e). Exec. Order
No. 10450, 3 CFR (1974).
Purpose(s):
The purpose for maintaining the NCIC system of records is to
provide a computerized data base for ready access by a criminal
justice agency making an inquiry and for prompt disclosure of
information in the system from other criminal justice agencies about
crimes and criminals. This information assists authorized agencies in
criminal justice objectives, such as apprehending fugitives, locating
missing persons, locating and returning stolen property, as well as
in the protection of the law enforcement officers encountering the
individuals described in the system.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Data in NCIC files is exchanged with and for the official use of
authorized officials of the federal government, the states, cities,
penal and other institutions, and certain foreign governments. The
data is exchanged most frequently, but not exclusively, through NCIC
lines to federal criminal justice agencies, criminal justice agencies
in the 50 states, the District of Columbia, Puerto Rico, U.S.
Possessions, U.S. Territories, and certain authorized foreign and
international criminal justice agencies. Criminal history data is
disseminated to non-criminal justice agencies for use in connection
with licensing for local/state employment or other uses, but only
where such dissemination is authorized by federal or state statute
and approved by the Attorney General of the United States.
Data in NCIC files, other than the information described in
``Categories of records in the system: I, J, K, M, N, and O'' is
disseminated to:
(1) A nongovernmental agency or subunit thereof which allocates a
substantial part of its annual budget to the administration of
criminal justice, whose regularly employed peace officers have full
police powers pursuant to state law and have complied with the
minimum employment standards of governmentally employed police
officers as specified by state statute;
(2) A noncriminal justice governmental department of motor
vehicle or driver's license registry established by a statute, which
provides vehicle registration and driver record information to
criminal justice agencies;
(3) A governmental regional dispatch center, established by a
state statute, resolution, ordinance or Executive order, which
provides communications services to criminal justice agencies; and
(4) The National Insurance Crime Bureau (NICB), a nongovernmental
nonprofit agency which acts as a national clearinghouse for
information on stolen vehicles and offers free assistance to law
enforcement agencies concerning automobile thefts, identification and
recovery of stolen vehicles.
Disclosures of information from this system, as described in (1)
through (4) above, are for the purpose of providing information to
authorized agencies to facilitate the apprehension of fugitives, the
location of missing persons, the location and/or return of stolen
property, or similar criminal justice objectives.
Information on missing children, missing adults who were reported
missing while children, and unidentified living and deceased persons
may be disclosed to the National Center for Missing and Exploited
Children (NCMEC). The NCMEC is a nongovernmental, nonprofit,
federally funded corporation, serving as a national resource and
technical assistance clearinghouse focusing on missing and exploited
children. Information is disclosed to NCMEC to assist it in its
efforts to provide technical assistance and education to parents and
local governments regarding the problems of missing and exploited
children, and to operate a nationwide missing children hotline to
permit members of the public to telephone the Center from anywhere in
the United States with information about a missing child.
System records may be disclosed to criminal justice agencies for
the conduct of background checks under the National Instant Criminal
Background Check System (NICS).
System records may be disclosed to noncriminal justice
governmental agencies performing criminal justice dispatching
functions or data processing/information services for criminal
justice agencies.
System records may be disclosed to private contractors pursuant
to a specific agreement with a criminal justice agency or a
noncriminal justice governmental agency performing criminal justice
dispatching functions or data processing/information services for
criminal justice agencies to provide services for the administration
of criminal justice pursuant to that agreement. The agreement must
incorporate a security addendum approved by the Attorney General of
the United States, which shall specifically authorize access to
criminal history record information, limit the use of the information
to the purposes for which it is provided, ensure the security and
confidentiality of the information, provide for sanctions, and
contain such other provisions as the Attorney General may require.
The power and authority of the Attorney General hereunder shall be
exercised by the FBI Director (or the Director's designee).
In addition, information may be released 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;
System records may be disclosed to a Member of Congress or staff
acting on 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; and,
System records may be disclosed to the National Archives and
Records Administration and the General Services Administration for
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the NCIC system is stored
electronically for use in a computer environment.
Retrievability:
On line access to data in NCIC is achieved by using the following
search descriptors:
A. Stolen Vehicle File:
1. Vehicle identification number;
2. Owner applied number;
3. License plate number;
4. NCIC number (unique number assigned by NCIC computer to each
NCIC record.)
B. Stolen License Plate File:
1. License plate number;
2. NCIC number.
C. Stolen Boat File:
1. Registration document number;
2. Hull serial number;
3. Owner applied number;
4. NCIC number.
D. Stolen Gun File:
1. Serial number of gun;
2. NCIC number.
E. Stolen Article File:
1. Serial number of article;
2. Owner applied number;
3. NCIC number.
F. Securities File:
1. Type, serial number, denomination of security, and issuer for
other than U.S. Treasury issues and currency;
2. Type of security and name of owner of security;
3. Social Security number of owner of security (it is noted the
requirements of the Privacy Act with regard to the solicitation of
Social Security numbers have been brought to the attention of the
members of the NCIC system);
4. NCIC number.
G. Wanted Person File:
1. Name and one of the following numerical identifiers:
a. Date of birth;
b. FBI number (number assigned by the Federal Bureau of
Investigation to an arrest fingerprint record);
c. Social Security number (it is noted the requirements of the
Privacy Act with regard to the solicitation of Social Security
numbers have been brought to the attention of the members of the NCIC
system);
d. Operator's license number (driver's number);
e. Miscellaneous identifying number (military number or number
assigned by federal, state, or local authorities to an individual's
record);
f. Originating agency case number;
2. Vehicle or license plate known to be in the possession of the
wanted person;
3. NCIC number.
H. Foreign Fugitive File: See G, above.
I. Interstate Identification Index File:
1. Name, sex, race, and date of birth;
2. FBI number;
3. State identification number;
4. Social Security number;
5. Miscellaneous identifying number.
J. Witness Security Program File: See G, above.
K. BATF Violent Felon File: See G, above.
L. Missing Person file: See G, above, plus the age, sex, race,
height and weight, eye and hair color of the missing person.
M. U.S. Secret Service Protective File: See G, above.
N. Violent Criminal Gang File: See G, above.
O. Terrorist File: See G, above.
P. Unidentified Person File: The age, sex, race, height and
weight, eye and hair color of the unidentified person.
Safeguards:
Data stored in the NCIC is documented criminal justice agency
information and access to that data is restricted to duly authorized
users. The following security measures are the minimum to be adopted
by all authorized users having access to the NCIC.
Interstate Identification Index (III) File. These measures are
designed to prevent unauthorized access to the system data and/or
unauthorized use of data obtained from the computerized file.
1. Computer Center.
a. The authorized user's computer site must have adequate
physical security to protect against any unauthorized personnel
gaining access to the computer equipment or to any of the stored
data.
b. Since personnel at these computer centers can have access to
data stored in the system, they must be screened thoroughly under the
authority and supervision of an NCIC control terminal agency. (This
authority and supervision may be delegated to responsible criminal
justice agency personnel in the case of a satellite computer center
being serviced through a state control terminal agency.) This
screening will also apply to non-criminal justice maintenance or
technical personnel.
c. All visitors to these computer centers must be accompanied by
staff personnel at all times.
d. Computers having access to the NCIC must have the proper
computer instructions written and other built-in controls to prevent
criminal history data from being accessible to any terminals other
than authorized terminals.
e. Computers having access to the NCIC must maintain a record of
all transactions against the criminal history file in the same manner
the NCIC computer logs all transactions. The NCIC identifies each
specific agency entering or receiving information and maintains a
record of those transactions. This transaction record must be
monitored and reviewed on a regular basis to detect any possible
misuse of criminal history data.
f. Each State Control terminal shall build its data system around
a central computer, through which each inquiry must pass for
screening and verification. The configuration and operation of the
center shall provide for the integrity of the data base.
2. Communications:
a. Lines/channels being used to transmit criminal history
information must be dedicated solely to criminal justice, i.e., there
must be no terminals belonging to agencies outside the criminal
justice system sharing these lines/channels.
b. Physical security of the lines/channels must be protected to
guard against clandestine devices being utilized to intercept or
inject system traffic.
3. Terminal Devices Having Access to NCIC:
a. All authorized users having terminal on this system must be
required to physically place theses terminals in secure locations
within the authorized agency.
b. The authorized users having terminals with access to criminal
history must screen terminal operators and restrict access to the
terminal to a minimum number of authorized employees.
c. Copies of criminal history data obtained from terminal devices
must be afforded security to prevent any unauthorized access to or
use of the data.
d. All remote terminals on NCIS III will maintain a manual or
automated log of computerized criminal history inquiries with
notations of individuals making requests for records for a minimum of
one year.
Retention and disposal:
Unless otherwise removed, records will be retained in files as
follows:
A. Vehicle File:
a. Unrecovered stolen vehicle records (including snowmobile
records) which do not contain vehicle identification numbers (VIN) or
Owner-applied number (OAN) therein, will be purged from file 90 days
after date of entry. Unrecovered stolen vehicle records (including
snowmobile records) which contain VINS or OANs will remain in file
for the year of entry plus 4.
b. Unrecovered vehicles wanted in conjunction with a felony will
remain in file for 90 days after entry. In the event a longer
retention period is desired, the vehicle must be reentered.
c. Unrecovered stolen VIN plates, certificates of origin or
title, and serially numbered stolen vehicle engines or transmissions
will remain in file for the year of entry plus 4. (Job No. NC1-65-82-
4, Part E. 13 h.(12 )
B. License Plate File: Unrecovered stolen license plates will
remain in file for one year after the end of the plate's expiration
year as shown in the record. (Job no. NC1-65-82-4, Part E. 13 h. (2)
)
C. Boat file: Unrecovered stolen boat records, which contain a
hull serial number or an OAN, will be retained in file for the
balance of the year entered plus 4. Unrecovered stolen boat records
which do not contain a hull serial number or an OAN will be purged
from file 90 days after date of entry. (Job No. NC1-65-82-4, Part E.
13 h. (6))
D. Gun File:
a. Unrecovered weapons will be retained in file for an indefinite
period until action is taken by the originating agency to clear the
record.
b. Weapons entered in file as ``recovered'' weapons will remain
in file for the balance of the year entered plus 2. (Job No. NC1-65-
82-4, Part E. 13 h. (3))
E. Article File: Unrecovered stolen articles will be retained for
the balance of the year entered plus one year. (Job No. NC1-65-82-4,
Part E. 13 h. (4))
F. Securities File: Unrecovered stolen, embezzled or
counterfeited securities will be retained for the balance of the year
entered plus 4, except for travelers checks and money orders, which
will be retained for the balance of the year entered plus 2. (Job No.
NC1-65-82-4, Part E. 13 h. (5))
G. Wanted Person File: Person not located will remain in file
indefinitely until action is taken by the originating agency to clear
the record (except ``Temporary Felony Wants'', which will be
automatically removed from the file after 48 hours''. (Job No. NC1-
65-87-114, Part E. 13 h. (7))
H. Foreign Fugitive File: Person not located will remain in file
indefinitely until action is taken by the originating agency to clear
the record.
I. Interstate Identification Index File: When an individual
reaches age of 99. (Job No. N1-65-95-03)
J. Witness Security Program File: Will remain in file until
action is taken by the U.S. Marshals Service to clear or cancel the
records.
K. BATF Violent Felon File: Will remain in file until action is
taken by the BATF to clear or cancel the records.
L. Missing Persons File: Will remain in the file until the
individual is located or action is taken by the originating agency to
clear the record. (Job No. NC1-65-87-11, Part E 13h (8))
M.U.S. Secret Service Protective File: Will be retained until
names are removed by the U.S. Secret Service.
N. Violent Criminal Gang File: Records will be subject to
mandatory purge if inactive for five years.
O. Terrorist File: Records will be subject to mandatory purge if
inactive for five years.
P. Unidentified Person File: Will be retained for the remainder
of the year of entry plus 9.
System manager(s) and address:
Director, Federal Bureau of investigation, J. Edgar Hoover
Building, 935 Pennsylvania Avenue, NW., Washington, DC 20535-0001.
Notification procedure:
Same as the above.
Record access procedures:
It is noted the Attorney General has exempted this system from
the access and contest procedures of the Privacy Act. However, the
following alternative procedures are available to a requester. The
procedures by which an individual may obtain a copy of his or her
criminal history record from a state or local criminal justice agency
are detailed in 28 CFR 20.34 appendix and are essentially as follows:
If an individual has a criminal record supported by fingerprints
and that record has been entered in the III System, it is available
to that individual for review, upon presentation of appropriate
identification and in accordance with applicable state and federal
administrative and statutory regulations.
Appropriate identification includes being fingerprinted for the
purpose of insuring that the individual is who the individual
purports to be. The record on file will then be verified through
comparison of fingerprints.
Procedure:
1. All requests for review must be made by the subject of the
record through a law enforcement agency which has access to the III
System. That agency within statutory or regulatory limits can require
additional identification to assist in securing a positive
identification.
2. If the cooperating law enforcement agency can make an
identification with fingerprints previously taken which are on file
locally and if the FBI identification number of the individual's
record is available to that agency, it can make an on-line inquiry
through NCIC to obtain the III System record or, if it does not have
suitable equipment to obtain an on-line response, obtain the record
from Clarksburg, West Virginia, by mail. The individual will then be
afforded the opportunity to see that record.
3. Should the cooperating law enforcement agency not have the
individual's fingerprints on file locally, it is necessary for that
agency to relate the prints to an existing record by having the
identification prints compared with those already on file in the FBI,
or, possibly, in the state's central identification agency.
The procedures by which an individual may obtain a copy of his or
her criminal history record from the FBI are set forth in 28 CFR
16.30-16.34.
Contesting record procedures:
The Attorney General has exempted this system from the contest
procedures of the Privacy Act. Under the alternative procedures
described above under ``Record Access Procedures,'' the subject of
the requested record shall request the appropriate arresting agency,
court, or correctional agency to initiate action necessary to correct
any stated inaccuracy in subject's record or provide the information
needed to make the record complete. The subject of a record may also
direct his/her challenge as to the accuracy or completeness of any
entry on his/her record to the FBI, Criminal Justice Information
Services (CJIS) Division, ATTN: SCU, Mod. D-2, 1000 Custer Hollow
Road, Clarksburg, WV 26306. The FBI will then forward the challenge
to the agency which submitted the data requesting that agency to
verify or correct the challenged entry. Upon the receipt of an
official communication directly from the agency which contributed the
original information, the FBI CJIS Division will make any changes
necessary in accordance with the information supplied by that agency.
Record source categories:
Information contained in the NCIC system is obtained from local,
state, tribal, federal, foreign, and international criminal justice
agencies.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsection
(c)(3) and (4); (d); (e)(1), (2), and (3); (e)(4)(G) and (H), (e)(8)
and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and
(k)(3). 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.
JUSTICE/FBI-002
System name:
The FBI Central Records System.
System location:
a. Federal Bureau of Investigation, J. Edgar Hoover Building,
10th and Pennsylvania Avenue, NW, Washington DC 20535; b. 56 field
divisions (see Appendix); c. 16 Legal Attache (see Appendix).
Categories of individuals covered by the system:
a. Individuals who relate in any manner to official FBI
investigations including, but not limited to subjects, suspects,
victims, witnesses, and close relatives and associates who are
relevant to an investigation.
b. Applicants for and current and former personnel of the FBI and
persons related thereto who are considered relevant to an applicant
investigation, personnel inquiry, or other personnel matters.
c. Applicants for and appointees to sensitive positions in the
United States Government and persons related thereto who are
considered relevant to the investigation.
d. Individuals who are the subject of unsolicited information,
who offer unsolicited information, request assistance, and make
inquiries concerning record material, including general
correspondence, and contacts with other agencies, businesses,
institutions, clubs; the public and the news media.
e. Individuals associated with administrative operations or
services including pertinent functions, contractors and pertinent
persons related thereto. (All manner of information concerning
individuals may be acquired in connection with and relating to the
varied investigative responsibilities of the FBI which are further
described in ``CATEGORIES OF RECORDS IN THE SYSTEM.'' Depending on
the nature and scope of the investigation this information may
include, among other things, personal habits and conduct, financial
information, travel and organizational affiliation of individuals.
The information collected is made a matter of record and placed in
FBI files.)
Categories of records in the system:
The FBI Central Records Systems--The FBI utilizes a central
records system of maintaining its investigative, personnel,
applicant, administrative, and general files. This system consists of
one numerical sequence of subject matter files, an alphabetical index
to the files, and a supporting abstract system to facilitate
processing and accountability of all important mail placed in files.
This abstract system is both a textual and an automated capability
for locating mail. Files kept in FBI field offices are also
structured in the same manner, except they do not utilize an abstract
system.
The 281 classifications used by the FBI in its basic filing
system pertain primarily to Federal violations over which the FBI has
investigative jurisdiction. However, included in the 281
classifications are personnel, applicant, and administrative matters
to facilitate the overall filing scheme. These classifications are as
follows (the word ``obsolete'' following the name of the
classification indicates the FBI is no longer initiating
investigative cases in these matters, although the material is
retained for reference purposes):
1. Training Schools; National Academy Matters: FBI National
Academy Applicants. Covers general information concerning the FBI
National Academy, including background investigations of individual
candidates.
2. Neutrality Matters. Title 18, United States Code, Sections 956
and 958 962; Title 22, United States Code, Sections 1934 and 401.
3. Overthrow or Destruction of the Government. Title 18, United
States Code, Section 2385.
4. National Firearms Act, Federal Firearms Act; State Firearms
Control Assistance Act; Unlawful Possession or Receipt of Firearms.
Title 26, United States Code, Sections 5801-5812; Title 18, United
States Code, Sections 921-928; Title 18, United States Code, Sections
1201-1203.
5. Income Tax. Covers violations of Federal income tax laws
reported to the FBI. Complaints are forwarded to the Commissioner of
the Internal Revenue Service.
6. Interstate Transportation of Strikebreakers. Title 18, United
States Code, Section 1231.
7. Kidnapping. Title 28, United States Code, Sections 1201 and
1202.
8. Migratory Bird Act. Title 18, United States Code, Section 43;
Title 16, United States Code, Section 703 through 718.
9. Extortion. Title 18, United States Code, Sections 876, 877,
875, and 873.
10. Red Cross Act. Title 18, United States Code, Sections 706 and
917.
11. Tax (Other than Income). This classification covers
complaints concerning violations of Internal Revenue law as they
apply to other than alcohol, social security and income and profits
taxes, which are forwarded to the Internal Revenue Service.
12. Narcotics. This classification covers complaints received by
the FBI concerning alleged violations of Federal drug laws.
Complaints are forwarded to the headquarters of the Drug Enforcement
Administration (DEA), or the nearest district office of DEA.
13. Miscellaneous. Section 125, National Defense Act,
Prostitution; Selling Whiskey Within Five Miles of An Army Camp, 1920
only. Subjects were alleged violators of abuse of U.S. flag,
fraudulent enlistment, selling liquor and operating houses of
prostitution within restricted bounds of military reservations.
Violations of Section 13 of the Selective Service Act (Conscription
Act) were enforced by the Department of Justice as a war emergency
measure with the Bureau exercising jurisdiction in the detection and
prosecution of cases within the purview of that Section.
14. Sedition. Title 18, United States Code, Sections 2387, 2388,
and 2391.
15. Theft from Interest Shipment. Title 18, United States Code,
Section 859; Title 18, United States Code, Section 660; Title 18
United States Code, Section 2117.
16. Violations of Federal Injunction (obsolete). Consolidated
into Classification 69, ``Contempt of Court''.
17. Fraud Against the Government, Department of Veterans Affairs,
Department of Veterans Affairs Matters. Title 18, United States Code,
Section 287, 289, 290, 371, or 1001, and Title 38, United States
Code, Sections 787(a), 787(b), 3405, 3501, and 3502.
18. May Act. Title 18, United States Code, Section 1384.
19. Censorship Matter (obsolete). Pub. L. 77th Congress.
20. Federal Grain Standards Act (obsolete) 1920 only. Subjects
were alleged violators of contracts for sale. Shipment of Interstate
Commerce, Section 5, U.S. Grain Standards Act.
21. Food and Drugs. This classification covers complaints
received concerning alleged violations of the Food, Drug and Cosmetic
Act; Tea Act; Import Milk Act; Caustic Poison Act; and Filled Milk
Act. These complaints are referred to the Commissioner of the Food
and Drug Administration of the field component of that Agency.
22. National Motor Vehicle Traffic Act, 1922-27 (obsolete).
Subjects were possible violators of the National Motor Vehicle Theft
Act, Automobiles seized by Prohibitions Agents.
23. Prohibition. This classification covers complaints received
concerning bootlegging activities and other violations of the alcohol
tax laws. Such complaints are referred to the Bureau of Alcohol,
Tobacco and Firearms, Department of the Treasury, or field
representatives of the Agency.
24. Profiteering 1920-42 (obsolete). Subjects are possible
violators of the Lever Act--Profiteering in food and clothing or
accused company was subject of file. Bureau conducted investigations
to ascertain profits.
25. Selective Service Act; Selective Training and Service Act.
Title 50, United States Code, Section 462; Title 50, United States
Code, Section 459.
26. Interstate Transportation of Stolen Motor Vehicle; Interstate
Transportation of Stolen Aircraft. Title 18, United States Code,
Sections 2311 (in part), 2312, and 2313.
27. Patent Matter. Title 35, United States Code, Sections 104 and
105.
28. Copyright Matter. Title 17, United States Code, Sections 104
and 105.
29. Bank Fraud and Embezzlement. Title 18, United States Code,
Sections 212, 213, 215, 334, 655-657, 1004-1006, 1008, 1009, 1014,
and 1306; Title 12, United States Code, Section 1725(g).
30. Interstate Quarantine Law, 1922-25 (obsolete). Subjects
alleged violators of Act of February 15, 1893, as amended, regarding
interstate travel of persons afflicted with infectious diseases.
Cases also involved unlawful transportation of animals, Act of
February 2, 1903. Referrals were made to Public Health Service and
the Department of Agriculture.
31. White Slave Traffic Act. Title 18, United States Code,
Section 2421-2424.
32. Identification (Fingerprint) Matters. This classification
covers general information concerning Identification (fingerprint)
matters.
33. Uniform Crime Reporting. This classification covers general
information concerning the Uniform Crime Reports, a periodic
compilation of statistics of criminal violations throughout the
United States.
34. Violation of Lacy Act. 1922-43. (obsolete) Unlawful
Transportation and shipment of black bass and fur seal skins.
35. Civil Service. This classification covers complaints received
by the FBI concerning Civil Service matters which are referred to the
Office of Personnel Management in Washington or regional offices of
that Agency.
36. Mail Fraud. Title 18, United States Code, Section 1341.
37. False Claims Against the Government. 1921-22 (obsolete).
Subjects submitted claims for allotment, vocational training,
compensation as veterans under the Sweet Bill. Letters were generally
referred elsewhere (Veterans Bureau). Violators apprehended for
violation of Article No. 1, War Risk Insurance Act.
38. Application for Pardon to Restore Civil Rights. 1921-35
(obsolete). Subjects allegedly obtained their naturalization papers
by fraudulent means. Cases later referred to Immigration and
Naturalization Service.
39. Falsely Claiming Citizenship (obsolete). Title 18, United
States Code, Sections 911 and 1015(a)(b).
40. Passport and Visa Matter. Title 18, United States Code,
Sections 1451-1546.
41. Explosives (obsolete). Title 50, United States Code, Sections
121 through 144.
42. Deserter; Deserter, Harboring. Title 10, United States Code,
Sections 808 and 885.
43. Illegal Wearing of Uniforms; False Advertising or Misuse of
Names, Words, Emblems or Insignia; Illegal Manufacturer, Use,
Possession, or Sale of Emblems and Insignia; Illegal Manufacture,
Possession, or Wearing of Civil Defense Insignia; Miscellaneous,
Forging or Using Forged Certificate of Discharge from Military or
Naval Service; Miscellaneous, Falsely Making or Forging Naval,
Military, or Official Pass; Miscellaneous, Forging or Counterfeiting
Seal of Department or Agency of the United States, Misuse of the
Great Seal of the United States or of the Seals of the President or
the Vice President of the United States; Unauthorized Use of ``Johnny
Horizon'' Symbol; Unauthorized Use of Smokey Bear Symbol. Title 18,
United States Code, Sections 702, 703, and 704; Title 18, United
States Code, Sections 701, 705, 707, and 710; Title 36, United States
Code, Section 182; Title 50, Appendix, United States Code, Section
2284; Title 46, United States Code, Section 249; Title 18, United
States Code, Sections 498, 499, 506, 709, 711, 711a, 712, 713, and
714; Title 12, United States Code, Sections 1457 and 1723a; Title 22,
United States Code, Section 2518.
44. Civil Rights; Civil Rights, Election Laws, Voting Rights Act,
1965, Title 18, United States Code, Sections 241, 242, and 245; Title
42, United States Code, Section 1973; Title 18, United States Code,
Section 243; Title 18, United States Code, Section 244, Civil Rights
Act--Federally Protected Activities; Civil Rights Act--Overseas
Citizens Voting Rights Act of 1975.
45. Crime on the High Seas (includes stowaways on boats and
aircraft). Title 18, United States Code, Sections 7, 13, 1243, and
2199.
46. Fraud Against the Government (includes Department of Health,
Education and Welfare; Department of Labor (CETA), and Miscellaneous
Government Agencies), Anti-Kickback Statute; Department Assistance
Act of 1950; False Claims, Civil; Federal-Aid Road Act; Lead and Zinc
Act; Public Works and Economic Development Act of 1965; Renegotiation
Act, Criminal; Renegotiation Act, Civil; Trade Expansion Act of 1962;
Unemployment Compensation Statutes; Economic Opportunity Act, Title
50, United States Code, Section 1211 et seq.; Title 31, United States
Code, Section 231; Title 41, United States Code, Section 119; Title
40, United States Code, Section 489.
47. Impersonation. Title 18, United States Code, Sections 912,
913, 915, and 916.
48. Postal. Violation (Except Mail Fraud). This classification
covers inquiries concerning the Postal Service and complaints
pertaining to the theft of mail. Such complaints are either forwarded
to the Postmaster General or the nearest Postal Inspector.
49. Bankruptcy Fraud. Title 18, United States Code, Sections 151-
155.
50. Involuntary Servitude and Slavery. U.S. Constitution, 13th
Amendment; Title 18, United States Code, Sections 1581-1588, 241, and
242.
51. Jury Panel Investigations. This classification covers jury
panel investigations which are requested by the appropriate Assistant
Attorney General as authorized by 28 U.S.C. 533 and AG memorandum
781, dated November 9, 1972. These investigations can be conducted
only upon such request and consist of an indices and arrest check,
and only in limited important trials where defendant could have
influence over a juror.
52. Theft, Robbery, Embezzlement, Illegal Possession or
Destruction of Government Property. Title 18, United States Code,
Sections 641, 1024, 1660, 2112, and 2114. Interference With
Government Communications, Title 18, United States Code, Section
1632.
53. Excess Profits on Wool. 1918 (obsolete). Subjects possible
violators of Government Control of Wool Clip Act of 1918.
54. Customs Laws and Smuggling. This classification covers
complaints received concerning smuggling and other matters involving
importation and entry of merchandise into and the exportation of
merchandise from the United States. Complaints are referred to the
nearest district office of the U.S. Customs Service or the
Commissioner of Customs, Washington, DC.
55. Counterfeiting. This classification covers complaints
received concerning alleged violations of counterfeiting of U.S.
coins, notes, and other obligations and securities of the Government.
These complaints are referred to either the Director, U.S. Secret
Service, or the nearest office of that Agency.
56. Election Laws. Title 18, United States Code, Sections 241,
242, 245, and 591-607; Title 42, United States Code, Section 1973;
Title 26, United States Code, Sections 9012 and 9042; Title 2, United
States Code, Sections 431-437, 439, and 441.
57. War Labor Dispute Act (obsolete). Pub. L. 89--77th Congress.
58. Corruption of Federal Public Officials. Title 18, United
States Code, Sections 201-203, 205-211; Public Law 89-4 and 89-136.
59. World War Adjusted Compensation Act of 1924-44 (obsolete).
Bureau of Investigation was charged with the duty of investigating
alleged violations of all sections of the World War Adjusted
Compensation Act (Pub. L. 472, 69th Congress (H.R. 10277)) with the
exception of Section 704.
60. Anti-Trust, Title 15, United States Code, Sections 1-7, 12-
27, and 13.
61. Treason or Misprision of Treason. Title 18, United States
Code, Sections 2381, 2382, 2389, 2390, 756, and 757.
62. Administrative Inquiries. Misconduct Investigations of
Officers and Employees of the Department of Justice and Federal
Judiciary; Census Matters (Title 13, United States Code, Sections
211-214, 221-224, 304, and 305) Domestic Police Cooperation; Eight-
Hour-Day Law (Title 40, United States Code, Sections 321, 332, 325a,
326); Fair Credit Reporting Act (Title 15, United States Code,
Sections 1681q and 1681r); Federal Cigarette Labeling and Advertising
Act (Title 15, United States Code, Section 1333); Federal Judiciary
Investigations; Kickback Racket Act (Title 18, United States Code,
Section 874); Lands Division Matter, other Violations and/or Matters;
Civil Suits--Miscellaneous; Soldiers' and Sailors' Civil Relief Act
of 1940 (Title 50, Appendix, United States Code, Sections 510-590);
Tariff Act of 1930 (Title 19, United States Code, Section 1304);
Unreported Interstate Shipment of Cigarettes (Title 15, United States
Code, Sections 375 and 376); Fair Labor Standards Act of 1938 (Wages
and Hours Law) (Title 29, United States Code, Sections 201-219);
Conspiracy (Title 18, United States Code, Section 371 (formerly
Section 88, Title 18, United States Code); effective September 1,
1948).
63. Miscellaneous--Nonsubversive. This classification concerns
correspondence from the public which does not relate to matters
within FBI jurisdiction.
64. Foreign Miscellaneous. This classification is a control file
utilized as a repository for intelligence information of value
identified by country. More specific categories are placed in
classification 108-113.
65. Espionage. Attorney General Guidelines on Foreign
Counterintelligence; Internal Security Act of 1950; Executive Order
11905.
66. Administrative Matters. This classification covers such items
as supplies, automobiles, salary matters and vouchers.
67. Personnel Matters. This classification concerns background
investigations of applicants for employment with the FBI and folders
for current and former employees.
68. Alaskan matters (obsolete). This classification concerns FBI
investigations in the Territory of Alaska prior to its becoming a
State.
69. Contempt of Court. Title 18, United States Code, Sections
401, 402, 3285, 3691, 3692; Title 10, United States Code. Section
847; and Rule 42, Federal Rules of Criminal Procedure.
70. Crime on Government Reservation. Title 18, United States
Code, Sections 7 and 13.
71. Bills of Lading Act, Title 49, United States Code, Section
121.
72. Obstruction of Criminal Investigations: Obstruction of
Justice, Obstruction of Court Orders. Title 18, United States Code.
Sections 1503 through 1510.
73. Application for Pardon After Completion of Sentence and
Application for Executive Clemency. This classification concerns the
FBI's background investigation in connection with pardon applications
and request for executive clemency.
74. Perjury. Title 18, United States Code, Sections 1621, 1622,
and 1623.
75. Bondsmen and Sureties. Title 18, United States Code, Section
1506.
76. Escaped Federal Prisoner. Escape and Rescue; Probation
Violator, Parole Violator, Mandatory, Release Violator. Title 18,
United States Code, Sections 751-757, 1072; Title 18, United States
Code. Sections 3651-3656; and Title 18, United States Code. Sections
4202-4207, 5037, and 4161-4166.
77. Applicants (Special Inquiry, Departmental and Other
Government Agencies, except those having special classifications).
This classification covers the background investigations conducted by
the FBI in connection with the aforementioned positions.
78. Illegal Use of Government Transportation Requests. Title 18,
United States Code, Section 287, 495, 508, 641, 1001 and 1002.
79. Missing Persons. This classification covers the FBI's
Identification Division's assistance in the locating of missing
persons.
80. Laboratory Research Matters. At FBI Headquarters this
classification is used for Laboratory research matters. In field
office files this classification covers the FBI's public affairs
matters and involves contact by the FBI with the general public,
Federal and State agencies, the Armed Forces, Corporations, the news
media and other outside organizations.
81. Gold Hoarding. 1933-45. (obsolete) Gold Hoarding
investigations conducted in accordance with an Act of March 9, 1933
and Executive Order issued August 28, 1933. Bureau instructed by
Department to conduct no further investigations in 1935 under the
Gold Reserve Act of 1934. Thereafter, all correspondence referred to
Secret Service.
82. War Risk Insurance (National Life Insurance (obsolete)). This
classification covers investigations conducted by the FBI in
connection with civil suits filed under this statute.
83. Court of Claims. This classification covers requests for
investigations of cases pending in the Court of Claims from the
Assistant Attorney General in charge of the Civil Division of the
Department of Justice.
84. Reconstruction Finance Corporation Act (obsolete). Title 15,
United States Code, Chapter 14.
85. Home Owner Loan Corporation (obsolete). This classification
concerned complaints received by the FBI about alleged violations of
the Home Owners Loan Act, which were referred to the Home Owners Loan
Corporation. Title 12, United States Code, Section 1464.
86. Fraud Against the Government--Small Business Administration.
Title 15, United States Code, Section 645; Title 18, United States
Code, Sections 212, 213, 215, 216, 217, 657, 658, 1006, 1011, 1013,
1014, 1906, 1907, and 1909.
87. Interstate Transportation of Stolen Property (Heavy
Equipment--Commercialized Theft). Title 18, United States Code,
Sections 2311, 2314, 2315 and 2318.
88. Unlawful Flight to Avoid Prosecution, Custody, or
Confinement; Unlawful Flight to Avoid Giving Testimony. Title 18,
United States Code, Sections 1073 and 1074.
89. Assaulting or Killing a Federal Officer, Crimes Against
Family Members, Congressional Assassination Statute, Title 18, United
States Code, Sections 1111, 1114, 2232.
90. Irregularities in Federal Penal Institutions. Title 18,
United States Code, Sections 1791 and 1792.
91. Bank Burglary, Bank Larceny; Bank Robbery. Title 18, United
States Code, Section 2113.
92. Racketeer Enterprise Investigations. Title 18, United States
Code. Section 3237.
93. Ascertaining Financial Ability. This classification concerns
requests by the Department of Justice for the FBI to ascertain a
person's ability to pay a claim, fine or judgment obtained against
him by the United States Government.
94. Research matters. This classification concerns all general
correspondence of the FBI with private individuals which does not
involve any substantive violation of Federal law.
95. Laboratory Cases (Examination of Evidence in Other Than
Bureau's Cases). The classification concerns non-FBI cases where a
duly constituted State, county or a municipal law enforcement agency
in a criminal matter has requested an examination of evidence by the
FBI Laboratory.
96. Alien Applicant (obsolete). Title 10, United States Code,
Section 310.
97. Foreign Agents Registration Act. Title 18, United States
Code, Section 951; Title 22, United States Code, Sections 611-621;
Title 50, United States Code, Sections 851-857.
98. Sabotage. Title 18, United States Code, Sections 2151-2156;
Title 50, United States Code, Section 797.
99. Plant Survey (obsolete). This classification covers a program
wherein the FBI inspected industrial plants for the purpose of making
suggestions to the operations of those plants to prevent espionage
and sabotage.
100. Domestic Security. This classification covers investigations
by the FBI in the domestic security field, e.g., Smith Act
violations.
101. Hatch Act (obsolete). Public Law 252, 76th Congress.
102. Voorhis Act, Title 18, United States Code, Section 1386.
103. Interstate Transportation of Stolen Livestock, Title 18,
United States Code, Sections 667, 2311, 2316 and 2317.
104. Servicemen's Dependents Allowance Act of 1942 (obsolete).
Public Law 625, 77th Congress, Sections 115-119.
105. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
106. Alien Enemy Control; Escaped Prisoners of War and Internees,
1944-55 (obsolete). Suspects were generally suspected escaped
prisoners of war, members of foreign organizations, failed to
register under the Alien Registration Act. Cases ordered closed by
Attorney General after alien enemies returned to their respective
countries upon termination of hostilities.
107. Denaturalization Proceedings (obsolete). This classification
covers investigation concerning allegations that an individual
fraudulently swore allegiance to the United States or in some other
manner illegally obtained citizenship to the U.S. Title 8, United
States Code, Section 738.
108. Foreign Travel Control (obsolete). This classification
concerns security-type investigations wherein the subject is involved
in foreign travel.
109. Foreign Political Matters. This classification is a control
file utilized as a repository for intelligence information concerning
foreign political matters broken down by country.
110. Foreign Economic Matters. This classification is a control
file utilized as a repository for intelligence information concerning
foreign economic matters broken down by country.
111. Foreign Social Conditions. This classification is a control
file utilized as a repository for intelligence information concerning
foreign social conditions broken down by county.
112. Foreign Funds. This classification is a control file
utilized as a repository for intelligence information concerning
foreign funds broken down by country.
113. Foreign Military and Naval Matters. This classification is a
control file utilized as a repository for intelligence information
concerning foreign military and naval matters broken down by country.
114. Alien Property Custodian Matter (obsolete). Title 50, United
States Code, Sections 1 through 38. This classification covers
investigations concerning ownership and control of property subject
to claims and litigation under this statute.
115. Bond Default; Bail Jumper. Title 18, United States Code,
Sections 3146-3152.
116. Department of Energy Applicant; Department of Energy,
Employee. This classification concerns background investigations
conducted in connection with employment with the Department of
Energy.
117. Department of Energy, Criminal. Title 42, United States
Code, Sections 2011-2281; Public Law 93-438.
118. Applicant, Intelligence Agency (obsolete). This
classification covers applicant background investigations conducted
of persons under consideration for employment by the Central
Intelligence Group.
119. Federal Regulation of Lobbying Act. Title 2, United States
Code, ections 261-270.
120. Federal Tort Claims Act, Title 28, United States Code,
Sections 2671 to 2680. Investigations are conducted pursuant to
specific request from the Department of Justice in connection with
cases in which the Department of Justice represents agencies sued
under the Act.
121. Loyalty of Government Employees (obsolete). Executive Order
9835.
122. Labor Management Relations Act, 1947. Title 29, United
States Code, Sections 161, 162, 176-178 and 186.
123. Section inquiry, State Department, Voice of America (U.S.
Information Center) (Public Law 402, 80th Congress) (obsolete). This
classification covers loyalty and security investigations on
personnel employed by or under consideration for employment for Voice
of America.
124. European Recovery Program Administration, formerly Foreign
Operations Administration, Economic Cooperation Administration or
E.R.P., European Recovery Programs; A.I.D. Agency for International
Development (obsolete). This classification covers security and
loyalty investigation of personnel employed by or under consideration
for employment with the European Recovery Program, Public Law 472,
80th Congress.
125. Railway Labor Act; Railway Labor Act--Employer's Liability
Act Title 45, United States Code, Sections 151-163 and 181-188.
126. National Security Resources Board, Special Inquiry
(obsolete). This classification covers loyalty investigations on
employees and applicants of the National Security Resources Board.
127. Sensitive Positions in the United States Government, Public
Law 266 (obsolete). Public Law 81st Congress.
128. International Development Program (Foreign Operations
Administration) (obsolete). This classification covers background
investigations conducted on individuals who are to be assigned to
duties under the International Development Program.
129. Evacuation Claims (obsolete). Public Law 886, 80th Congress.
130. Special Inquiry. Armed Forces Security Act (obsolete). This
classification covers applicant-type investigations conducted for the
Armed Forces security agencies.
131. Admiralty Matter. Title 46, United States Code, Sections
741-752 and 781-799.
132. Special Inquiry, Office of Defense Mobilization (obsolete).
This classification covers applicant-type investigations of
individuals associated with the Office of Defense Mobilization.
133. National Science Foundation Act, Applicant (obsolete).
Public Law 507, 81st Congress.
134. Foreign Counterintelligence Assets. This classification
concerns individuals who provide information to the FBI concerning
Foreign Counterintelligence matters.
135. PROSAB (Protection of Strategic Air Command Bases of the
U.S. Air Force (obsolete). This classification covered contacts with
individuals with the aim to develop information useful to protect
bases of the Strategic Air Command.
136. American Legion Contact (obsolete). This classification
covered liaison contracts with American Legion offices.
137. Informants. Other than Foreign Counterintelligence Assets.
This classification concerns individuals who furnish information to
the FBI concerning criminal violations on a continuing and
confidential basis.
138. Loyalty of Employees of the United Nations and Other Public
International Organizations. This classification concerns FBI
investigations based on referrals from the Office of Personnel
Management wherein a question or allegation has been received
regarding the applicant's loyalty to the U.S. Government as described
in Executive Order 10422.
139. Interception of Communications (Formerly, Unauthorized
Publication or Use of Communications). Title 47, United States Code,
Section 605; Title 47, United States Code, Section 501; Title 18,
United States Code, Sections 2510-2513.
140. Security of Government Employees; Fraud Against the
Government, Executive Order 10450.
141. False Entries in Records of Interstate Carriers. Title 47,
United States Code, Section 220; Title 49, United States Code,
Section 20.
142. Illegal Use of Railroad Pass. Title 49, United States Code,
Section 1.
143. Interstate Transport of Gambling Devices. Title 15, United
States Code, Sections 1171 through 1180.
144. Interstate Transportation of Lottery Tickets. Title 18,
United States Code, Section 1301.
145. Interstate Transportation of Obscene Materials. Title 18,
United States Code, Sections 1462, 1464, and 1465.
146. Interstate Transportation of Prison-Made Goods. Title 18,
United States Code, Sections 1761 and 1762.
147. Fraud Against the Government--Department of Housing and
Urban Development, Matters. Title 18, United States Code, Sections
657, 709, 1006, and 1010; Title 12, United States Code, Sections 1709
and 1715.
148. Interstate Transportation of Fireworks. Title 18, United
States Code, Section 836.
149. Destruction of Aircraft or Motor Vehicles. Title 18, United
States Code, Section 31-35.
150. Harboring of Federal Fugitives, Statistics (obsolete).
151. (Referral cases received from the Office of Personnel
Management under Pub. L. 298). Agency for International Development;
Department of Energy; National Aeronautics and Space Administration;
National Science Foundation; Peace Corps; Action; U.S. Arms Control
and Disarmament Agency; World Health Organization; International
Labor Organization; International Communications Agency. This
classification covers referrals from the Office of Personnel
Management where an allegation has been received regarding an
applicant's loyalty to the U.S. Government. These referrals refer to
applicants from Peace Corps; Department of Energy, National
Aeronautics and Space Administration, Nuclear Regulatory Commission,
United States Arms Control and Disarmament Agency and the
International Communications Agency.
152. Switchblade Knife Act. Title 15, United States Code,
Sections 1241-1244.
153. Automobile Information Disclosure Act. Title 15, United
States Code, Sections 1231-1233.
154. Interstate Transportation of Unsafe Refrigerators. Title 15,
United States Code, Sections 1211-1214.
155. National Aeronautics and Space Act of 1958. Title 18, United
States Code, Section 799.
156. Employee Retirement Income Security Act. Title 29, United
States Code, Sections 1021-1029, 1111, 1131, and 1141; Title 18,
United States Code, Sections 644, 1027, and 1954.
157. Civil Unrest. This classification concerns FBI
responsibility for reporting information on civil disturbances or
demonstrations. The FBI's investigative responsibility is based on
the Attorney General's Guidelines for Reporting on Civil Disorders
and Demonstrations Involving a Federal Interest which became
effective April 5, 1976.
158. Labor-Management Reporting and Disclosure Act of 1959
(Security Matter) (obsolete). Public Law 86-257, Section 504.
159. Labor-Management Reporting and Disclosure Act of 1959
(Investigative Matter). Title 29, United States Code, Sections 501,
504, 522, and 530.
160. Federal Train Wreck Statute. Title 18, United States Code,
Section 1992.
161. Special Inquiries for White House, Congressional Committee
and Other Government Agencies. This classification covers
investigations requested by the White House. Congressional committees
or other Government agencies.
162. Interstate Gambling Activities. This classification covers
information acquired concerning the nature and scope of illegal
gambling activities in each field office.
163. Foreign Police Cooperation. This classification covers
requests by foreign police for the FBI to render investigative
assistance to such agencies.
164. Crime Aboard Aircraft. Title 49, United States Code,
Sections 1472 and 1473.
165. Interstate Transmission of Wagering Information. Title 18,
United States Code, Section 1065.
166. Interstate Transportation in Aid of Racketeering. Title 18,
United States Code, Section 1952.
167. Destruction of Interstate Property. Title 15, United States
Code, Sections 1281 and 1282.
168. Interstate Transportation of Wagering Paraphernalia. Title
18, United States Code, Section 1953.
169. Hydraulic Brake Fluid Act (obsolete); 76 Stat. 437, Public
Law 87-637.
170. Extremist Informants (obsolete). This classification
concerns individuals who provided information on a continuing basis
on various extremist elements.
171. Motor Vehicle Seat Belt Act (obsolete). Pub. L. 88-201, 80th
Congress.
172. Sports Bribery. Title 18, United States Code, Section 244.
173. Public Accommodations. Civil Rights Act of 1964 Public
Facilities; Civil Rights Act of 1964 Public Education; Civil Rights
Act of 1964 Employment; Civil Rights Act of 1964. Title 42, United
States Code, Section 2000; Title 18, United States Code, Section 245.
174. Explosives and Incendiary Devices; Bomb Threats (Formerly
Bombing Matters; Bombing Matters, Threats). Title 18, United States
Code, Section 844.
175. Assaulting, Kidnapping or Killing the President (or Vice
President) of the United States. Title 18, United States Code,
Section 1751.
176. Anti-riot Laws. Title 18, United States Code, Section 245.
177. Discrimination in Housing. Title 42, United States Code,
Sections 3601-3619 and 3631.
178. Interstate Obscene or Harassing Telephone Calls. Title 47,
United States Code, Section 223.
179. Extortionate Credit Transactions. Title 18, United States
Code, Sections 891-896.
180. Desecration of the Flag. Title 18, United States Code,
Section 700.
181. Consumer Credit Protection Act. Title 15, United States
Code, Section 1611.
182. Illegal Gambling Business: Illegal Gambling Business,
Obstruction; Illegal Gambling Business Forfeiture. Title 18, United
States Code, Section 1955; Title 18, United States Code, Section
1511.
183. Racketeer, Influence and Corrupt Organizations. Title 18,
United States Code, Sections 1961-1968.
184. Police Killings. This classification concerns investigations
conducted by the FBI upon written request from local Chief of Police
or duty constituted head of the local agency to actively participate
in the investigation of the killing of a police officer. These
investigations are based on a Presidential Directive dated June 3,
1971.
185. Protection of Foreign Officials and Officials Guests of the
United States. Title 18, United States Code, Sections 112, 970, 1116,
1117, and 1201.
186. Real Estate Settlement Procedures Act of 1974. Title 12,
United States Code, Section 2602; Title 12, United States Code,
Section 2606, and Title 12, United States Code, Section 2607.
187. Privacy Act of 1974, Criminal. Title 5, United States Code,
Section 552a.
188. Crime Resistance. This classification covers FBI efforts to
develop new or improved approaches, techniques, systems, equipment
and devices to improve and strengthen law enforcement as mandated by
the Omnibus Crime Control and Safe Streets Action of 1968.
189. Equal Credit Opportunity Act. Title 15, United States Code,
Section 1691.
190. Freedom of Information/Privacy Acts. This classification
covers the creation of a correspondence file to preserve and maintain
accurate records concerning the handling of requests for records
submitted pursuant to the Freedom of Information--Privacy Acts.
191. False Identity Matters. (obsolete) This classification
covers the FBI's study and examination of criminal elements' efforts
to create false identities.
192. Hobbs Act--Financial Institutions; Commercial Institutions
Armored Carrier. Title 18, United States Code, Section 1951.
193. Hobbs Act--Commercial Institutions (obsolete). Title 18,
United States Code, Section 1951; Title 47, United States Code,
Section 506.
194. Hobbs Act--Corruption of Public Officials. Title 18, United
States Code, Section 1951.
195. Hobbs Act--Labor Related. Title 18, United States Code,
Section 1951.
196. Fraud by Wire. Title 18, United States Code, Section 1343.
197. Civil Actions or Claims Against the Government. This
classification covers all civil suits involving FBI matters and most
administrative claims filed under the Federal Tort Claims Act arising
from FBI activities.
198. Crime on Indian Reservations. Title 18, United States Code,
Sections 1151, 1152, and 1153.
199. Foreign Counterintelligence--Terrorism. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
200. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
201. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
202. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
203. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
204. Federal Revenue Sharing. This classification covers FBI
investigations conducted where the Attorney General has been
authorized to bring civil action whenever he has reason to believe
that a pattern or practice of discrimination in disbursement of funds
under the Federal Revenue Sharing status exists.
205. Foreign Corrupt Practices Act of 1977. Title 15, United
States Code, Section 78.
206. Fraud Against the Government--Department of Defense,
Department of Agriculture, Department of Commerce, Community Services
Organization, Department of Transportation. (See classification 46
(supra) for a statutory authority for this and the four following
classifications.)
207. Fraud Against the Government--Environmental Protection
Agency, National Aeronautics and Space Administration, Department of
Energy, Department of Transportation.
208. Fraud Against the Government--General Services
Administration.
209. Fraud Against the Government--Department of Health and Human
Services (Formerly Department of Health, Education, and Welfare).
210. Fraud Against the Government--Department of Labor.
211. Ethics in Government Act of 1978, Title VI (Title 28,
Sections 591-596).
212. Foreign Counterintelligence--Intelligence Community Support.
This is an administrative classification for the FBI's operational
and technical support to other Intelligence Community agencies.
213. Fraud Against the Government--Department of Education.
214. Civil Rights of Institutionalized Persons Act (Title 42,
United States Code, Section 1997).
215. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
216. thru 229. Foreign Counterintelligence Matters. (Same
authority as 215.)
230. thru 240. FBI Training Matters.
241. DEA Applicant Investigations.
242. Automation Matters.
243. Intelligence Identities Protection Act of 1982.
244. Hostage Rescue Team.
245. Drug Investigative Task Force.
246 thru 248. Foreign Counterintelligence Matters. (Same
authority as 215.)
249. Environmental Crimes--Investigations involving toxic or
hazardous waste violations.
250. Tampering With Consumer Products (Title 18, U.S. Code,
Section 1395).
251. Controlled Substance-- Robbery;--Burglary (Title 18, U.S.
Code, section 2118).
252. Violent Crime Apprehension Program (VICAP). Case folders
containing records relevant to the VICAP Program, in conjunction with
the National Center for the Analysis of Violent Crime Record System
at the FBI Academy; Quantico, Virginia.
253. False Identification Crime Control Act of 1982 (Title 18,
U.S. Code, Section 1028--Fraud and Related Activity in Connection
With Identification Documents, and Section 1738--Mailing Private
Identification Documents Without a Disclaimer).
254. Destruction of Energy Facilities (Title 18, U.S. Code,
Section 1365) relates to the destruction of property of nonnuclear
energy facilities.
255. Counterfeiting of State and Corporate Securities (Title 18,
U.S. Code, Section 511) covers counterfeiting and forgery of all
forms of what is loosely interpreted as securities.
256. Hostage Taking--Terrorism (Title 18, U.S. Code, Section
1203) prohibits taking of hostage(s) to compel third party to do or
refrain from doing any act.
257. Trademark Counterfeiting Act (Title 18, United States Code,
section 2320) covers the international trafficking in goods which
bear a counterfeited trademark.
258. Credit Card Fraud Act of 1984 (Title 18, United States Code,
section 1029) covers fraud and related activities in connection with
access devices (credit and debit cards).
259. Security Clearance Investigations Program. (Same authority
as 215.)
260. Industrial Security Program. (Same authority as 215.)
261. Security Officer Matters. (Same authority as 215.)
262. Overseas Homicide (Attempted Homicide--International
Terrorism). Title 18, United States Code, Section 2331.
263. Office of Professional Responsibility Matters.
264. Computer Fraud and Abuse Act of 1986. Electronic
Communications Privacy Act of 1986. Title 18, United States Code,
Section 1030; Title 18, United States Code, Section 2701.
265. Acts of Terrorism in the United States--International
Terrorist. (Followed by predicate offense from other classification.)
266. Acts of Terrorism in the United States--Domestic Terrorist.
(Followed by predicate offense from other classification.)
267. Drug-Related Homicide. Title 21, U.S. Code, Section 848(e).
268. Engineering Technical Matters--FCI.
269. Engineering Technical Matters--Non-FCI.
270. Cooperative Witnesses.
271. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
272. Money Laundering. Title 18, U.S. Code, Sections 1956 and
1957.
273. Adoptive Forfeiture Matter--Drug. Forfeiture based on
seizure of property by state, local or other Federal authority.
274. Adoptive Forfeiture Matter--Organized Crime. (Same
explanation as 273.)
275. Adoptive Forfeiture Matter--White Collar Crime. (Same
explanation as 273.)
276. Adoptive Forfeiture Matter--Violent Crime/Major Offenders
Program. (Same explanation as 273.)
277. Adoptive Forfeiture Matter--Counterterrorism Program. (Same
explanation as 273.)
278. Presidents Intelligence Oversight Board. Executive Order
12334.
279. Biological Weapons Anti-Terrorism Act of 1989. (Title 18,
U.S. Code, Sections 175-179).
280. Equal Employment Opportunity Investigations.
281. Organized Crime Drug Investigations. Records Maintained in
FBI Field Divisions--FBI field divisions maintain for limited periods
of time investigative, administrative and correspondence records,
including files, index cards and related material, some of which are
duplicated copies of reports and similar documents forwarded to FBI
Headquarters. Most investigative activities conducted by FBI field
divisions are reported to FBI Headquarters at one or more stages of
the investigation. There are, however, investigative activities
wherein no reporting was made to FBI Headquarters, e.g., pending
cases not as yet reported and cases which were closed in the field
division for any of a number of reasons without reporting to FBI
Headquarters.
Duplicate records and records which extract information reported
in the main files are also kept in the various divisions of the FBI
to assist them in their day-to-day operation. These records are lists
of individuals which contain certain biographic data, including
physical description and photograph. They may also contain
information concerning activities of the individual as reported to
FBIHQ by the various field offices. The establishment of these lists
is necessitated by the needs of the Division to have immediate access
to pertinent information duplicative of data found in the central
records without the delay caused by a time-consuming manual search of
central indices. The manner of segregating these individuals varies
depending on the particular needs of the FBI Division. The
information pertaining to individuals who are a part of the list is
derivative of information contained in the Central Records System.
These duplicative records fall into the following categories:
(1) Listings of individuals used to assist in the location and
apprehension of individuals for whom legal process is outstanding
(fugitives):
(2) Listings of individuals used in the identification of
particular offenders in cases where the FBI has jurisdiction. These
listings include various photograph albums and background data
concerning persons who have been formerly charged with a particular
crime and who may be suspect in similar criminal activities; and
photographs of individuals who are unknown but suspected of
involvement in a particular criminal activity, for example, bank
surveillance photographs:
(3) Listings of individuals as part of an overall criminal
intelligence effort by the FBI. This would include photograph albums,
lists of individuals known to be involved in criminal activity,
including theft from interstate shipment, interstate transportation
of stolen property, and individuals in the upper echelon of organized
crime:
(4) Listings of individuals in connection with the FBI's mandate
to carry out Presidential directives on January 8, 1943, July 24,
1950, December 15, 1953, and February 18, 1976, which designated the
FBI to carry out investigative work in matters relating to espionage,
sabotage, and foreign counterintelligence. These listings may include
photograph albums and other listings containing biographic data
regarding individuals. This would include lists of identified and
suspected foreign intelligence agents and informants:
(5) Special indices duplicative of the central indices used to
access the Central Records System have been created from time to time
in conjunction with the administration and investigation of major
cases. This duplication and segregation facilitates access to
documents prepared in connection with major cases.
In recent years, as the emphasis on the investigation of white
collar crime, organized crime, and hostile foreign intelligence
operations has increased, the FBI has been confronted with
increasingly complicated cases, which require more intricate
information processing capabilities. Since these complicated
investigations frequently involve massive volumes of evidence and
other investigative information, the FBI uses its computers, when
necessary to collate, analyze, and retrieve investigative information
in the most accurate and expeditious manner possible. It should be
noted that this computerized investigative information, which is
extracted from the main files or other commercial or governmental
sources, is only maintained as necessary to support the FBI's
investigative activities. Information from these internal
computerized subsystems of the ``Central Records System'' is not
accessed by any other agency. All disclosures of computerized
information are made in printed form or other appropriate format, in
accordance with the routine uses which are set forth below and in
compliance with applicable security requirements.
Records also are maintained on a temporary basis relevant to the
FBI's domestic police cooperating program, where assistance in
obtaining information is provided to state and local police agencies.
Also, personnel type information, dealing with such matters as
attendance and production and accuracy requirements is maintained by
some divisions.
(The following chart identifies various listings or indexes
maintained by the FBI which have been or are being used by various
divisions of the FBI in their day-to-day operations. The chart
identifies the list by name, description and use, and where
maintained, i.e., FBI Headquarters and/or Field Office. The number of
field offices which maintain these indices is also indicated. The
list indicates those indexes which are in current use (designated by
the word ``active'') and those which are no longer being used,
although maintained (designated by the word ``inactive''). There are
27 separate indices which are classified in accordance with existing
regulations and are not included in this list. The following indices
are no longer being used by the FBI and are being maintained at FBIHQ
pending receipt of authority to destroy: Black Panther Party Photo
Index; Black United Front Index; Security Index; and Wounded Knee
Album.)
1. Administrative Index (ADEX). Consists of cards with
descriptive data on individuals who were subject to investigation in
a national emergency because they were believed to constitute a
potential or active threat to the internal security of the United
States. When ADEX was started in 1971, it was made up of people who
were formerly on the Security Index, Reserve Index, and Agitator
Index. This index is maintained in two separate locations in FBI
Headquarters. ADEX was discontinued in January 1978. This list is
inactive at FBI Headquarters and 29 Field Offices.
2. Anonymous Letter File. Consists of photographs of anonymous
communications and extortionate credit transactions, kidnapping,
extortion and threatening letters. It is active at FBI Headquarters.
3. Associates of DEA Class I Narcotics Violators Listing.
Consists of a computer listing of individuals whom DEA has identified
as associates of Class I Narcotics Violators. It is active at FBI
Headquarters and 56 Field Offices.
4. Background Investigation Index--Department of Justice.
Consists of cards on persons who have been the subject of a full
field investigation in connection with their consideration of
employment in sensitive positions with Department of Justice, such as
U.S. Attorney, Federal judges, or a high level Department position.
It is active at FBI Headquarters.
5. Background Investigation Index--White House, Other Executive
Agencies, and Congress. Consists of cards on persons who have been
the subject of a full field investigation in connection with their
consideration for employment in sensitive positions with the White
House, Executive agencies (other than the Department of Justice) and
the Congress. Active at FBI Headquarters.
6. Bank Fraud and Embezzlement Index. Consists of individuals who
have been the subject of ``Bank Fraud and Embezzlement''
investigation. This file is used as an investigative aid. It is
active in one Field Office.
7. Bank Robbery Album. Consists of photos of bank robbers,
burglars, and larceny subjects. In some field offices it will also
contain pictures obtained from local police departments of known
armed robbers and thus potential bank robbers. The index is used to
develop investigative leads in bank robbery cases and may also be
used to show to witnesses of bank robberies. It is usually filed by
race, height, and age. This index is also maintained in one resident
agency (a suboffice of a field office). Active in 47 Field Offices.
8. Bank Robbery Nickname Index. Consists of nicknames used by
known bank robbers. The index cards on each would contain the real
name and method of operation and are filed in alphabetical order.
Active in one Field Office.
9. Bank Robbery Note File. Consists of photographs of notes used
in bank robberies in which the suspect has been identified. This
index is used to help solve robberies in which the subject has not
been identified but a note was left. The role is compared with the
index to try to match the sentence structure and handwriting for the
purpose of identifying possible suspects. Active at FBI Headquarters.
10. Bank Robbery Suspect Index. Consists of a control file or
index cards with photos, if available, of bank robbers or burglars.
In some field offices these people may be part of a bank robbery
album. This index is generally maintained and used in the same manner
as the bank robbery album. Active in 33 Field Offices.
11. Car Ring Case Photo Album. Consists of photos of subjects and
suspects involved in a large car theft ring investigation. It is used
as an investigative aid. Active in one Field Office.
12. Car Ring Case Photo Album and Index. Consists of photos of
subjects and suspects involved in a large car theft ring
investigation. The card index maintained in addition to the photo
album contains the names and addresses appearing on fraudulent title
histories for stolen vehicles. Most of these names appearing on these
titles are fictitious. But the photo album and card indexes are used
as an investigative aid. Active in one Field Office.
13. Car Ring Case Toll Call Index. Consists of cards with
information on persons who subscribe to telephone numbers to which
toll calls have been placed by the major subjects of a large car
theft ring investigation. It is maintained numerically by telephone
number. It is used to facilitate the development of probable cause
for a court-approved wiretap. Active in two Field Offices.
14. Car Ring Theft Working Index. Contains cards on individuals
involved in car ring theft cases on which the FBI Laboratory is doing
examination work. Active at FBI Headquarters.
15. Cartage Album. Consists of photos with descriptive data of
individuals who have been convicted of theft from interstate shipment
or interstate transportation of stolen property where there is a
reason to believe they may request the offense. It is used in
investigating the above violations. Active in three Field Offices.
16. Channelizing Index. Consists of cards with the names and case
file numbers of people who are frequently mentioned in information
reports. The index is used to facilitate the distributing or
channeling of information reports to appropriate files. Active in
nine Field Offices.
17. Check Circular File. Consists of fliers numerically in a
control file on fugitives who are notorious fraudulent check passers
and who are engaged in a continuing operation of passing checks. The
fliers, which include the subject's name, photo, a summary of the
subject's method of operation and other identifying data, are used to
alert other FBI field offices and business establishments which may
be the victims of bad checks.
18. Computerized Telephone Number File (CTNF) Intelligence.
Consists of a computer listing of telephone numbers (and)
subscribers' names and addresses) utilized by subjects and/or certain
individuals which come to the FBI's attention during major
investigations. During subsequent investigations, telephone numbers,
obtained through subpoena, are matched with the telephone numbers on
file to determine connections or associations. Active at FBI
Headquarters.
19. Con Man Index. Consists of computerized names of individuals,
along with company affiliation, who travel nationally and
internationally while participating in large-dollar-value financial
swindles. Active in four Field Offices.
20. Confidence Game (Flim Flam) Album. Consists of photos with
descriptive information on individuals who have been arrested for
confidence games and related activities. It is used as an
investigative aid. Active in one Field Office.
21. Copyright Matters Index. Consists of cards of individuals who
are film collectors and film titles. It is used as a reference in the
investigation of copyright matters. Active in one Field Office.
22. Criminal Intelligence Index. Consists of cards with name and
file number of individuals who have become the subject of an
antiracketeering investigation. The index is used as a quick way to
ascertain file numbers and the correct spelling of names. This index
is active in two Field Offices and one Resident Agency.
23. Criminal Informant Index. Consists of cards containing
identity and brief background information on all active and inactive
informants furnishing information in the criminal area. Active at FBI
Headquarters.
24. DEA Class 1 Narcotics Violators Listing. Consists of a
computer listing of narcotic violators--persons known to manufacture,
supply, or distribute large quantities of illicit drugs--with
background data. It is used by the FBI in their role of assisting DEA
in disseminating intelligence data concerning illicit drug
trafficking. This index is also maintained in two resident agencies.
25. Deserter Index. Contains cards with the names of individuals
who are known military deserters. It is used as an investigative aid.
Active in four Field Offices.
26. False Identities Index. Contains cards with the names of
deceased individuals whose birth certificates have been obtained by
other persons for possible false identification uses and in
connection with which the FBI laboratory has been requested to
perform examinations. Inactive at FBI Headquarters.
27. False Identities List. Consists of a listing of names of
deceased individuals whose birth certificates have been obtained
after the person's death, and thus whose names are possibly being
used for false identification purposes. The listing is maintained as
part of the FBI's program to find persons using false identities for
illegal purposes. Inactive at 31 Field Offices.
28. False Identity Photo Album. Consists of names and photos of
people who have been positively identified as using a false
identification. This is used as an investigative aid in the FBI's
investigation of false identities. Inactive in two Field Offices.
29. FBI/Inspector General (IG) Case Pointer System (FICPS).
Consists of a computerized listing of individual names of
organizations which are the subject of active and inactive fraud
investigations, along with the name of the agency conducting the
investigation. Data is available to IG offices throughout the federal
government to prevent duplication of investigative activity. Active
at FBI Headquarters.
30. FBI Wanted Persons Index. Consists of cards on persons being
sought on the basis of Federal warrants covering violations which
fall under the jurisdiction of the FBI. It is used as a ready
reference to identify those fugitives. Active at FBI Headquarters.
31. Foreign Counterintelligence (FCI). Consists of cards with
identity background data on all active and inactive operational and
informational assets in the foreign counterintelligence field. It is
used as a reference aid on the FCI Asset program. Active at FBI
Headquarters.
32. Fraud Against the Government Index. Consists of individuals
who have been the subject of a ``fraud against the
Government''investigation. It is used as an investigative aid. Active
in one Field Office.
33. Fugitive Bank Robbers File. Consists of fliers on bank
robbery fugitives filed sequentially in a control file. FBI
Headquarters distributes to the field offices fliers on bank robbers
in a fugitive status for 15 or more days to facilitate their
location. Active at FBI Headquarters and in 43 Field Offices.
34. General Security Index. Contains cards on all persons that
have been the subject of a security classification investigation by
the FBI field office. These cards are used for general reference
purposes. Active in one Field Office.
35. Hoodlum License Plate Index. Consists of cards with the
license plate numbers and descriptive data on known hoodlums and cars
observed in the vicinity of hoodlum homes. It is used for quick
identification of such person in the course of investigation. The one
index which is not fully retrievable is maintained by a resident
agency. Active in three Field Offices.
36. Identification Order Fugitive Flier File. Consists of fliers
numerically in a control file. When immediate leads have been
exhausted in fugitive investigations and a crime of considerable
public interest has been committed, the fliers are given wide
circulation among law enforcement agencies throughout the United
States and are posted in post offices. The fliers contain the
fugitive's photograph, fingerprints, and description. Active at FBI
Headquarters and in 49 Field Offices.
37. Informant Index. Consists of cards with the name, symbol
numbers, and brief background information on the following categories
of active and inactive informants, top echelon criminal informants,
security informants, criminal information, operational and
informational assets, extremist informants (discontinued), plant
informant--informants on and about certain military basis
(discontinued), and potential criminal informants. Active in 56 Field
Offices.
38. Informants in Other Field Offices, Index of. Consist of cards
with names and/or symbol numbers of informants in other FBI field
offices that are in a position to furnish information that would also
be included on the index card. Active in 15 Field Offices.
39. Interstate Transportation of Stolen Aircraft Photo Album.
Consists of photos and descriptive data on individuals who are
suspects known to have been involved in interstate transportation of
stolen aircraft. It is used as an investigative aid. Active in one
Field Office.
40. IRS Wanted List. Consists of one-page fliers from IRS on
individuals with background information who are wanted by IRS for tax
purposes. It is used in the identification of persons wanted by IRS.
Active in 11 Field Offices.
41. Kidnapping Book. Consists of data, filed chronologically, on
kidnappings that have occurred since the early fifties. The victims'
names and the suspects, if known, would be listed with a brief
description of the circumstances surrounding the kidnapping. The file
is used as a reference aid in matching up prior methods of operation
in unsolved kidnapping cases. Active at FBI Headquarters and inactive
in four Field Offices.
42. Known Check Passers Album. Consists of photos with
descriptive data of persons known to pass stolen, forged, or
counterfeit checks. It is used as an investigative aid. Active in
four Field Offices.
43. Known Gambler Index. Consists of cards with names,
descriptive data, and sometimes photos of individuals who are known
bookmakers and gamblers. The index is used in organized crime and
gambling investigations. Subsequent to GAO's review, and at the
recommendation of the inspection team at one of the two field offices
where the index was destroyed and thus is not included in the total.
Active in five Field Offices.
44. La Cosa Nostra (LCN) Membership Index. Contains cards on
individuals having been identified as members of the LCN index. The
cards contain personal data and pictures. The index is used solely by
FBI agents for assistance in investigating organized crime matters.
Active at FBI Headquarters and 55 Field Offices.
45. Leased Line Letter Request Index. Contains cards on
individuals and organizations who are or have been the subject of a
national security electronic surveillance where a leased line letter
was necessary. It is used as an administrative and statistical aid.
Active at FBI Headquarters.
46. Mail Cover Index. Consists of cards containing a record of
all mail covers conducted on individuals and group since about
January 1973. It is used for reference in preparing mail cover
requests. Active at FBIHQ.
47. Military Deserter Index. Consists of cards containing the
names of all military deserters where the various military branches
have requested FBI assistance in locating. It is used as an
administrative aid. Active at FBI Headquarters.
48. National Bank Robbery Album. Consists of fliers on bank
robbery suspects held sequentially in a control file. When an
identifiable bank camera photograph is available and the case has
been under investigation for 30 days without identifying the subject,
FBIHQ sends a flier to the field offices to help identify the
subject. Active at FBI Headquarters and in 42 Field Offices.
49. National Fraudulent Check File. Contains photographs of the
signature on stolen and counterfeit checks. It is filed
alphabetically but there is no way of knowing the names are real or
fictitious. The index is used to help solve stolen check cases by
matching checks obtained in such cases against the index to identify
a possible suspect. Active at FBI Headquarters.
50. National Security Electronic Surveillance Card File. Contains
cards recording electronic surveillances previously authorized by the
Attorney General and previously and currently authorized by the FISC;
current and previous assets in the foreign counterintelligence field;
and a historical, inactive section which contains cards believed to
record nonconsented physical entries in national security cases,
previously toll billings, mail covers and leased lines. The inactive
section also contains cards Attorney General approvals and denials
for warrantless electronic surveillance in the national security
cases. Inactive at FBI Headquarters.
51. Night Depository Trap Index. Contains cards with the names of
persons who have been involved in the theft of deposits made in bank
night depository boxes. Since these thefts have involved various
methods, the FBI uses the index to solve such cases by matching up
similar methods to identify possible suspects. Active at FBI
Headquarters.
52. Organized Crime Photo Album. Consists of photos and
background information on individuals involved in organized crime
activities. The index is used as a ready reference in identifying
organized crime figures within the field offices' jurisdiction.
Active in 13 Field Offices.
53. Photospread Identification Elimination File. Consists of
photos of individuals who have been subjects and suspects in FBI
investigations. It also includes photos received from other law
enforcement agencies. These pictures can be used to show witnesses of
certain crimes. Active in 14 Field Offices.
54. Prostitute Photo Album. Consists of photos with background
data on prostitutes who have prior local or Federal arrests for
prostitution. It is used to identify prostitutes in connection with
investigations under the White Slave Traffic Act. Active in four
Field Offices.
55. Royal Canadian Mounted Policy (RCMP) Wanted Circular File.
Consists of a control file of individuals with background information
of persons wanted by the RCMP. It is used to notify the RCMP if an
individual is located. Active in 17 Field Offices.
56. Security Informant Index. Consists of cards containing
identity and brief background information on all active and inactive
informants furnishing information in the criminal area. Active at FBI
Headquarters.
57. Security Subjects Control Index. Consists of cards containing
the names and case file numbers of individuals who have been subject
to security investigations check. It is used as a reference source.
Active in one Field Office.
58. Security Telephone Number Index. Contains cards with
telephone subscriber information subpoenaed from the telephone
company in any security investigation. It is maintained numerically
by the last three digits in the telephone number. It is used for
general reference purposes in security investigations. Active in one
Field Office.
59. Selective Service Violators Index. Contains cards on
individuals being sought on the basis of Federal warrants for
violation of the Selective Service Act. Active at FBI Headquarters.
60. Sources of Information Index. Consists of cards on
individuals and organizations such as banks, motels, local government
that are willing to furnish information to the FBI with sufficient
frequency to justify listing for the benefit of all agents. It is
maintained to facilitate the use of such sources. Active in 10 Field
Offices.
61. Special Services Index. Contains cards of prominent
individuals who are in a position to furnish assistance in connection
with FBI investigative responsibility. Active in 28 Field Offices.
62. Stolen Checks and Fraud by Wire Index. Consists of cards on
individuals involved in check and fraud by wire violations. It is
used as an investigative aid. Active in one Field Office.
63. Stop Notices Index. Consists of cards on names of subjects or
property where the field office has placed a stop at another law
enforcement agency or private business such as pawn shops in the
event information comes to the attention of that agency concerning
the subject or property. This is filed numerically by investigative
classification. It is used to insure that the agency where the stop
is placed is notified when the subject is apprehended or the property
is located or recovered. Active in 43 Field Offices.
64. Surveillance Locator Index. Consists of cards with basic data
on individuals and businesses which have come under physical
surveillance in the city in which the field office is located. It is
used for general reference purposes in antiracketeering
investigations. Active in two Field Offices.
65. Telephone Number Index--Gamblers. Contains information on
persons identified usually as a result of a subpoena for the names of
subscribers to particular telephone numbers or toll records for a
particular phone number of area gamblers and bookmakers. The index
cards are filed by the last three digits of the telephone number. The
index is used in gambling investigations. Active in two Field
Offices.
66. Telephone Subscriber and Toll Records Check Index. Contains
cards with information on persons identified as the result of a
formal request or subpoena to the phone company for the identity of
subscribers to particular telephone numbers. The index cards are
filed by telephone number and would also include identity of the
subscriber, billing party's identity, subscriber's address, date of
request from the telephone company, and file number. Active in one
Field Office.
67. Thieves, Couriers and Fences Photo Index. Consists of photos
and background information on individuals who are or are suspected of
being thieves, couriers, or fences based on their past activity in
the area of interstate transportation of stolen property. It is used
as an investigative aid. Active in four Field Offices.
68. Toll Record Request Index. Contains cards on individuals and
organizations on whom toll records have been obtained in national
security related cases and with respect to which FBIHQ had to prepare
a request letter. It is used primarily to facilitate the handling of
repeat requests on individuals listed. Active at FBIHQ.
69. Top Burglar Album. Consists of photos and background data of
known and suspect top burglars involved in the area of interstate
transportation of stolen property. It is used as an investigative
aid. Active in four Field Offices.
70. Top Echelon Criminal Informer Program (TECIP) Index. Consists
of cards containing identity and brief background information on
individuals who are either furnishing high level information in the
organized crime area or are under development to furnish such
information. The index is used primarily to evaluate, corroborate,
and coordinate informant information and to develop prosecutive data
against racket figures under Federal, State, and local statutes.
Active at FBI Headquarters.
71. Top Ten Program File. Consists of fliers, filed numerically
in a control file, on fugitives considered by the FBI to be 1 of the
10 most wanted. Including a fugitive of the top 10 usually assures a
greater national news coverage as well as nation-wide circulation of
the flier. Active at FBI Headquarters and in 44 Field Offices.
72. Top Thief Program Index. Consists of cards of individuals who
are professional burglars, robbers, or fences dealing in items likely
to be passed in interstate commerce or who travel interstate to
commit the crime. Usually photographs and background information
would also be obtained on the index card. The index is used as an
investigative aid. Active in 27 Field Offices.
73. Truck Hijack Photo Album. Contains photos and descriptive
data of individuals who are suspected truck hijackers. It is used as
an investigative aid and for displaying photos to witnesses and/or
victims to identify unknown subjects in hijacking cases. Active in
four Field Offices.
74. Truck Thief Suspect Photo Album. Consists of photos and
background data on individuals previously arrested or are currently
suspects regarding vehicle theft. The index is used as an
investigative aid. Active in one Field Office.
75. Traveling Criminal Photo Album. Consists of photos with
identifying data of individuals convicted of various criminal
offenses and may be suspects in other offenses. It is used as an
investigative aid. Active in one Field Office.
76. Veterans Administrative (VA)/Federal Housing Administration
(FHA) Matters Index. Consists of cards of individuals who have been
subject of an investigation relative to VA and FHA matters. It is
used as an investigative aid. Active in one Field Office.
77. Wanted Fliers File. Consists of fliers, filed numerically in
a control file, on badly wanted fugitives whose apprehension may be
facilitated by a flier. The flier contains the names, photographs,
aliases, previous convictions, and a caution notice. Active at FBI
Headquarters and in 46 Field Offices.
78. Wheeldex. Contains the nicknames and the case file numbers of
organized crime members. It is used in organized crime
investigations. Active in one Field Office.
79. White House Special Index. Contains cards on all potential
White House appointees, staff members, guests, and visitors that have
been referred to the FBI by the White House security office for a
records check to identify any adverse or derogatory information. This
index is used to expedite such check in view of the tight timeframe
usually required. Active at FBI Headquarters.
80. Witness Protection Program Index. Contains cards on
individuals who have been furnished a new identity by the U.S.
Justice Department because of their testimony in organized crime
trials. It is used primarily to notify the U.S. Marshals Service when
information related to the safety of a protected witness comes to the
FBI's attention. Active at FBI Headquarters.
Authority for maintenance of the system:
Federal Records Act of 1950, Title 44, United States Code,
chapter 31, section 3101; and title 36, Code of Federal Regulations,
chapter XII, require Federal agencies to insure that adequate and
proper records are made and preserved to document the organization,
functions, policies, decisions, procedures and transactions and to
protect the legal and financial rights of the Federal Government,
title 28, United States Code, section 534, delegates authority to the
Attorney General to acquire, collect, classify, and preserve
identification, criminal identification, crime and other records.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records, both investigative and administrative, are maintained in
this system in order to permit the FBI to function efficiently as an
authorized, responsive component of the Department of Justice.
Therefore, information in this system is disclosed to officials and
employees of the Department of Justice, and/or all components
thereof, who have need of the information in the performance of their
official duties.
Personal information from this system may be disclosed as a
routine use to any Federal agency where the purpose in making the
disclosure is compatible with the law enforcement purpose for which
it was collected, e.g., to assist the recipient agency in conducting
a lawful criminal or intelligence investigation, to assist the
recipient agency in making a determination concerning an individual's
suitability for employment and/or trustworthiness for employment and/
or trustworthiness for access clearance purposes, or to assist the
recipient agency in the performance of any authorized function where
access to records in this system is declared by the recipient agency
to be relevant to that function.
In addition, personal information may be disclosed from this
system to members of the Judicial Branch of the Federal Government in
response to a specific request, or at the initiation of the FBI,
where disclosure appears relevant to the authorized function of the
recipient judicial office or court system. An example would be where
an individual is being considered for employment by a Federal judge.
Information in this system may be disclosed as a routine use to any
state or local government agency directly engaged in the criminal
justice process, e.g., police, prosecution, penal, probation and
parole, and the judiciary, where access is directly related to a law
enforcement function of the recipient agency, e.g., in connection
with a lawful criminal or intelligence investigation, or making a
determination concerning an individual's suitability for employment
as a state or local law enforcement employee or concerning a victim's
compensation under a state statute. Disclosure to a state or local
government agency, (a) not directly engaged in the criminal justice
process or (b) for a licensing or regulatory function, is considered
on an individual basis only under exceptional circumstances, as
determined by the FBI.
Information in this system pertaining to the use, abuse or
traffic of controlled substances may be disclosed as a routine use to
federal, state or local law enforcement agencies and to licensing or
regulatory agencies empowered to engage in the institution and
prosecution of cases before courts and licensing boards in matters
relating to controlled substances, including courts and licensing
boards responsible for the licensing or certification of individuals
in the fields of pharmacy and medicine.
In any health care-related civil or criminal case, investigation,
or matter, information indicating patient harm, neglect, or abuse, or
poor or inadequate quality of care, at a health care facility or by a
health care provider, may be disclosed as a routine use to any
Federal, State, local, tribal, foreign, joint, international, or
private entity that is responsible for regulating, licensing,
registering, or accrediting any health care provider or health care
facility, or enforcing any health care-related laws or regulations.
Further, information indicating an ongoing quality of care problem by
a health care provider or at a health care facility may be disclosed
to the appropriate health plan. Additionally, unless otherwise
prohibited by applicable law, information indicating patient harm,
neglect, abuse, or poor or inadequate quality of care may be
disclosed to the affected patient or his or her representative or
guardian at the discretion of and in the manner determined by the
agency in possession of the information. Information in this system
may be disclosed as a routine use in a proceeding before a court of
adjudicative body, e.g., the Equal Employment Opportunity Commission
and the Merit Systems Protection Board, before which the FBI is
authorized to appear, when (a) the FBI or any employee thereof in his
or her official capacity, or (b) any employee in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (c) the United States, where the FBI
determines it is likely to be affected by the litigation, is a party
to litigation or has an interest in litigation and such records are
determined by the FBI to be relevant to the litigation.
Information in this system may be disclosed as a routine use to
an organization or individual in both the public or private sector if
deemed necessary to elicit information or cooperation from the
recipient for use by the FBI in the performance of an authorized
activity. An example would be where the activities of an individual
are disclosed to a member of the public in order to elicit his/her
assistance in our apprehension or detection efforts.
Information in this system may be disclosed as a routine use to
an organization or individual in both the public or private sector
where there is reason to believe the recipient is or could become the
target of a particular criminal activity or conspiracy, to the extent
the information is relevant to the protection of life or property.
Information in this system may be disclosed to legitimate agency
of a foreign government where the FBI determines that the information
is relevant to that agency's responsibilities, and dissemination
serves the best interests of the U.S. Government, and where the
purpose in making the disclosure is compatible with the purpose for
which the information was collected.
Relevant information may be disclosed from this system to the
news media and general public where there exists a legitimate public
interest, e.g., to assist in the location of Federal fugitives, to
provide notification of arrests, and where necessary for protection
from imminent threat of life or property. This would include releases
of information in accordance with 28 CFR 50.2.
A record relating to an actual or potential civil or criminal
violation of the copyright statute, Title 17, United States Code, or
the trademark statutes. Titles 15 and 17, U.S. Code, may be
disseminated to a person injured by such violation to assist him/her
in the institution or maintenance of a suit brought under such
titles. The FBI has received inquiries from private citizens and
Congressional offices on behalf of constituents seeking assistance in
locating individuals such as missing children and heirs to estates.
Where the need is acute, and where it appears FBI files may be the
only lead in locating the individual, consideration will be given to
furnishing relevant information to the requester. Information will be
provided only in those instances where there are reasonable grounds
to conclude from available information the individual being sought
would want the information to be furnished, e.g., an heir to a large
estate. Information with regard to missing children will not be
provided where they have reached their majority.
Information contained in this system, may be made available to a
Member of Congress or staff acting upon the member's behalf when the
member of staff requests the information in behalf of and at the
request of the individual who is the subject of the record.
A record from this system of records may be disclosed as a
routine use to the National Archives and Records Administration and
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906, to the
extent that legislation governing the records permits.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information relating to health care fraud may be disclosed to
private health plans, or associations of private health plans, and
health insurers, or associations of health insurers, for the
following purposes: to promote the coordination of efforts to
prevent, detect, investigate, and prosecute health care fraud; to
assist efforts by victims of health care fraud to obtain restitution;
to enable private health plans to participate in local, regional, and
national health care fraud task force activities; and to assist
tribunals having jurisdiction over claims against private health
plans.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The active main files are maintained in hard copy form and some
inactive records are maintained on microfilm. Investigative
information which is maintained in computerized form may be stored in
memory, on disk storage, on computer tape, or on a computer printed
listing.
Retrievability:
The FBI General Index must be searched to determine what
information, if any, the FBI may have in its files. Index records, or
pointers to specific FBI files, are created on all manner of subject
matters, but the predominant type record is the name index record. It
should be noted the FBI does not index all individuals who furnish
information or all names developed during the course of an
investigation. Only that information considered pertinent, relevant,
or essential for future retrieval, is indexed. In certain major
cases, individuals interviewed may be indexed to facilitate the
administration of the investigation. The FBI has automated that
portion of its index containing the most recent information--15 years
for criminal related matters and 30 years for intelligence and other
type matters.
Automation will not change the ``Central Records System''; it
will only facilitate more economic and expeditious access to the main
files. Searches against the automated records are accomplished on a
``batch off-line'' basis for certain submitting agencies where the
name search requests conform to FBI specified formats and also in an
``on-line'' mode with the use of video display terminals for other
requests. The FBI will not permit any organization, public or
private, outside the FBI to have direct access to the FBI indices
system. All searches against the indices data base will be performed
on site within FBI space by FBI personnel with the assistance of the
automated procedures, where feasible. Automation of the various FBI
field office indices was completed in 1989. This automation
initiative has been on a ``day-one'' basis. This indices system
points to specific files within a given field office. Additionally,
certain complicated investigative matters may be supported by
specialized computer systems or by individual microcomputers. Indices
created in these environments are maintained as part of the
particular computer system and accessible only through the system or
through printed listings of the indices. Full text retrieval is used
in a limited number of cases as an investigative technique. It is not
part of the normal search process and is not used as a substitute for
the General Index or computer indices mentioned above.
The FBI will transfer historical records to the National Archives
consistent with 44 U.S.C. 2103. No record of individuals or subject
matter will be retained for transferred files; however, a record of
the file numbers will be retained to provide full accountability of
FBI files and thus preserve the integrity of the filing system.
Safeguards:
Records are maintained in a restricted area and are accessed only
by agency personnel. All FBI employees receive a complete background
investigation prior to being hired. All employees are cautioned about
divulging confidential information or any information contained in
FBI files. Failure to abide by this provision violates Department of
Justice regulations and may violate certain statutes providing
maximum severe penalties of a ten thousand dollar fine or 10 years
imprisonment or both. Employees who resign or retire are also
cautioned about divulging information acquired in the jobs.
Registered mail is used to transmit routine hard copy records between
field offices. Highly classified records are hand carried by Special
Agents or personnel of the Armed Forces Courier Service. Highly
classified or sensitive privacy information, which is electronically
transmitted between field offices, is transmitted in encrypted form
to prevent interception and interpretation. Information transmitted
in teletype form is placed in the main files of both the receiving
and transmitting field offices. Field offices involved in certain
complicated investigative matters may be provided with on-line access
to the duplicative computerized information which is maintained for
them on disk storage in the FBI Computer Center in Washington, DC,
and this computerized data is also transmitted in encrypted form.
Retention and disposal:
As the result of an extensive review of FBI records conducted by
NARA, records evaluated as historical and permanent will be
transferred to the National Archives after established retention
periods and administrative needs of the FBI have elapsed. As deemed
necessary, certain records may be subject to restricted examination
and usage, as provided by 44 U.S.C. section 2104.
FBI record disposition programs relevant to this System are
conducted in accordance with the FBI Records Retention Plan and
Disposition Schedule which was approved by the Archivist of the
United States and the U.S. District Court, District of Columbia.
Investigative, applicant and administrative records which meet the
destruction criteria will be destroyed after 20 or 30 years at FBI
Headquarters and after 1, 5, 10 or 20 years in FBI Field Offices.
Historical records will be transferred to the National Archives after
30 or 50 years, contingent upon investigative and administrative
needs. The administrative indices and listings described within this
System were appraised separately and disposition authority
established. (Job No. NC1-65-82-4 and amendments)
System manager(s) and address:
Director, Federal Bureau of Investigation, Washington, DC 20535.
Notification procedure:
Same as above.
Record access procedures:
A request for access to a record from the system shall be made in
writing with the envelope and the letter clearly marked ``Privacy
Access Request''. Include in the request your full name, complete
address, date of birth, place of birth, notarized signature, and
other identifying data you may wish to furnish to assist in making a
proper search of our records. Also include the general subject matter
of the document of its file number. The requester will also provide a
return address for transmitting the information. Requests for access
to information maintained at FBI Headquarters must be addressed to
the Director, Federal Bureau of Investigation, Washington, DC 20535.
Requests for information maintained at FBI field divisions or Legal
Attaches must be made separately and addressed to the specific field
division or Legal Attache listed in the appendix to this system
notice.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should also direct their request to the Director,
Federal Bureau of Investigation, Washington, DC 20535, stating
clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information sought.
Record source categories:
The FBI, by the very nature and requirement to investigate
violations of law within its investigative jurisdiction and its
responsibility for the internal security of the United States,
collects information from a wide variety of sources. Basically, it is
the result of investigative efforts and information furnished by
other Government agencies, law enforcement agencies, and the general
public, informants, witnesses, and public source material.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e)(8) (f),
(g), of the Privacy Act pursuant to 5 U.S.C. 552a (j) and (k). Rules
have been promulgated in accordance with the requirements of 5 U.S.C.
553 (b), (c) and (e).
Appendix of Field Divisions and Legal Attaches for the Federal
Bureau of Investigation Field Divisions; Justice/FBI-999
5th Floor, 445 Broadway, Albany, NY 12201.
POB 25186, Albuquerque, NM 87125.
POB 100560, Anchorage, AK 99510.
POB 1683, Atlanta, GA 30370.
7142 Ambassador Road, Baltimore, MD 21207.
2122 Building, Birmingham, AL 35203.
One Center Plaza, Suite 600, Boston, MA 02108.
111 West Huron Street, Buffalo, NY 14202.
6010 Kenley Lane, Charlotte, NC 28217.
219 S. Dearborn St., Chicago, IL 60604.
POB 1277, Cincinnati, OH 45201.
1240 E. 9th St., Cleveland, OH 44199.
POB 137, Columbia, SC 29202.
1801 W. Lamar, Dallas, TX 75202.
POB 1229, Denver, CO 80201.
POB 2118, Detroit, MI 48231.
700 E. San Antonio Ave., El Paso, TX 79901.
POB 50164, Honolulu, HI 96850.
POB 61369, Houston, TX 77208.
POB 1186, Indianapolis, IN 45206.
100 W. Capitol St., Jackson, MS 39269.
POB 8928, Jacksonville, FL 32239.
POB 2449, Kansas City, MO 64142.
POB 10368, Knoxville, TN 37919.
POB 16032, Las Vegas, NV 89101.
POB 21470, Little Rock, AR 72221-1470.
11000 Wilshire Blvd., Los Angeles, CA 90024.
POB 2467, Louisville, KY 40201.
167 N. Main St., Memphis, TN 38103.
POB 592418, Miami, FL 33159.
POB 2058, Milwaukee, WI 53201.
111 Washington Ave. South S-1100, Minneapolis, MN
55401.
POB 2128, Mobile, AL 36652.
POB 1158, Newark, NJ 07101.
POB 2058, New Haven, CT 06521.
POB 51930, New Orleans, LA 70151.
POB 1425, New York, NY 10008.
POB 3828, Norfolk, VA 23514.
POB 54511, Oklahoma City, OK 73154.
POB 548, Omaha, NE 68101.
600 Arch St., Philadelphia, PA 19106.
201 E. Indianola, Phoenix, AZ 85012.
POB 1315, Pittsburgh, PA 15230.
POB 709, Portland, OR 97207.
POB 12325, Richmond, VA 23241.
POB 13130, Sacramento, CA 95813.
POB 7251, St. Louis, MO 63177.
125 S. State St., Salt Lake City, UT 84138.
POB 1630, San Antonio, TX 78296.
880 Front St., San Diego, CA 92188.
POB 36015, San Francisco, CA 94102.
POB BT, San Juan, PR 00936.
915 2nd Ave., Seattle, WA 98174.
POB 3646, Springfield, IL 62708.
POB 172177, Tampa, FL 33602.
Washington Field Office, Washington, DC 20535.
Federal Bureau of Investigation Academy, Quantico, VA
22135.
Legal Attaches: (Send c/o the American Embassy for the
Cities indicated).
Athens, Greece (PSC 108, Box 45, APO AE 09842) Bangkok,
Thailand (Box 67, APO AP 96546).
Bern, Switzerland.
Bogota, Columbia (APO, Miami 34038).
Bonn, Germany (Box 310, APO, New York 09080).
Bridgetown, Barbados (Box B, FPO, Miami 34054).
Brussels, Belgium (APO, New York 09667).
Canberra, Australia (APO, San Francisco 96404-0001).
Caracas, Venezuela (Unit 4966, APO AA 34037).
Hong Kong, B.C.C. (FPO, San Francisco 96659-0002).
London, England (Box 2, FPO, New York 09509).
Madrid, Spain (PSC 61, Box 0001, APO AE 09642).
Manila, Philippines (APO, San Francisco 96528).
Mexico City, Mexico (POB 3087, Laredo, TX 78044-3087).
Montevideo, Uruguay (APO, Miami 34035).
Ottawa, Canada.
Panama City, Panama (Box E, APO, Miami 34002).
Paris, France (APO, New York 09777).
Rome, Italy (APO, New York 09794).
Tokyo, Japan (APO, San Francisco 96503).
Vienna, Austria (Unit 27937, Box 37, APO AE 09222).
JUSTICE/FBI-003
System name:
Bureau Mailing Lists.
System location:
Records may be maintained at all locations at which the Federal
Bureau of Investigation (FBI) operates, including: J. Edgar Hoover
Bldg., 935 Pennsylvania Ave., NW., Washington, DC 20535; FBI Academy,
Quantico, VA 22135; FBI Criminal Justice Information Services (CJIS)
Division, 1000 Custer Hollow Rd., Clarksburg, WV 26306; and FBI field
offices, legal attaches, and information technology centers as listed
on the FBI's Internet website, http://www.fbi.gov, including any
future revisions to the website.
Categories of individuals covered by the system:
All persons appearing on mailing lists maintained throughout the
FBI to facilitate mailings to multiple addressees in furtherance of
FBI activities. These include persons who have requested Bureau
material, persons who are routinely forwarded unsolicited Bureau
material and who meet established criteria (generally law enforcement
or closely related interests), and persons who may be in a position
to furnish assistance in furtherance of the FBI's mission. These do
not include persons on mailing lists not encompassed within this
system as described in the section titled ``Categories of Records in
the System.''
Categories of records in the system:
Records may include name, address, business affiliation, and
supplemental information related to addressees and relevant to a
list's purpose. These do not, however, include mailing lists which
have been incorporated into some other FBI records system, such as a
mailing list supporting a particular investigation maintained as an
investigative record within the FBI's Central Records System.
Authority for maintenance of the system:
Title 5, United States Code, section 301; title 44, United States
Code, section 3101; title 28, United States Code, section 533; and
title 28, Code of Federal Regulations, section 0.85.
Purpose(s):
System records are used for mailing FBI material to multiple
addressees, via hard copy, e-mail, or other means of distribution, in
furtherance of FBI activities. For example, various fugitive alerts
are furnished to local law enforcement agencies, investigations
periodicals are provided to law enforcement professionals, and
information on local law enforcement issues may be provided to
community leaders.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The FBI may disclose relevant system records in accordance with
any blanket routine uses established for FBI records systems. See
Blanket Routine Uses Applicable for FBI records systems. See Blanket
Routine Uses Applicable to More Than One FBI Privacy Act System of
Records, Justice/FBI-BRU, as published today in the Federal Register
(and any future revisions).
In addition, as a routine use specific to this system, the FBI
may disclose relevant system records to the following persons or
entities under the circumstances or for the purposes described below,
to the extent such disclosures are comptiable with the purpose for
which the information was collected. (Routine uses are not meant to
be mutually exclusive and may overlap in some cases.)
A. To a federal, state, local, joint, tribal, foreign,
international, or other public agency/organization, or to any person
or entity in either the public or private sector, domestic or entity
in either the public or private sector, domestic or foreign, where
such disclosure may promote, assist, or otherwise serve law
enforcement interests. By way of example and not limitation, such
disclosures may for instance include: Sharing names of law
enforcement professionals receiving FBI periodicals with law
enforcement agencies interested in reaching a similar audience;
sharing information of intelligence value with other law enforcement
on intelligence agencies to whose lawful responsibilities the
information may be germane; or sharing information pertinent to
victim/witness assistance with local government entities in
furtherance of such assistance.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Most information is maintained in computerized form and stored in
memory, on disk storage, on computer tape, or other computer media.
However, some information may also be maintained in hard copy (paper)
or other form.
Retrievability:
Information typically will be retrieved by an ID number assigned
by computer or by name of person or organization.
Safeguards:
System records are maintained in limited access space in FBI
facilities and offices. Computerized data is password protected. All
FBI personnel are required to pass an extensive background
investigation. The information is accessed only by authorized FBI
personnel or by non-FBI personnel properly authorized to assist in
the conduct of an agency function related to these records.
Retention and disposal:
FBI offices revised the lists as necessary. The records are
destroyed, under authority granted by the National Archives and
Records Administration, when administrative needs are satisfied
[[Page 33561]]
(Job. No. NC1-65-82-4, part E, item 13 (I)).
System manager(s) and address:
Director, FBI, 935 Pennsylvania Ave., NW, Washington, DC 20535-
0001.
Notification procedure:
Same as Record Access Procedures.
Record access procedures:
A request for access to a record from the system shall be made in
writing with the envelope and the letter clearly market ``Privacy Act
Request''. Include in the request your full name and complete
address. The requester must sign the request; and, to verify it, the
signature must be notarized or submitted under 28 U.S.C. 1746, a law
that permits statements to be made under penalty of perjury as a
substitute for notarization. You may submit any other identifying
data you wish to furnish to assist in making a proper search of the
system. Requests for access to information maintained at FBI
Headquarters must be addressed to the Director, Federal Bureau of
Investigation, 935 Pennsylvania Ave., NW, Washington, DC 20535-0001.
Requests for information maintained at FBI field offices, legal
attaches, information technology centers, or other locations must be
made separately and addressed to the specific field office, legal
attache, information technology center, or other location as listed
on the FBI's Internet website, http://www.fbi.gov, including any
future revisions to the website.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should also direct their request to the appropriate FBI
office, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
The mailing list information is based on information supplied by
affected individuals/organizations, public source data, and/or
information already in other FBI records systems.
Systems exempted from certain provisions of the act:
None.
JUSTICE/FBI 006
System name:
Electronic Surveillance (ELSUR) Indices.
System location:
Records may be maintained at all locations at which the Federal
Bureau of Investigation (FBI) operates, including: J. Edgar Hoover
Bldg., 935 Pennsylvania Ave., NW, Washington, DC 20535; and FBI field
offices and information technology centers as listed on the FBI's
Internet website, http://www.fbi.gov, including any future revisions
to the website.
Categories of individuals covered by the system:
Individuals and entities who have been the targets of electronic
surveillance coverage sought, conducted, or administered by the FBI
pursuant to a court order or other authority; those who have been a
party to a communication monitored/recorded electronically pursuant
to a court order, consensual monitoring, or other authorized
monitoring sought, conducted, or administered by the FBI; and those
who own, lease, license, hold a possessor interest in, or commonly
use the location subjected to electronic surveillance.
Categories of records in the system:
The ELSUR Indices are comprised of four types of records:
1. Principal records identify, by true name or best known name,
all persons, entities, and facilities who have been the targets of
electronic surveillance coverage sought, conducted, or administered
by the FBI pursuant to a court order or other authority. These
records include, but are not limited to, persons, entities, and
facilities named in an application filed by the FBI in support of an
affidavit seeking a court order to conduct or administer an
electronic surveillance. Principal records may also include
descriptive data associated with the name appearing on the record.
2. Proprietary-interest records identify entities and/or
individuals who own, lease, license, hold a possessory interest in,
or commonly use the location subjected to an electronic surveillance.
Proprietary-interest records may also include descriptive data
associated with the name appearing on the record.
3. Intercept records identify, by true name or best known name,
individuals who have been reasonably identified by a first name or
initial and a last name as being a party to a communication
monitored/recorded electronically by the FBI pursuant to an
electronic surveillance. Intercept records also identify entities
that have been a party to a communication monitored/recorded
electronically by the FBI pursuant to an electronic surveillance.
Intercept records may include descriptive data associated with the
name appearing on the record.
4. Reference records identify, by partial name, such as a first
name only, last name only, code name, nickname, or alias those
individuals who have been a party to a communication monitored/
recorded electronically by the FBI pursuant to an electronic
surveillance, and may include descriptive data associated with the
individual. If the individual is later identified by a more complete
name, e.g., through further monitoring or normal investigative
procedures, the reference record is re-entered as an intercept
record.
Authority for maintenance of the system:
The ELSUR Indices were initiated in October, 1966, at the
recommendation of the Department of Justice and relate to electronic
surveillance sought, administered, and/or conducted by the FBI since
January 1, 1960. The authority for the maintenance of these records
is title 5, United States Code, section 301; title 44, United States
Code, section 3101; title 18, United States Code, section 2510, et
seq.; title 18, United States Code, section 3504; title 28, United
States Code, section 533, title 50, United States Code 1801, et seq.;
and title 28, Code of Federal Regulations, section 0.85.
Purpose(s):
These records are used by the FBI to maintain certain information
regarding electronic surveillance sought, conducted or administered
by the FBI in order to permit the agency to respond to judicial
inquiries about possible electronic surveillance coverage of any
individual or entity involved in Federal court proceedings and to
enable the Government to certify, as requested by federal, state or
local law enforcement agencies, whether or not an individual, entity,
facility, or place on whom a court ordered authority is being sought
for electronic surveillance coverage has ever been subjected to
electronic surveillance coverage in the past.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The FBI may disclose relevant system records in accordance with
any blanket routine uses established for FBI records systems. See
Blanket Routine Uses Applicable to More Than One FBI Privacy Act
System of Records, Justice/FBI-BRU, as published today in the Federal
Register (and any future revisions).
In addition, as routine uses specific to this system, the FBI may
disclose relevant system records to the following persons or entities
under the
[[Page 33562]]
circumstances or for the purposes described below, to the extent such
disclosures are compatible with the purpose for which the information
was collected. (Routine uses are not meant to be mutually exclusive
and may overlap in some cases.)
A. To the judiciary in response to inquiries about possible
electronic surveillance coverage of any individual or entity involved
in Federal court proceedings.
B. To federal, state, and local law enforcement officers to
enable the government to certify whether or not an individual,
entity, facility, or place on whom a court ordered authority is being
sought for electronic surveillance coverage has ever been subjected
to electronic surveillance coverage in the past.
C. To a federal, state, local, joint, tribal, foreign,
international, or other public agency/organization, or to any person
or entity in either the public or private sector, domestic or
foreign, where such disclosure may promote, assist, or otherwise
serve law enforcement interests. By way of example and not
limitation, such disclosures may for instance include: Sharing
information of intelligence value with other law enforcement or
intelligence agencies to whose lawful responsibilities the
information may be germane; disclosing information to another law
enforcement or intelligence agency which may bear on the suitability
of a person for employment or continued employment with that agency;
disclosing information to a cognizant employer or clearance-granting
authority which may bear on the trustworthiness of a person to obtain
or retain a security clearance; or sharing information pertinent to
victim/witness assistance with local government entities in
furtherance of such assistance.
D. To any person or entity in either the public or private
sector, domestic or foreign, if deemed by the FBI to be reasonable
and helpful in eliciting information or cooperation from the
recipient for use by the FBI in the performance of an authorized
function, e.g., disclosure of personal information to a member of the
public in order to elicit his/her assistance/cooperation in a
criminal, security, or employment background investigation.
E. To any person or entity in either the public or private
sector, domestic or foreign, where there is reason to believe that a
person or entity could become the target of a particular criminal
activity or conspiracy, to the extent the disclosure of information
is deemed by the FBI to be reasonable and relevant to the protection
of life, health, or property of such target.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The majority of the records are maintained in an automated data
base. Some records are maintained in hard-copy (paper) format or
other form.
Retrievability:
Information typically will be retrieved by the name of the
individual or entity. Telephone numbers and other such serial or
identification numbers are retrievable numerically. Locations
targeted are retrievable by street name.
Safeguards:
System records are maintained in limited access space in FBI
facilities and offices. Computerized data is password protected. All
FBI personnel are required to pass an extensive background
investigation. The information is accessed only by authorized FBI
personnel or by non-FBI personnel properly authorized to assist in
the conduct of an agency function related to these records.
Retention and disposal:
A reference record is purged if the individual is later
identified by a more complete name and re-entered as an intercept
record. Remaining reference records are purged from the system as
follows: Those relating to court ordered electronic surveillance are
purged six months from the date the corresponding authorization for
the surveillance expires. Reference records relating to consensual
intercepts are purged one year from the last intercept date shown on
the record. Until advised to the contrary by the Department, the
courts, or the Congress, all other indices records will be maintained
indefinitely and have been declared permanent by the National
Archives and Records Administration (NARA) (Job No. NC1-65-82-4, Part
E, item 2 (t)).
System manager(s) and address:
Director, Federal Bureau of Investigation, 935 Pennsylvania
Avenue, NW, Washington, DC 20535.
Notification procedure:
Same as Record Access Procedures.
Record access procedures:
A request for notification as to whether a record about an
individual exists in the system and/or for access to a record from
the system shall be made in writing with the envelope and the letter
clearly marked ``Privacy Act Request.'' Include in the request your
full name and complete address. The requests must sign the request;
and, to verify it, the signature must be notarized or submitted under
28 U.S.C. 1746, a law that permits statements to be made under
penalty of perjury as a substitute for notarization. You may submit
any other identifying data you wish to furnish to assist in making a
proper search of the system. Requests for access to information
maintained at FBI Headquarters must be addressed to the Director,
Federal Bureau of Investigation, 935 Pennsylvania Avenue, NW,
Washington, DC 20535-0001. Requests for information maintained at FBI
field offices, information technology centers, or other locations
must be made separately and addressed to the specific field office,
information technology center, or other location as listed on the
FBI's Internet website, http://www.fbi.gov, including any future
revisions to the website.
Some information may be exempt from notification and/or access
procedures as described in the section titled ``Systems Exempted from
Certain Provisions of the Act.'' An individual who is the subject of
one or more records in this system may be notified of records that
are not exempt from notification and may access those records that
are not exempt from disclosure. A determination on notification and
access will be made at the time a request is received.
Contesting record procedures:
If you desire to contest or amend information maintained in the
system, you should also direct your request to the appropriate FBI
office, stating clearly and concisely 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 titled ``Systems Exempted from Certain
Provisions of the Act.'' An individual who is the subject of one or
more records in this system may contest and pursue amendment of those
records that are not exempt. A determination whether a record may be
subject to amendment will be made at the time a request is received.
Record source categories:
Information in the indices is derived from electronic
surveillance, public source information, and other FBI record
systems.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and
[[Page 33563]]
(4), (d), (e)(1), (2) and (3), (e)(4)(G) and(H), (e)(5) and(8), (f),
(g) and (m) of the Privacy Act pursuant to 5 U.S.C. 552a(j). 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.
JUSTICE/FBI-007
System name: FBI Automated Payroll System.
System location:
Federal Bureau of Investigation, J. Edgar Hoover Bldg., 10th and
Pennsylvania Avenue NW, Washington, DC 20535.
Categories of individuals covered by the system:
(A) Current employees of the Federal Bureau of Investigation
(FBI), (B) Resigned employees of the FBI are retained in the
automated file for the current year for the purpose of clearing all
pay actions and providing for any retroactive actions and accounting
that might be legislated.
Categories of records in the system:
System contains full record for each employee reflecting all
elements relative to payroll status, plus accounting records and
authorization records through which payrolls are issued and by which
payrolls are issued and by which payrolls are audited. For example,
this system contains the employees' Social Security Number, annual
salary, time and attendance data, and place assignment.
Authority for maintenance of the system:
System is established and maintained in accordance with Federal
pay requirements, and all legislative enactments, Office of Personnel
Management regulations, General Accounting Office rulings and
decisions. Treasury Department regulation, and Office of Management
and Budget regulations relative thereto, Title 5, U.S. Code, section
301 and title 44, U.S. Code, section 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Biweekly issuance of payroll and related matters. Quarterly
issuance of State Tax Report and Federal Insurance Contributions Act
Report. Resign and End-of-Year Federal Tax Records (W-2's), Biweekly,
quarterly, fiscal and annual Budget and Accounting Reports.
Appropriate information is made available to the Internal Revenue
Service, Social Security Administration (to compute future
entitlement to Social Security payments and Medicare/Medicaid
benefits), Thrift Board (to report Thrift Savings Plan contributions
so the Thrift Board can compute future annuities), and state and city
tax bureaus.
In addition, information may be released 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;
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; and,
To the National Archives and Records Administration and the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is stored electronically on
magnetic tapes and disks for use in a computer environment.
Retrievability:
Information is retrieved by Social Security Number. (The
authority to solicit an employee's Social Security Number is based on
title 26, Code of Federal Regulations, section 31.601(b)-2(b).)
Safeguards:
Information contained in the system is relative to the individual
employee's payroll status and is considered confidential to that
employee and to official business conducted for that employee's pay
and accounting purposes. It is safeguarded and protected in
accordance with the FBI's Computer Center's regulations that permit
access and use by only authorized personnel.
Retention and disposal:
Master payroll and accounting records are stored electronically
and retained for a period of three years. Federal tax files are
retained for four years. Auxiliary files pertinent to main payroll
functions are retained for periods varying from three pay periods to
three years, depending on support files needed for any retroactive or
audit purposes. (GRS 2; GSA Reg. 3; GSA Bulletin FPMR B-47,
``Archives and Records''; and Job No. NC1-65-82-4, part E. 13c. (1))
System manager(s) and address:
Director, Federal Bureau of Investigation, Ninth and Pennsylvania
Avenue, NW, Washington DC 20535.
Notification procedure:
Same as the above.
Record access procedures:
A request of access to information may be made by an employee
through his supervisor or by a former employee by writing to the
Federal Bureau of Investigation, 9th and Pennsylvania Avenue, NW,
Washington, DC 20535, Attention Payroll Office.
Contesting record procedures:
Contest of any information should be set out in detail and a
check of all supportive records will be made to determine the factual
data in existence, which is predetermined by source documents and
accounting procedures governing pay matters.
Record source categories:
Source of information is derived from personnel actions, employee
authorizations, and time records which are issued and recorded in
accordance with regulations governing Federal pay.
Systems exempted from certain provisions of the act:
None.
JUSTICE/FBI-008
System name: Bureau Personnel Management System (BPMS).
System location:
Federal Bureau of Investigation, J. Edgar Hoover Building, 10th
and Pennsylvania Avenue, NW, Washington DC 20535.
Categories of individuals covered by the system:
Federal Bureau of Investigation, employees and former employees.
Categories of records in the system:
The system contains personnel information which includes
information set forth on (1) Standard Form 50--Notification of
Personnel Action, (2) SF 176-T-Federal Employee Group Life Insurance
Plan, (3) FBI form 12-60 in lieu of SF 1126--Notification of Pay
Change, (4) SF 2801 and CSC 1084--Application for and additional
information in support of retirement, respectively, (5) SF 2809--
Federal Employment Health Benefit Plan and (6) various intra-agency
forms and memoranda.
Authority for maintenance of the system:
The system is established and maintained pursuant to regulations
set forth in the Federal Personnel Manual. title 5, U.S. Code,
section 301 and title 44; U.S. Code, section 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The BPMS is used (1) to prepare the Notification of Personnel
Action, copies of which are furnished to the Office of Personnel
Management, (2) to prepare Standard Form 52B--Request for Personnel
Action, (3) to generate lists of employees which are used internally
by authorized personnel for recordkeeping, planning, and decision
making purposes, and (4) as a source for the dissemination of
information (A) to federal, state and local agencies and to private
organizations pursuant to service record inquiries and (B) pursuant
to credit inquiries. In response to proper credit inquiries from
credit bureaus and financial institutions, the FBI will verify
employment and furnish salary and length of service.
In addition, information may be released 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;
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; and, to
the National Archives and Records Administration and the General
Services Administration in records management inspections conducted
under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in BPMS is stored by disc and magnetic
tape.
Retrievability:
Information is retrieved (1) on-line through intelligent
workstations and terminals by keying the name or Social Security
Number of the employee and (2) off-line through data base retrievals,
(It is noted the authority to solicit an employee's Social
Security Number is based on title 26, Code of Federal Regulations,
section 31.6011(b)-2(b).)
Safeguards:
Areas housing the system and access terminals are located in
secure buildings available to authorized FBI personnel and escorted
maintenance and repair personnel only. Access terminals are
operational only during normal daytime working hours at which time
they are constantly attended. Access through terminals is protected
by sign-on and passwords.
Retention and disposal:
Electronically stored records for employees and former employees
are maintained indefinitely in a vault under the control of a vault
supervisor. Pursuant to regulations set forth in the Federal
Personnel Manual a copy of the Notification of Personnel Action is
made a part of the employees' personnel file.
The automated records are disposable when administrative needs
have expired. (Job No. NC1-65-82-4, part E. 13c.(1)).
System manager(s) and address:
Director, Federal Bureau of Investigation, John Edgar Hoover
Building, 10th Street and Pennsylvania Avenue, NW, Washington, DC
20535.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from this system shall be made
in writing, with the envelope and the letter clearly marked ``Privacy
Access Request.'' Include in the request the name and return address
of the requestor. Access requests will be directed to the Director,
Federal Bureau of Investigation.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the Director, FBI
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment to the
information sought.
Record source categories:
Sources of information contained in this system are present and
former FBI employees and employee personnel files.
Systems exempted from certain provisions of the act:
None.
JUSTICE/FBI-009
System name:
Fingerprint Identification Records System (FIRS).
System location:
Federal Bureau of Investigation, Criminal Justice Information
Services (CJIS) Division, 1000 Custer Hollow Road, Clarksburg, WV
26306.
Categories of individuals covered by the system:
A. Individuals fingerprinted as a result of arrest or
incarceration.
B. Persons fingerprinted as a result of federal employment
application or military service. In addition, there are a limited
number of persons fingerprinted for alien registration and
naturalization purposes and a limited number of individuals desiring
to have their fingerprints placed on record with the FBI for personal
identification purposes.
Categories of records in the system:
A. Criminal fingerprints and/or related criminal justice
information submitted by authorized agencies having criminal justice
responsibilities.
B. Civil fingerprints submitted by federal agencies and civil
fingerprints submitted by persons desiring to have their fingerprints
placed on record for personal identification purposes.
C. Identification records sometimes referred to as ``rap
sheets,'' which are compilations of criminal history record
information pertaining to individuals who have criminal fingerprints
maintained in the system.
D. A name index pertaining to all individuals whose fingerprints
are maintained in the system.
Authority for maintenance of the system:
The system is established and maintained under authority granted
by 28 U.S.C. 534, Pub. L. 92-544 (86 Stat. 1115), and codified in 28
CFR 0.85 (b) and (j) and part 20. Additional authority is also listed
below under Routine Uses.
Purpose(s):
The purpose for maintaining the Fingerprint Identification
Records System is to perform identification and criminal history
record information functions and maintain resultant records for
local, state, tribal, federal, foreign, and international criminal
justice agencies, as well as for noncriminal justice agencies and
other entities where authorized by federal statute, state statute
pursuant to Pub. L. 92-544, Presidential executive order or
regulation of the Attorney General of the United States. In addition,
identification assistance is provided in disasters and for other
humanitarian purposes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Identification and criminal history record information within
this system of records may be disclosed as follows:
1. To a local, state, tribal, or federal law enforcement agency,
or agency/organization directly engaged in criminal justice activity
(including the police, prosecution, penal, probation/parole, and the
judiciary), and/or to an authorized foreign or international agency/
organization, where such disclosure may assist the recipient in the
performance of a law enforcement function, and/or for the purposes of
eliciting information that may assist the FBI in performing a law
enforcement function; or to a local, state, tribal, federal, foreign,
or international agency/organization for a compatible civil law
enforcement function; or where such disclosure may promote, assist,
or otherwise serve the mutual law enforcement efforts of the law
enforcement community.
2. To a federal, state, tribal, or local criminal or noncriminal
justice agency/organization; or to other entities where specifically
authorized by federal statute, state statute pursuant to Pub. L. 92-
544, Presidential executive order, or regulation of the Attorney
General of the United States for use in making decisions affecting
employment, security, contracting, licensing, revocation, or other
suitability determinations. Examples of these disclosures may include
the release of information as follows:
a. To the Department of Defense, Department of State, Office of
Personnel Management, or Central Intelligence Agency, when requested
for the purpose of determining the eligibility of a person for access
to classified information or assignment to or retention in sensitive
national security duties. 5 U.S.C. 9101 (1990);
b. To federal agencies for use in investigating the background of
present and prospective federal employees and contractors (Executive
Order 10450), including those providing child-care services to
children under age 18 at each federal agency and at any facility
operated or under contract by the federal government. 42 U.S.C. 13041
(1991);
c. To state and local government officials for purposes of
investigating the background of applicants for noncriminal justice
employment or licensing purposes if such investigation is authorized
by a state statute that has been approved by the Attorney General of
the United States. (The Attorney General has delegated to the FBI the
responsibility for approving such state statutes.) Examples of
applicants about whom FIRS information may be disclosed include:
Providers of services/ care for children, the elderly, or disabled
persons; teachers/school bus drivers; adoptive/foster parents;
security guards/private detectives; state bar applicants; doctors;
and explosive dealers/purchasers. Pub. L. 92-544, 86 Stat. 1115;
d. To officials of state racing commissions for use in
investigating the background of an applicant for a state license to
participate in parimutuel wagering. Officials of state racing
commissions in states with a state statute that has been approved
under Pub. L. 92-544 may submit fingerprints of the applicant to the
FBI through the Association of State Racing Commissioners
International, Inc. Results of a criminal record check are returned
to each state racing commission designated on the fingerprint card.
Pub. L. 100-413, 102 Stat. 1101;
e. To officials of Indian tribal governments for use in
investigating the background of an applicant for employment by such
tribes in a position involving regular contact with, or control over,
Indian children. Officials may submit fingerprints to the FBI through
the Bureau of Indian Affairs and the results of the criminal record
check are returned to the Bureau of Indian Affairs for transmittal to
the appropriate tribal government. Pub. L. 101-630; 25 U.S.C. 3205;
25 U.S.C. 3207;
f. To a designated point of contact at a criminal justice agency
for the conduct of background checks under the National Instant
Criminal Background Check System (NICS).
g. To criminal justice officials for the conduct of firearms
related background checks when required to issue firearms or
explosive related licenses or permits according to a state statute or
local ordinance. Fingerprints submitted for this noncriminal justice
purpose, as well as other firearms related permits, are processed
pursuant to Pub. L. 92-544 as set out under 2.c. above. Pub. L. 103-
159; 18 U.S.C. 922;
h. To officials of federally chartered or insured banking
institutions for use in investigating the background of applicants
for employment or to otherwise promote or maintain the security of
those institutions. Pub. L. 92-544; 86 Stat. 1115;
i. To officials of the Securities and Exchange Commission (SEC)
and to self-regulatory organizations (SRO) designated by the SEC for
use in investigating all partners, directors, officers, and employees
involved in the transfers/handling of securities at every member of a
national securities exchange, broker, dealer, registered transfer
agent, and registered clearing agency. (The SROs are: American Stock
Exchange, Boston Stock Exchange, Chicago Board Options Exchange,
Midwest Stock Exchange, New York Stock Exchange, Pacific Stock
Exchange, Philadelphia Stock Exchange, and the National Association
of Securities Dealers.) 15 U.S.C. 78q(f)(2) (1990);
j. To officials of the Commodity Futures Trading Commission
(CFTC) and the National Futures Association for use in investigating
the background of applicants for registration with the CFTC as
commodity dealers/members of futures associations. Such applicants
include futures commission merchants, introducing brokers, commodity
trading advisors, commodity pool operators, floor brokers, and
associated persons. 7 U.S.C. 12a (1992); 7 U.S.C. 21(b)(4)(E);
k. To officials of the Nuclear Regulatory Commission (NRC) for
use in investigating the background of each individual who is
permitted unescorted access to a nuclear utilization facility
(nuclear power plant) and/or who is permitted access to information
relating to the safeguarding of such facilities. 42 U.S.C. 2169
(1992).
3. To noncriminal justice governmental agencies performing
criminal justice dispatching functions or data processing/information
services for criminal justice agencies.
4. To private contractors pursuant to a specific agreement with a
criminal justice agency or a noncriminal justice governmental agency
performing criminal justice dispatching functions or data processing/
information services for criminal justice agencies to provide
services for the administration of criminal justice pursuant to that
agreement. The agreement must incorporate a security addendum
approved by the Attorney General of the United States, which shall
specifically authorize access to criminal history record information,
limit the use of the information to the purposes for which it is
provided, ensure the security and confidentiality of the information,
provide for sanctions, and contain such other provisions as the
Attorney General may require. The power and authority of the Attorney
General hereunder shall be exercised by the FBI Director (or the
Director's designee).
5. To the news media and general public where there exists a
relevant and legitimate public interest (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)
and where disclosure will serve a relevant and legitimate law
enforcement function, e.g., to assist in locating federal fugitives,
and to provide notification of arrests. This would include disclosure
of information in accordance with 23 CFR 20.33 (a)(4) and (c), and
50.2. In addition, where relevant and necessary to protect the
general public or any member of the public from imminent threat to
life, bodily injury, or property, such information may be disclosed.
6. To a Member of Congress or staff acting on 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.
7. To the National Archives and Records Administration and the
General Services Administration for records management inspections
and such other purposes conducted under the authority of 44 U.S.C.
2904 and 2906, to the extent that such legislation requires or
authorizes the disclosure.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
A. The criminal fingerprints and related criminal justice
information are stored in both automated and manual formats. The
manual records are in file cabinets in their original state or on
microfilm.
B. The civil fingerprints are stored in an entirely manual
format.
C. The identification records or ``rap sheets'' are mostly
automated but a significant portion of older records are manual.
D. The criminal name index is either automated or on microfilm
while the civil name index is entirely manual.
Retrievability:
A. Information in the system is retrievable by technical
fingerprint classification and positive identification is effected
only by comparison of unique identifying characteristics appearing in
fingerprint impressions submitted for search against the fingerprints
maintained within the system.
B. An auxiliary means of retrieval is through name indices which
contain names of the individuals, their birth data, other physical
descriptors, and the individuals' technical fingerprint
classification and FBI numbers, if such have been assigned.
Safeguards:
Information in the system is unclassified. Disclosure of
information from the system is made only to authorized recipients
upon authentication and verification of the right to access the
system by such persons and agencies. The physical security and
maintenance of information within the system is provided by FBI
rules, regulations and procedures.
Retention and disposal:
A. The Archivist of the United States has approved the
destruction of records maintained in the criminal file when the
records indicate individuals have reached 99 years of age, and the
destruction of records maintained in the civil file when the records
indicate individuals have reached 99 years of age. (Job. No. N1-65-
95-03)
B. Fingerprints and related arrest data in the system are
destroyed seven years following notification of the death of an
individual whose record is maintained in the system (Job No. N1-65-
95-03)
C. The Archivist has determined that automated FBI criminal
identification records (rap sheets) are to be permanently retained.
Thus, at the time when paper identification records would have been
eligible for destruction, automated FBI criminal identification
records are transferred via magnetic tape to NARA.
D. Fingerprints submitted by state and local criminal justice
agencies are removed from the system and destroyed upon the request
of the submitting agencies. The destruction of fingerprints under
this procedure results in the deletion from the system of all arrest
information related to those fingerprints.
E. Fingerprints and related arrest data are removed from the
Fingerprint Identification Records System upon receipt of federal
court orders for expunction when accompanied by necessary identifying
information. Recognizing lack of jurisdiction of local and state
courts over an entity of the federal government, the Fingerprint
Identification Records System, as a matter of comity, destroys
fingerprints and related arrest data submitted by local and state
criminal justice agencies upon receipt of orders of expunction
directed to such agencies by local and state courts when accompanied
by necessary identifying information.
System manager(s) and address:
Director, Federal Bureau of Investigation, J. Edgar Hoover
Building, 935 Pennsylvania Avenue, NW, Washington, DC 20535-0001.
Notification procedure:
This system has been exempted from subsections (d) and (e)(4)(G)
pursuant to subsections (j)(2), (k)(2), and (k)(5) of the Privacy
Act.
Record access procedures:
This system of records has been exempted from subsections (d) and
(e)(4)(H) pursuant to subsections (j)(2), (k)(2), and (k)(5) of the
Privacy Act. However, procedures are set forth at 28 CFR 16.30-34 and
20.24 for an individual to obtain a copy of his identification record
maintained in the Fingerprint Identification Records System to review
or to obtain a change, correction, or updating of the record.
Contesting record procedures:
Same as above.
Record source categories:
Federal, state, local, tribal, foreign, and international
agencies. See Categories of Individuals.
Exemptions claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (4); (d); (e)(1), (2), (3), (4)(G) and (H), (5) and (8);
and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In
addition, the Attorney General has exempted this system from (c)(3),
(d), (e)(1), and (e)(4)(G) and (H), pursuant to (k)(2) and (k)(5).
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.
JUSTICE/FBI-010
System name: Employee Travel Vouchers and Individual Earning
Records.
System location:
Federal Bureau of Investigation, J. Edgar Hoover Bldg., 10th and
Pennsylvania Avenue, NW, Washington, DC 20535. Records pending audit
are located at Federal Records Centers.
Categories of individuals covered by the system:
Former and current employees of the FBI.
Categories of records in the system:
Payroll, travel and retirement records of current and former
employees of the FBI.
Authority for maintenance of the system:
The head of each executive agency, or his delegate, is
responsible for establishing and maintaining an adequate payroll
system, covering pay, leave and allowances, as a part of the system
of accounting and internal control of the Budget and Accounting
Procedures Act of 1950, as amended, 31 U.S.C. 66, 66a, and 200(a).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used by Departmental personnel to prepare and
document payment to employees of the FBI and to carry out financial
matters related to the payroll or accounting functions.
Release of information to the National Archives and Records
Administration (NARA) and the General Services Administration (GSA):
A record from a system of records may be disclosed as a routine use
to the National Archives and Records Administration (NARA) and GSA in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual on paper files.
Retrievability:
The records can be retrieved by name; and either social security
account number or employee identification number.
Safeguards:
Accessed by Bureau employees at FBI Headquarters and by Field
Office employees at Records Centers. Transmittal document contains
Bureau statement concerning security, i.e., who may access or view
records. Records are maintained in rooms under the control of
employees during working hours and maintained in locked file cabinets
in locked rooms at other times. Security guards further restrict
access to the building to authorized personnel only.
Retention and disposal:
Employee Travel Vouchers are destroyed 6 years, 3 months, after
the period covered by the account (GRS No. 6, Item 1A2). Individual
Earnings Records are destroyed 56 years after date of last entry (GRS
No. 2, Item 1).
System manager(s) and address:
Director, Federal Bureau of Investigation, 9th and Pennsylvania
Avenue, NW, Washington, DC 20535.
Notification procedure:
Written inquiries, including name, date of birth, and social
security number, to determine whether this system contains records
about an individual may be addressed to Director, Federal Bureau of
Investigation, 9th and Pennsylvania Avenue, NW, Washington, DC 20535.
Record access procedures:
Contesting record procedures:
Written inquiries, including name, date of birth and social
security number, requesting access or contesting the accuracy of
records may be addressed to: Director, Federal Bureau of
Investigation, 9th and Pennsylvania Avenue, NW, Washington, DC 20535.
Record source categories:
Travel vouchers turned in by individual employees for official
business. Pay records--time and attendance records, pay determined by
the agency.
Systems exempted from certain provisions of the act:
None.
JUSTICE/FBI-011
System name: Employee Health Records.
System location:
Federal Bureau of Investigation, Administrative Services
Division, Health Service, J. Edgar Hoover Bldg., 10th and
Pennsylvania Avenue, NW, Washington, DC 20535 and the following field
offices: New York, Newark, Philadelphia, Chicago, Los Angeles, San
Francisco, and FBI Academy, Quantico, Virginia. Addresses for field
offices can be found in the appendix of Field Offices for the Federal
Bureau of Investigation in System notice Justice/FBI 002.
Categories of individuals covered by the system:
Current and former employees of the FBI.
Categories of records in the system:
Records of visits to health facilities relating to sickness,
injuries or accidents.
Authority for maintenance of the system:
The head of each agency is responsible, under 5 U.S.C. 7902, for
keeping a record of injuries and accidents to its employees and for
reducing accidents and health risks. These records are maintained
under the general authority of 5 U.S.C. 301 so that the FBI can be
kept aware of the health related matters of its employees and more
expeditiously identify them.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are maintained by the FBI to identify matters
relating to the health of its present and former employees.
Information is available to employees of the FBI whose job function
relates to identifying and resolving health matters of former and
current personnel of the FBI.
In addition, information may be released to the National Archives
and Records Administration and the General Services Administration in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Previous procedure of creation and maintenance of 3 x 5 index
cards to record individual health service visits has been phased out
and a clinical folder is created to maintain an employee health
record and SF 510, ``Nursing Notes''. The information is maintained
manually in a file folder.
Retrievability:
By name.
Safeguards:
These records are maintained by FBI personnel during working
hours and in locked file cabinets during non-working hours. Security
guards further restrict access to the building to authorized
personnel.
Retention and disposal:
Remaining index cards will be destroyed 6 years after date of
last entry (GRS #1, Item 19). The folder containing the health record
and nursing notes will be transferred to the employee's medical
folder, an appendage of the Office Personnel Folder, when Health Unit
is notified of resignations or retirements.
System manager(s) and address:
Director, Federal Bureau of Investigation, 9th and Pennsylvania
Avenue, NW, Washington, DC 20535.
Notification procedure:
Written inquiries, including name, address and social security
number, to determine whether this system of records contains records
about an individual may be addressed to Director, Federal Bureau of
Investigation, 9th and Pennsylvania Avenue, NW, Washington, DC 20535,
and/or individually to the field officers which maintain similar
records.
Record access procedures:
Contesting record procedures:
Written inquiries, including name, date of birth and social
security number, requesting access or contesting the accuracy of
records may be addressed to: Director, Federal Bureau of
Investigation, 9th and Pennsylvania Avenue, NW, Washington, DC 20535,
and the above-mentioned field offices at addresses referred to in
system notice Justice/FBI 002.
Record source categories:
Employees of the Federal Bureau of Investigation originate their
own records. Nursing Notes appear on SF 510.
Systems exempted from certain provisions of the act:
None.
JUSTICE/FBI-012
System name: Time Utilization Record/Keeping (TURK) System.
System location:
Administrative Services Division, Federal Bureau of
Investigation, J. Edgar Hoover Building, 10th and Pennsylvania
Avenue, NW, Washington, DC 20535.
Categories of individuals covered by the system:
Special Agents, Accounting Technicians, Investigative Assistants,
and Laboratory Technicians.
Categories of records in the system:
System contains by-weekly time utilization data of Special
Agents, Accounting Technicians, Investigative Assistants and
Laboratory Technicians.
Authority for maintenance of the system:
This system of records is maintained under the authority of 31
U.S.C. 66a which requires the head of the Department, or his
delegate, to establish a system of accounting and internal control
designed to provide full disclosure of the financial results of the
FBI's activities; adequate financial information needed for the FBI's
management purposes and effective control over and accountability for
all funds, property and other assets for which the FBI is
responsible.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
For the purpose of producing cost accounting reports reflective
of personnel utilization, records may be made available to the
General Accounting Office, the Office of Management and Budget and
the Treasury Department.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is stored electronically on
magnetic tapes and discs for use in a computer environment.
Retrievability:
Information is retrieved by name and/or social security number
and summarized by Cost Center.
Safeguards:
Information is safeguarded and protected in accordance with the
FBI's Computer Center regulations that permit access and use by
authorized personnel only.
Retention and disposal:
Biweekly magnetic tapes and discs are retained for a period of 3
years. Hard copy records are retained in accordance with instructions
contained in GRS No. 8, Items 7 and 8, and GSA Bulletin FPMR-47,
``Archives and Records''. Hard copy records are destroyed; magnetic
tapes are erased and reused. (Job No. NCI-65-82-4, part E. 13c. (1)).
System manager(s) and address:
Director, Federal Bureau of Investigation, 9th and Pennsylvania
Avenue, NW, Washington, DC 20535.
Notification procedure:
Same as above.
Record access procedures:
Same aas above.
Contesting record procedures:
Written requests for access to information may be made by an
employee through his supervisor or by former employees by writing to:
Federal Bureau of Investigation, 9th and Pennsylvania Avenue, NW,
Washington, DC 20535 (Attn: Administrative Services Division).
Contesting of any information should be set out in written detail and
forwarded to the above address. A check of all supportive records
will be made to determine the factual data in existence.
Record source categories:
Source of information is derived from daily time utilization
recording made by the employees.
Systems exempted from certain provisions of the act:
None.
JUSTICE/FBI-013
System name: Security Access Control System (SACS).
System location:
Federal Bureau of Investigation, J. Edgar Hoover Building, 10th
and Pennsylvania Avenue, NW, Washington, DC 20535.
Categories of individuals covered by the system:
Individuals, both FBI employees and outside visitors, who have
been granted access to the J. Edgar Hoover Building.
Categories of records in the system:
The system contains computerized information concerning names,
badge numbers, and the dates and times of entries of those
individuals, including escorted visitors, who have been issued access
badges to the J. Edgar Hoover Building.
Authorities for maintenance of the system:
The maintenance of this system is authorized by Executive Order
12065, the Privacy Act of 1974 (5 U.S.C. 552a(e)(10)) and Pub. L. 90-
620, as amended (44 U.S.C. chapters 21 and 33). Each of these two
statutes, as well as the Executive Order, is directed toward security
of United States Government records maintained by Federal agencies.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Category of users: Federal Bureau of Investigation management
officials and security personnel. The information is used to
determine the status of individuals entering the building and
maintain control of badges issued to individuals requiring access to
the J. Edgar Hoover Building.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The automated portion of the records is maintained on hard disk
and/or floppy diskettes. Documentary records are maintained in manual
file folders.
Retrievability:
Alphabetically by last name; numerically by access badge number.
Safeguards:
Maintained in a locked room, which is manned 24 hours per day,
with access limited to FBI security personnel.
Retention and disposal:
Computerized records are maintained for one year and hard copy
computer listings are maintained for six months. Cards containing
badge information are destroyed when administrative needs have
expired. Duplicate badges are maintained on individuals granted
permanent access to the building until access is no longer required
and/or upon separation or transfer. (Job No. NC1-65-82-4, Part B.
66c. (8); part E. 13c (1)).
System manager(s) and address:
Director, Federal Bureau of Investigation, J. Edgar Hoover
Building, 10th and Pennsylvania Avenue NW, Washington, DC 20535.
Notification procedure:
Inquiry concerning this system should be in writing and made to
the system manager listed above.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
See categories of individuals.
Systems exempted from certain provisions of the act:
None.
JUSTICE/FBI-014
System name: FBI Alcoholism Program.
System location:
FBI Headquarters, Administrative Services Division, 10th and
Pennsylvania Avenue NW, Washington, DC 20535; and FBI Field
Divisions.
Categories of individuals covered by the system:
This system contains information on current and former FBI
employees who have been counseled or otherwise treated regarding
alcohol abuse or referred to the Alcoholism Program Coordinator or
Counselor.
Categories of records in the system:
This system contains correspondence and records regarding
employees and/or their families who have been referred to the
Alcoholism Program Coordinator or Counselor, the results of any
counseling which may have occurred, recommended treatment and results
of treatment, in addition to interview appraisals and other notes or
records of discussions held with employees relative to this program.
Authority for maintenance of the system:
The maintenance of this system is authorized by Pub. L. 91-616
and Pub. L. 92-255, as amended by Pub. L. 93-282, Section 122, and
the implementing regulations, 42 CFR Part 2.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
All disclosures of information pertaining to an individual are
made in compliance with Pub. L. 91-616, Section 333, and the
Confidentiality of Alcoholism and Drug Abuse Patient Records
Regulations, 42 CFR 2.2, as amended, for the sole purpose of
administering the program.
These records are used to document the nature of an individual's
alcohol abuse problem and progress made, and to record an
individual's participation in and the results of community or private
sector treatment or rehabilitation programs.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are retrieved by employee's name.
Safeguards:
Files are maintained in locked file cabinets, or safes under the
immediate control of the Alcoholism Program Coordinator or other
authorized individuals. Access is strictly limited to the Coordinator
and other authorized personnel.
Retention and disposal:
Files are destroyed 3 years after case is closed. (GRS No. 1,
Item 27 b.; Job No. NC1-65-82-4, Part B. 67d.)
System manager(s) and address:
Director, FBI J. Edgar Hoover Building, 10th and Pennsylvania
Avenue NW., Washington, DC 20535.
Notification procedure:
Inquiry concerning this system should be in writing and made to
the system manager listed above.
Record access procedures:
Requests made by employees should be made in writing to the
Director, FBI, Washington, DC 20535. Requests must contain employee's
full name, date and place of birth, and current office of assignment
and/or home address where records are to be sent. If the individual
making the request is a former employee, he/she must submit a duly
notarized signature in order to establish identity. In addition, the
requester must specify the location of the system of records sought,
i.e., those maintained at FBI headquarters or those maintained in a
particular field division.
Contesting record procedures:
Requests for correction/amendment of records in this system
should be made in writing to the Director, FBI, Washington, DC 20535,
specifying the information to be amended, and the reasons and
justifications for requesting such amendment.
Record source categories:
See categories of individuals.
Systems exempted from certain provisions of the act:
None.
JUSTICE/FBI-015
System name: National Center for the Analysis of Violent Crime
(NCAVC).
System location:
Federal Bureau of Investigation, Training Division, FBI Academy,
Behavioral Science Unit, Quantico, Virginia 22135.
Categories of individuals covered by the system:
A. Individuals who relate in any manner to official FBI
investigations into violent crimes including, but not limited to,
subjects, suspects, victims, witnesses, close relatives, medical
personnel, and associates who are relevant to an investigation.
B. Individuals who are the subject of unsolicited information or
who offer unsolicited information, and law enforcement personnel who
request assistance and/or make inquiries concerning records.
C. Individuals who are the subject of violent crime research
studies including, but not limited to, criminal personality profiles,
scholarly journals, and news media references.
Categories of records in the system'
The National Center for the Analysis of Violent Crime will
maintain in both manual and automated formats case investigation
reports on all forms of solved and unsolved violent crimes. These
violent crimes include, but are not limited to, acts or attempted
acts of murder, kidnapping, incendiary arson or bombing, rape,
physical torture, sexual trauma, or evidence of violent forms of
death. Less than ten percent of the records which are analyzed may
not be directly related to violent activities.
A. Violent Criminal Apprehension Program (VICAP) case reports
submitted to the FBI by a duly constituted Federal, State, county,
municipal, or foreign law enforcement agency in any violent criminal
matter. VICAP reports include, but are not limited to, crime scene
descriptions, victim and offender descriptive data, laboratory
reports, criminal history records, court records, news media
references, crime scene photographs, and statements.
B. Violent crime case reports submitted by FBI headquarters or
field offices, and case reports submitted to the FBI by a duly
constituted Federal, State, county, municipal, or foreign law
enforcement agency in any violent criminal matter.
C. Violent crime research studies, scholarly journal articles,
textbooks, training materials, and news media references of interest
to NCAVC personnel.
D. An index of all detected trends, patterns, profiles and
methods of operation of known and unknown violent criminals whose
records are maintained in the system.
E. An index of the names, addresses, and contact telephone
numbers of professional individuals and organizations who are in a
position to furnish assistance to the FBI's NCAVC operation.
F. An index of public record sources for historical, statistical
and demographic data collected by the U.S. Bureau of the Census.
G. An alphabetical name index pertaining to all individuals whose
records are maintained in the system.
Authority for maintenance of the system:
44 U.S.C. 3101; 41 CFR subpart 101-11.2 and 28 U.S.C. 534.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Currently, the NCAVC is administered by the FBI through its
Training Division, located at the FBI Academy, Quantico, Virginia.
Its primary mission is to consolidate research, training, and
operational support activities for the express purposes of providing
expertise to any legitimate law enforcement agency confronted with
unusual, bizarre, and/or particularly vicious or repetitive violent
crimes.
Records described above are maintained in this system to permit
the FBI to function efficiently as an authorized, responsive
component of the Department of Justice. Therefore, the information in
this system is disclosed to officials and employees of the Department
of Justice, and/or all components thereof, who need the information
to perform their official duties.
Information in this system may be disclosed as a routine use to
any Federal, State, local, or foreign government agency directly
engaged in the criminal justice process where access is directly
related to a law enforcement function of the recipient agency in
connection with the tracking identification, and apprehension of
persons believed to be engaged in repeated or exceptionally violent
acts of criminal behavior.
Information in this system may be disclosed as a routine use in a
proceeding before a court or adjudicative body, e.g., the Equal
Employment Opportunity Commission and the Merit Systems Protection
Board, before which the FBI is authorized to appear, when (a) the FBI
or any employee thereof in his or her official capacity, or (b) any
employee in his or her individual capacity where the Department of
Justice has agreed to represent the employee, or (c) the United
States, where the FBI determines it is likely to be affected by the
litigation, is a party to litigation or has an interest in litigation
and such records are determined by the FBI to be relevant to the
litigation.
Information in this system may be disclosed as a routine use to
an organization or individual in both the public or private sector
pursuant to an appropriate legal proceeding or, if deemed necessary,
to elicit information or cooperation from the recipient for use by
the FBI in the performance of an authorized activity. An example
could be where the activities of an individual are disclosed to a
member of the public to elicit his/her assistance in FBI apprehension
or detection efforts.
Information in this system may be disclosed as a routine use to
an organization or individual in the public or private sector where
there is reason to believe the recipient is or could become the
target of a particular criminal activity or conspiracy and to the
extent the information is relevant to the protection of life or
property.
Relevant information may be disclosed from this system to the
news media and general public where there exists a legitimate public
interest. Examples would include: To obtain public or media
assistance in the tracking, identifying, and apprehending of persons
believed to be engaged in repeated acts of violent criminal behavior;
to notify the public and/or media of arrests; to protect the public
from imminent threat to life or property where necessary; and to
disseminate information to the public and/or media to obtain
cooperation with violent crime research, evaluation, and statistical
programs.
Information in this system may be disclosed as is necessary to
appropriately respond to congressional inquiries on behalf of
constituents.
A record from a system of records may be disclosed as a routine
use to the National Archives and Records Administration (NARA) in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906 to the extent that legislation governing the
record permits.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in the system is stored manually in locked file
cabinets, either in its natural state or on microfilm, at the NCAVC
in Quantico, Virginia. The active main files are maintained in hard
copy form and some inactive records are maintained on microfilm.
In addition, some of the information is stored in computerized
data storage devices at the NCAVC and FBI Computer Center in
Washington, DC. Investigative information which is maintained in
computerized form may be stored in memory on disk storage on computer
tape, or on computer printed listings.
Retrievability:
On-line computer access to NCAVC files is achieved by using the
following search descriptors:
A. A data base which contains the names of individuals, their
birth dates, physical descriptions, and other identification numbers
such as FBI numbers, if such have been assigned.
B. Summary variables contained on VICAP reports submitted to the
NCAVC as previously described.
C. Key words citations to violent crime research studies.
scholarly journal articles, textbooks, training materials, and media
references.
Safeguards:
Records are maintained in restricted areas and accessed only by
FBI employees. All FBI employees receive a complete pre-employment
background investigation. All employees are cautioned about divulging
confidential information or any information contained in FBI files.
Failure to abide by this provision violates Department of Justice
regulations and may violate certain statutes providing maximum severe
penalties of a ten thousand dollar fine or 10 years' imprisonment or
both. Employees who resign or retire are also cautioned about
divulging information acquired in the job.
Registered mail is used to transmit routine hard copy records
between field offices. Highly classified records are hand carried by
Special Agents or personnel of the Armed Forces Courier Service.
Highly classified or sensitive privacy information, which is
electronically transmitted between field offices and to and from FBI
Headquarters, is transmitted in encrypted form to prevent
interception and interpretation.
Information transmitted in teletype form between the NCAVC in
Quantico, Virginia and the FBI Computer Center in Washington, DC, is
encrypted prior to transmission at both places to ensure
confidentiality and security of the data.
FBI field offices involved in certain complicated, investigative
matters may be provided with on-line access to the computerized
information which is maintained for them on disc storage in the FBI
Computer Center in Washington, DC. This computerized data is also
transmitted in encrypted form.
Retention and disposal:
Records are proposed for destruction after 50 years or upon
termination of the program, whichever is earlier. The disposition
schedule is pending with NARA as Job No. N1-65-88-13.
System manager(s) and address:
Director, Federal Bureau of Investigation, 10th and Pennsylvania
Avenue NW, Washington, DC 20535.
Notification procedure:
Address inquiries to the System Manager.
Record access procedures:
Requests for access to records in this system shall be made in
writing with the envelope and the letter clearly marked ``Privacy
Access Request.'' The request must provide the full name, complete
address, date of birth, place of birth, and notarized signature of
the individual who is the subject of the record requested. The
request should also include the general subject matter of the
document or its file number--along with any other known information
which may assist in making a search of the records. The request must
also provide a return addressing for transmitting the information.
Access requests should be addressed to the Director, Federal Bureau
of Investigation, Washington, DC 20535.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should also direct their request to the Director,
Federal Bureau of Investigation, Washington, DC 20535. The request
should state clearly and concisely (1) the reasons for contesting the
information, and (2) the proposed amendment to the information.
Record source categories:
The FBI, by the very nature of its responsibilities to
investigate violations of law within its investigative jurisdiction
and ensure the internal security of the United States, collects
information from a wide variety of sources. Basically, information is
obtained, as a result of investigative efforts, from other Government
agencies, law enforcement agencies, the general public, informants,
witnesses, and public source material.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3), (d), (e)(1), (e)(4) (G) and (H), (f) and (g) of the Privacy
Act pursuant to 5 U.S.C. 552a (j)(2) and (k)(2). Rules have been
promulgated in accordance with the requirements of 5 U.S.C. 553 (b),
(c), and (e).
JUSTICE/FBI-016
System name:
FBI Counterdrug Information Indices System (CIIS) (JUSTICE/FBI-
016).
System location:
The Department of Justice (DOJ) Computer Center, Rockville,
Maryland, and at FBI Headquarters, Washington, DC.
Categories of individuals covered by the system:
Individuals who relate in any manner to official FBI drug law
enforcement investigations including, but not limited to, subjects,
suspects, victims, witnesses, and close relatives and associates who
are relevant to an investigation.
Categories of records in the system:
The records in the system will consist of automated indices to
information located in drug law enforcement case files of the FBI.
Examples of the case files include those concerning the distribution
of controlled substances, continuing criminal enterprises,
racketeering enterprises, Organized Crime Drug Enforcement Task
Forces cases, and organized crime-drug intelligence cases.
These automated indices contain limited summary type data
extracted from the case files. These indices will serve as a pointer
system to FBI case files containing drug law enforcement information;
but the system does not contain the case files themselves. Access to
the case file information must be gained by separate contact with the
appropriate FBI office, outside this system, after the system has
been queried. The system will facilitate better exchange of drug law
enforcement information between and among the FBI and DEA, and such
other law enforcement agencies as may participate in the counterdrug
investigative information sharing program which this system serves.
Only specified data fields from these records will be provided.
Examples of data fields included are name, case file number, race,
sex, name identifiers (alias, true-name, main, reference, individual,
non-individual), locality indicators, date of birth, place of birth,
ID numbers, addresses, violation codes, investigative classification,
and office of origin. Data fields from cases also include status,
date case was opened, date case was closed, and point-of-contact
information such as squad assigned, and auxiliary office. Additional
point-of-contact information will be provided via a table of field
offices and telephone numbers.
Authority for maintenance of the system:
Authority for this system is found at 28 U.S.C. 534, and 44
U.S.C. 3101.
Purpose(s):
The records in this system have been compiled for the purpose of
identifying, apprehending, and prosecuting individuals connected in
any way with the manufacture, distribution, and use of illegal drugs.
The system, by promoting the enhanced sharing of drug intelligence,
is intended to facilitate enhanced cooperation between and among the
FBI and DEA and such other law enforcement agencies as may
participate in the drug law enforcement information sharing program
it serves, eliminate duplication of efforts, and enhance the safety
of law enforcement personnel who conduct these inherently dangerous
investigations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
System records or any pertinent information derived therefrom may
be disclosed (through electronic or other means in the case of
participating Federal law enforcement agencies, and through other,
non-electronic means as appropriate in other cases) to:
(1) Federal, state, local, and foreign law enforcement agencies,
and components thereof, to support their role in the detection and
monitoring of the distribution of illegal drugs in the United States
or such other roles in support of counterdrug law enforcement as may
be permitted by law; direct, electronic, ``read only'' access, by
Federal law enforcement agencies only, to the automated indices of
this system of records may enable these agencies to: (i) Identify FBI
law enforcement information or activities which may be relevant to
their law enforcement responsibilities and, where such information or
activities are identified, request access to information in FBI case
files relating to drug law enforcement, and (ii) ensure appropriate
coordination of such activities with the FBI;
(2) Federal, state, local, and foreign law enforcement agencies,
and components thereof, to the extent necessary to elicit information
pertinent to counterdrug law enforcement;
(3) Foreign law enforcement agencies with whom the FBI maintains
liaison, and agencies of the U.S. foreign intelligence community to
further the efforts of those agencies with respect to the national
security and foreign affairs aspects of international drug
trafficking;
(4) Individuals and organizations in the course of investigations
to the extent necessary to elicit information pertinent to
counterdrug law enforcement;
(5) Any person, organization, or entity within the private or
public sector, domestic or foreign, to the extent necessary to
prevent an imminent or potential crime which could or does directly
threaten loss of life, serious injury, or serious loss of property;
(6) The news media and/or 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) 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 specific request of the individual who is the subject
of the record;
(8) National Archives and Records Administration and the General
Services Administration for records management inspections conducted
under the authority of 44 U.S.C. 2904 and 2906; and
(9) To a court or adjudicative body before which the FBI 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 the FBI to be arguably necessary to the litigation: (i)
The FBI, or any subdivision thereof, or (ii) any employee of the FBI
in his or her official capacity, or (iii) any employee of the FBI in
his or her individual capacity where the DOJ has agreed to represent
the employees, or (iv) the United States, where the FBI determines
that the litigation is likely to affect it or any of its
subdivisions.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing and records in the system:
Storage:
Records described in this system are stored on a mainframe
computer at the DOJ Computer Center, and on back-up storage devices
at FBI Headquarters, which are accessible by the FBI.
Retrievability:
Information in the automated indices will be retrieved by name or
other unique identifier. In addition to other Federal law enforcement
agencies (reference routine use above), the law enforcement
components of the DOJ may have direct, electronic, ``read only''
access (under subsection (b)(1) of the Privacy Act) to this system.
This data will assist DOJ law enforcement components in identifying
whether there may be detailed records which reside in the case files
of the FBI that may be relevant to their law enforcement
responsibilities. Where such records are identified, DOJ law
enforcement components may request access to them.
Safeguards:
Access is limited to designated agency employees with a need-to-
know. All records are stored in a secure area of a secure building.
In addition to controlled access to the building, the areas where
records are kept are either attended by responsible employees,
guarded by security personnel, and/or protected by electronic
surveillance and/or alarm systems, as appropriate. In addition,
unauthorized access to the automated indices is also prevented
through state-of-the-art technology such as encryption and user ID's
and multiple passwords.
Retention and disposal:
The automated indices in this system relate to case files which
are characterized as either permanent or temporary, governed by NARA
criteria in making such assessments. Depending on the nature of the
case files to which they relate, the automated indices in this system
will be retained permanently or disposed of in accordance with the
FBI Records Disposition Schedule developed jointly by NARA and the
FBI and approved by the United States District Court for the District
of Columbia, Washington, DC.
Systems manager(s) and address:
Director, Federal Bureau of Investigation, Washington, DC 20535.
Notification procedure:
Inquires should be addressed to: Federal Bureau of Investigation,
Freedom of Information/Privacy Acts Section, 9th Street and
Pennsylvania Avenue, NW, Washington, DC 20535
Record access procedures:
Same as above.
Contesting records procedure:
Same as above.
Record source categories:
The data maintained in the automated indices in this system is
derived from information in FBI drug law enforcement related case
files, which are not part of this system.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e)
(5) and (8), (f) 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.
JUSTICE/FBI-017
System name:
National DNA Index System (NDIS).
System location:
Federal Bureau of Investigation: FBI Laboratory, U.S. Department
of Justice, J. Edgar Hoover Building, 935 Pennsylvania Ave., NW.,
Washington, DC 20535-0001.
Categories of individuals covered by the system:
Individuals in this system include persons designated by criminal
justice agencies as belonging to one or more of the following groups:
A. Convicted offenders: Persons who have been convicted of crimes
in Federal, State, and/or local courts where the applicable law
permits establishment of a DNA record for the convicted person.
B. Missing persons and their close biological relatives: Persons
reported missing or whose whereabouts are unknown and sought and
their close biological relatives, such as parents, siblings, and
children.
C. Victims: Persons, living or dead, who have been victims of
crimes where the perpetrator of the crime may have carried DNA of the
victim away from the crime scene.
D. DNA personnel: Personnel in Federal, State, and/or local
criminal justice agencies who perform duties related to or are
responsible for DNA records.
Categories of records in the system:
The following definitions are used in this notice:
A. A DNA sample is a body tissue or fluid sample usually a blood
and/or buccal sample, that can be subjected to DNA analysis.
B. A DNA profile consists of a set of DNA identification
characteristics, i.e., the particular chemical form at the various
DNA locations (loci), which permit the DNA of one person to be
distinguishable from that of another person.
C. A target DNA profile is a DNA profile submitted by a criminal
justice agency for the purpose of identifying DNA profiles maintained
by NDIS which match the target DNA profile.
D. A target DNA profile search is a search of appropriate NDIS
DNA records for those records with DNA profiles that may match the
target DNA profile.
E. Personally identifiable information is information such as
names, dates of birth, or social security numbers which are normally
used to identify individuals. Personally identifiable information, as
used in this notice, does not include information derived from the
examination of a DNA sample.
F. A DNA record includes the DNA profile as well as data required
to manage and operate NDIS, i.e., the NDIS Agency identifier which
serves to identify the submitting agency; the NDIS Specimen
Identification Number; information related to the reliability and
maintainability of the DNA profiles; and names of the participating
laboratories and DNA personnel associated with DNA profile analyses.
Records in this system do not include DNA samples but do include
DNA profiles of persons described under ``Categories of Individuals
Covered by the System'' in paragraph A-C. DNA records are input by
criminal justice agencies for use by the NDIS. NDIS includes the
names of DNA personnel associated with DNA profile analyses, the date
after which DNA records from a given DNA analyst can be accepted,
and, when applicable, the date after which associated DNA records are
not accepted. NDIS does not contain case-related or other personally
identifying information about the person from whom the DNA sample was
collected.
DNA records are maintained as follows:
1. The Convicted Offender Index, consisting of DNA records from
convicted offenders;
2. The Missing Persons Index, consisting of DNA records from
missing persons;
3. The Close Biological Relatives Index, consisting of DNA
records from close biological relatives of missing persons;
4. The Unidentified Persons Index, consisting of DNA records from
recovered living persons (e.g., children who can't and others who
can't or refuse to identify themselves), and recovered dead persons
(including their body parts and tissues), whose identities are not
known;
5. The Victims Index, consisting of DNA records from victims,
living or dead, from whom DNA may have been carried away by
perpetrators;
6. The Forensic Index, consisting of DNA records from persons
whose identities are not known with certainty and who left DNA at the
scene of a crime or whose DNA was carried away from it; and
7. The Population File, consisting of DNA profiles intended to
represent various population segments found in the United States. The
Population File consists of DNA records from individuals whose
identities may be: (a) Known to; (b) not known, but determinable
under some circumstances by; or (c) not known and not determinable by
the criminal justice agency submitting the DNA records to NDIS.
Authority for maintenance of the system:
The Violent Crime Control and Law Enforcement Act of 1994, Pub.
L. No. 103-322, 108 Stat. 1796.
Purpose(s):
The purpose of this system and the DNA records maintained in the
system is to provide a national storage medium for DNA records input
by criminal justice agencies. These records can be searched in order
to identify DNA associations with a DNA record obtained during an
investigation of a crime or a missing person. The system is also
maintained for statistical, identification research, and protocol
development and quality control purposes.
In addition to DNA records, records about DNA personnel are
maintained in the system. The purposes of these DNA personnel records
are to control the acceptance of DNA records by NDIS and to
facilitate criminal justice agency contracts required to resolve
potential DNA matches.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Direct disclosures of NDIS records are made to the Federal,
State, and local criminal justice agencies who participate in NDIS.
As a result of an NDIS search by a criminal justice agency, the NDIS
system analyzes the target DNA profile entered by the search agency
and may identify a potential match. Where NDIS identifies a potential
match, the matching DNA's records will be disclosed to the criminal
justice agencies associated with the match.
2. The Federal statute which authorizes NDIS also provides that
the FBI and other criminal justice agencies participating in NDIS may
make secondary or indirect disclosures of DNA records:
(A) To criminal justice agencies for law enforcement
identification purposes;
(B) In judicial proceedings, if otherwise admissible pursuant to
applicable statutes or rules;
(C) For criminal defense purposes, to a defendant, who shall have
access to samples and analyses performed in connection with the case
in which defendant is charged; or
(D) If personally identifiable information is removed, for a
population statistics database, for identification research and
protocol development purposes, or for quality control purposes.
Note: Personal information such as names are not found in NDIS.
However, operational identifiers such as the Specimen No., Criminal
Justice Agency Identifier, and DNA Personnel identifier, are
contained in NDIS. Although unlikely, the identity of an individual
could, under some circumstances, be ascertained with the disclosure
of such numbers for purposes stated in (D) above. This is only
possible when access to a criminal justice agency's records is
provided to the holder of the operational identifiers. Therefore, to
ensure that such associations are not made, these operational numbers
will be removed before disclosure for these purposes.
3. A record may be disclosed from this system of records to the
National Archives and Records Administration and the General Services
Administration in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906, to the extent that legislation
governing the records permits.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in NDIS is stored electronically for use
in a computer environment.
Retrievability:
The primary method for retrieving information from NDIS is the
target DNA profile search described in the routine use disclosure
provisions of this notice.
The NDIS Custodian may retrieve records based on: the DNA
profile, the NDIS Agency identifier, the NDIS Specimen Identification
Number, and/or DNA personnel identifier. Criminal justice agencies
with direct access to NDIS may retrieve their records by the NDIS
Agency identifier, NDIS Specimen Identification Number, or DNA
personnel identifier but only to inspect, modify, or delete their own
DNA records.
Since NDIS records contained in NDIS do not include personal
identifiers of the individuals from whom the DNA samples were
collected, retrieval by personal identifiers of these record subjects
is not possible.
Safeguards:
All records in NDIS are protected from unauthorized access
through appropriate administrative, physical, and technical
safeguards. These safeguards include restricting access to those with
a need-to-know to perform their official duties, using locks and
alarm devices, and encrypting data communications.
No personally identifiable information about individuals who
provided DNA samples is maintained in NDIS. Therefore, names and
personally identifiable information of NDIS DNA records cannot be
disclosed directly from NDIS. (NDIS does, however, maintain the names
of NDA personnel.)
NDIS will disclose to a criminal justice agency the DNA records
of another criminal justice agency only when there is a potential DNA
match. Any additional disclosures of personally identifiable
information or other case-related data are made directly by the
criminal justice agencies from their own files and records, not from
NDIS.
Although ostensibly devoid of personally identifiable
information, DNA records in NDIS contain an NDIS Specimen
Identification Number, NDIS Agency identifier, and a DNA personnel
identifier for law enforcement and/or general operational purposes.
Since it is possible, in some circumstances, to use those numbers
together with the appropriate agency's own records to identify the
individuals represented by the DNA records, additional precautions
are taken.
The precautions involve removal of the Specimen Identification
Numbers, NDIS Agency identifiers, and DNA personnel identifiers,
prior to disclosure pursuant to the 2(D) routine use. (See the
``Routine Uses of Records Maintained in the System'' section of this
notice.) Thus, NDIS will periodically generate DNA profile data sets,
consisting of anonymous DNA profiles, for population statistics
databases, for identification research and protocol development
purposes, or for quality control purposes.
Criminal justice agencies are prohibited from submitting a DNA
record for inclusion in the NDIS Population File for investigative
purposes. The only target DNA profile searches conducted against the
Population File are those necessary to eliminate duplicate DNA
profiles representing the same individual.
Finally, criminal justice agencies with direct access to NDIS
must agree to adhere to national quality assurance standards for DNA
testing, undergo semi-annual external proficiency testing, and
restrict access to DNA samples and data. The NDIS will not accept DNA
analyses from those agencies and/or DNA personnel who fail to comply
with these standards and restrictions; and the NDIS Custodian is
authorized to restrict access to and delete any DNA records
previously entered into the system.
Retention and disposal:
DNA records generated by criminal justice agencies, together with
the personal identifying information of DNA personnel, shall be
retained in NDIS as long as they are substantiated by internal
records of the submitting agency and are permitted either by consent,
by judicial/criminal justice authority, or by Federal, State, or
local law. Records may be deleted by the originating criminal justice
agency or by other Federal, State, or local authorities who are
responsible for deleting any records that are no longer permitted or
appropriate for retention in NDIS. DNA records submitted to NDIS and
then found to be inaccurate shall either be modified to achieve
accuracy or deleted from NDIS by the submitting agency.
Agencies granted access to NDIS are required to establish and
maintain a system of controls to ensure that continued use of their
DNA records in NDIS is lawfully permitted. Such a system of controls
shall ensure that DNA records in NDIS which are authorized by the
consent of individuals, for example, are retained in NDIS only for
the duration and within the scope of the consent.
The NDIS Custodian has the authority to determine that certain
DNA records in NDIS should be deleted or, alternatively, suspended
from use for a period of time determined appropriate by the NDIS
Custodian. The criminal justice agencies whose records are affected
by a determination to delete or suspend records in NDIS shall be
notified of this determination and the nature of the deletion or
suspension. The NDIS Custodian may subsequently decide to either
restore or delete the suspended records, and shall notify the
affected agency of this subsequent determination.
The DNA personnel identifier for a single individual is deleted
from NDIS only after all DNA records associated with that individual
are deleted.
System manager(s) and address:
Director, Federal Bureau of Investigation, c/o National DNA Index
System Custodian, FBI Laboratory, U.S. Department of Justice, J.
Edgar Hoover Building, 935 Pennsylvania Avenue, NW., Washington, DC
20535-0001.
Notification procedure:
None. This system of records has been exempted from subsections
(d) and (e)(4)(G) pursuant to subsection (j)(2) of the Privacy Act,
and thus is exempt from the notification provision.
Records access procedure:
This system of records has been exempted from subsection (d) and
(e)(4)(H) pursuant to subsection (j)(2) of the Privacy Act, and thus
is exempt from its access provisions. NDIS does not retain
information that would allow the NDIS Custodian, independent of the
agency which originated the DNA record, to personally identify the
record by name or other personal identifier. However, subject to
applicable Federal, State, and local law and procedures, the
following alternative procedures are available by which an individual
may request access to records in NDIS.
1. Subjects of DNA Records:
a. Convicted Offender Records: The individual may contact the
Federal, State or local authority (the authorized agency) which
ultimately received the collected DNA sample to obtain instructions
on how to access his/her record. The authorized agency has the DNA
record, if one exists, including information as to whether the DNA
record has been submitted to NDIS. Only the authorized agency would
have information sufficiently specific to permit retrieval of the
record from its files by name or other personally identifiable
information. The authorized agency may also retrieve the DNA record,
if any, that was submitted to NDIS, once locally specified
requirements are met.
In addition, where a convicted offender is relocated voluntarily
or involuntarily to a criminal justice agency (i.e., penal
institution or parole and probation authorities) for custodial or
supervisory purposes in another State or jurisdiction, the DNA record
may be created by the new host criminal justice agency or other State
(or Federal) authority from a DNA sample collected from the Convicted
Offender at the new host criminal justice agency or other State (or
Federal) authority. In such circumstances, the individual may contact
such agency or authority for access instructions.
b. Close Biological Relatives of Missing Persons and Victims;
Living Victims; and Missing Persons Who Have Been Located: These
individuals must contact the criminal justice agency (Federal, State,
or local) which collected and processed the DNA sample to generate
the DNA record. The criminal justice agency can then advise the
individual about procedures for access to the DNA record. Such agency
may also retrieve the DNA record, if any, that was submitted to NDIS,
once locally specified requirements are met.
2. Records of DNA Personnel: These individuals may write to the
Federal, State, or local criminal justice agency by which they are or
were employed.
3. FBI generated records: The subject of an FBI-generated DNA
record may address a Freedom of Information/Privacy Act (FOIA/PA)
request to the Director, FBI, at the address given at the end of this
paragraph. DNA personnel employed by the FBI may also address their
requests to the system manager; however, all the information in NDIS
concerning DNA personnel is also contained in the FBI's Central
Records System (CRS), which may contain additional information. To
request access to the CRS, DNA personnel may address an FOIA/PA
request to the Director, FBI, U.S. Department of Justice, J. Edgar
Hoover Building, 935 Pennsylvania Ave., NW., Washington, DC 20535-
0001.
Contesting records procedure:
This system of records has been exempted from subsections (d) and
(e)(4)(H) pursuant to subsection (j)(2) of the Privacy Act, and is
thus exempt from its amendment and correction provisions. However,
subject to applicable Federal, State, and local laws and procedures,
the following alternative procedures are available by which an
individual may contest his/her records:
1. All Subjects of DNA Records: The requester must follow the
same procedures for contesting records as those outlined under
``Record Access Procedures.'' In addition, the requester should be
aware of the following:
a. DNA records submitted to NDIS and contested on the basis of
inaccurate information must be resolved with the criminal justice
agency that submitted the DNA record NDIS. If a contested DNA record
is found to be inaccurate by the criminal justice agency submitting
the DNA record, such agency shall correct the inaccurate DNA record
by either amending or deleting the record.
b. DNA records submitted to NDIS and contested on the basis of
the authority to retain the DNA record must be resolved with the
criminal justice agency that submitted the contested DNA record. If
such agency determines that the contested DNA records should not be
included in NDIS, such agency must delete the contested DNA record.
2. Records of All DNA Personnel: DNA personnel must follow the
same procedures for contesting records as those outlined under
``Record Access Procedures.''
Record source categories:
DNA records in NDIS are received from Federal, State, and local
criminal justice agencies. These DNA records may be derived from DNA
samples obtained by Federal, State, and local and criminal justice
agencies or their agents (public or private).
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system of records from
subsection (c) (3) and (4); (d); (e) (1), (2), and (3); (e)(4) (G)
and (H); (e) (5) and (8); and (g) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2). Rules are being promulgated in accordance with the
requirements of 5 U.S.C. 553 (b), (c), and (e); and are being
published in the Federal Register.
JUSTICE/FBI-018
System name:
National Instant Criminal Background Check System (NICS).
System location:
Federal Bureau of Investigation, 1000 Custer Hollow Road,
Clarksburg, West Virginia 26306.
Categories of individuals covered by the system:
The categories of individuals covered by the system include any
person who:
A. Is under indictment for, or has been convicted in any court
of, a crime punishable by imprisonment for a term exceeding one year;
B. Is a fugitive from justice;
C. Is an unlawful user of or addicted to any controlled
substance;
D. Has been adjudicated as a mental defective or has been
committed to a mental institution;
E. Is an alien who is illegally or unlawfully in the United
States or who has been admitted to the United States under a non-
immigrant visa;
F. Has been discharged from the Armed Forces under dishonorable
conditions;
G. Having been a citizen of the United States, has renounced such
citizenship;
H. Is subject to a court order that restrains the person from
harassing, stalking, or threatening an intimate partner or child of
such intimate partner (issued after a hearing of which actual notice
was received);
I. Has been convicted in any court of a misdemeanor crime of
domestic violence (involving the use or attempted use of physical
force committed by a current or former spouse, parent, or guardian of
the victim or by a person with a similar relationship with the
victim);
J. Is otherwise disqualified from possessing a firearm under
State law;
K. Is for claims to be a Federal firearms licensee (FFL), i.e., a
person licensed by the Bureau of Alcohol, Tobacco and Firearms (ATF),
United States Department of Treasury, as a manufacturer, dealer, or
importer of firearms; or
L. Has applied for the transfer of a firearm or for a firearms-
related permit or license and has had his or her name forwarded to
the NICS as part of a request for a NICS background check.
(Identifying information about this category of individuals is
maintained for system administration and security purposes in the
``NICS Audit Log,'' a system transaction log described below under
the headings ``CATEGORIES OF RECORDS IN THE SYSTEM'' and ``RETENTION
AND DISPOSAL.'' Identifying information may also be maintained in
appeals files for those individuals who have requested the reason for
a denial or delay from the FBI, or from a law enforcement agency
serving as a POC, and/or challenged the accuracy or validity of a
disqualifying record or otherwise inquired about a NICS transaction.
In cases of allowed transfers, all information in the NICS Audit Log
related to the person or the transfer, other than the NICS
Transaction Number (a unique number assigned to each valid background
request inquiry) assigned to the transfer and the date the number was
assigned, will be destroyed after not more than 90 days after the
transfer is allowed, provided that such information may be retained
for a longer period if necessary to pursue identified cases of misuse
of the system. In such cases, the system will not contain any details
about the type of firearm which is the subject of the proposed
transfer (other than the fact that it is a handgun or long gun) or
whether a sale or transfer of a firearm has actually taken place.)
Categories of records in the system:
The ``NICS Index'' is the only database maintained by the FBI
which was created specifically for the NICS. The NICS Index contains
records obtained by the Attorney General from Federal agencies or
States on individuals who fall into the categories of individuals
listed above under the heading ``CATEGORIES OF INDIVIDUALS COVERED BY
THE SYSTEM,'' C through G. These records contain an individual's
name; sex; race; other personal descriptive data (such as scars and
tattoos); complete date of birth; state of residence; sometimes a
unique identifying number, such as a Social Security number (but NICS
does not require it to be furnished), a military number, or a number
assigned by Federal, State, or local law enforcement authorities.
The ``NICS Audit Log'' is a chronological record of system
(computer) activities that enables the reconstruction and examination
of a sequence of events and/or changes in an event related to the
NICS. With regard to a specific NICS transaction, the audit log will
include: The name and other identifying information about the
prospective transferee; the type of transaction (inquiry or
response); line number; time; date of inquiry; header; message key;
Originating Agency Identifier; and inquiry/response data, such as a
NICS Transaction Number (a unique number assigned to each valid
background request inquiry) and information found by the NICS search.
In addition, the NICS contains information on persons that are
FFLs (or claim to be). This information includes the FFL name,
address, phone numbers, ATF number, access code words, names of
authorized representatives and contact persons, and similar
information used by the NICS to identify, validate, and communicate
with FFLs in the course of NICS operations.
The NICS also contains appeals records
which reflect inquiries by individuals regarding the reason for a
delay or denial by the FBI or a POC, and/or challenges to the
accuracy or validity of a disqualifying record, or other types of
inquiries made by individuals about a NICS transaction.
Authority for maintenance of the system:
(1) 18 U.S.C. 922, as amended by the Brady Handgun Violence
Prevention Act (the ``Brady Act'') (Pub. L. 103-159, Nov. 30, 1993);
(2) 28 U.S.C. 534, as amended (Pub. L. 103-322, Title IV, 4060(a),
Sep. 13, 1994, 105 Stat. 1950).
Purpose(s):
The purpose of the NICS, which was established pursuant to the
Brady Act, is to provide a means of checking available information to
determine whether a person is disqualified from possessing a firearm
under Federal or State law.
Prior to the transfer of a firearm, a prospective transferee, not
licensed under 18 U.S.C. 923, must obtain a firearms transaction form
from an FFL and provide the information required by the ATF. The
firearms transaction form is returned to the FFL, who is required by
the Brady Act to contact the NICS and furnish the name and certain
other identifying data provided by the transferee. NICS conducts a
search which compares the information about the transferee with
information in or available to NICS.
State and local law enforcement agencies may serve as Points of
Contact (POCs) for the NICS. Where there is no POC, the FBI's NICS
Operations Center serves in its place. The POC (or the NICS
Operations Center) receives inquiries from FFLs, initiates NICS
background searches, may check available state and local record
systems, determines whether matching records provide information
demonstrating that an individual is disqualified from possessing a
firearm under Federal or State law, and responds back to the FFLs.
In addition to a review of the NICS Index, a NICS search includes
a review of the pre-existing, separately-managed FBI criminal history
databases of the National Crime Information Center (NCIC)(JUSTICE/
FBI-001), including the Interstate Identification Index (III), to the
extent such searches are possible with the available information.
NCIC and III are cooperative Federal-State programs for the exchange
of criminal history record and other information among criminal
justice agencies to locate wanted and missing persons and for other
identification purposes. The search conducted of the NCIC and III, in
conjunction with the search of the NICS Index, attempts to locate
only information indicating that an individual firearm transferee is
identical to an individual in one or more of categories A through J
listed above under the heading CATEGORIES OF INDIVIDUALS IN THE
SYSTEM, with the search of NCIC and III specifically directed towards
locating information that an individual is within categories A, B, C,
D, H, and I.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The FBI may disclose relevant system records to the following
persons or entities under the circumstances or for the purposes
described below, to the extent such disclosures are compatible with
the purpose for which the information was collected. (Routine uses
are not meant to be mutually exclusive and may overlap in some
cases.)
A. Limited information may be provided by a POC or the NICS
Operations Center to an FFL who has contacted the NICS concerning a
prospective firearm transferee. If a matching record found by the
NICS provides information demonstrating that the prospective
transferee is disqualified from possessing a firearm under Federal or
State law, the FFL will be notified only that the application is
``denied,'' with none of the underlying information provided. If
additional record analysis is required by the NICS representative
(e.g to confirm that a record relates to the potential transferee or
to pursue supplemental information to clarify whether the potential
transferee is disqualified from receiving a firearm), the response
may read ``delayed'' and may include an estimated time for completing
the analysis. If no disqualifying record is located by the NICS, the
FFL will be told that it may ``proceed.'' A unique identification
number will be provided to the FFL for all responses received from
the NICS, which number shall be recorded on the firearms transaction
form.
B. Information in the NICS may be provided through the NCIC lines
to Federal criminal justice agencies, criminal justice agencies in
the fifty States, the District of Columbia, Puerto Rico, U.S.
Possessions, and U.S. Territories, including POCs and contributors of
information in the NICS Index, to enable them to determine whether
the transfer of a firearm to any person not licensed under 18 U.S.C.
923 would be in violation of Federal or State law; whether the
issuance of a license or permit for the possession or sale of a
firearm or firearms, or to carry a concealed firearm, or to import,
manufacture, deal in, or purchase explosives would be in violation of
Federal or State law or regulation; whether appeals from denials
should be granted or denied; and whether to add to, delete from,
revise, or update information previously provided by the contributor.
This includes responding to inquiries by the ATF in connection with
enforcement of the Gun Control Act (18 U.S.C. Chapter 44), or the
National Firearms Act (26 U.S.C. Chapter 53).
C. If, during the course of any activity or operation of the
system authorized by the regulations governing the system (28 CFR,
part 25, subpart A), any record is found by the system which
indicates, either on its face or in conjunction with other
information, a violation or potential violation of law (whether
criminal or civil) and/or regulation, the pertinent record may be
disclosed to the appropriate agency/organization/task force (whether
Federal, State, local, joint, or tribal) and/or to the appropriate
foreign or international agency/organization charged with the
responsibility of investigating, prosecuting, and/or enforcing such
law or regulation, e.g., disclosure of information from the system to
the ATF, United States Department of Treasury, regarding violations
or potential violations of 18 U.S.C. 922(a)(6). (This routine use
does not apply to the NICS Index.)
D. System records may be disclosed to contractors, grantees,
experts, consultants, volunteers, detailees, and other non-FBI
employees performing or working on a contract, service, grant,
cooperative agreement, or job for the Federal Government when
necessary to accomplish an agency function related to this system of
records and under requirements (including Privacy Act requirements)
specified by the FBI.
E. System records may be disclosed to the news media or members
of the general public or to a victim or potential victim in
furtherance of a legitimate law enforcement or public safety
function, e.g., to assist in locating fugitives; to provide
notification of arrests; to provide alerts, assessments, or similar
information on potential threats to life, health, or property; or to
keep the public appropriately informed of other law enforcement or
FBI matters of legitimate public interest. (The availability of
information in pending criminal cases will be governed by the
provisions of 28 CFR 50.2.) (This routine use does not apply to the
NICS Index.)
F. Where the disclosure of system records has been determined by
the FBI to be reasonable and necessary to resolve a matter in
litigation or in anticipation thereof, such records may be disclosed
to a court or adjudicative body, before which the FBI is authorized
to appear, when: (a) The FBI or any FBI employee in his or her
official capacity; (b) any FBI employee in his or her individual
capacity where the Department of Justice has agreed to represent the
employee; or (c) the United States, where the FBI determines it is
likely to be affected by the litigation, is or could be a party to
the litigation, or has an official interest in the litigation.
G. System records may be made available to a Member of Congress
or staff acting on the Member's behalf when the Member or staff
requests the information on behalf and at the written request of the
individual who is the subject of the record.
H. System records may be disclosed to the National Archives and
Records Administration for records management inspections and such
other purposes conducted under the authority of 44 U.S.C. 2904 and
2906.
I. Information pertaining to individuals who have been denieda
firearm by the NICS may be disclosed, either electronically or
otherwise, to a federal, state, local, joint, tribal, foreign,
international, or other p[ublic agency/organization where such
disclosure may promote, assist, or otherwise serve law enforcement
interests. By way of example and not limitation, such disclosures
may, for instance, include posting all NICS denials on a centralized
database that would be electronically accessible tolaw enforcement
agencies.
J. Information in the NICS Audit Log (including records of
approved and denied transfers) may be disclosed to the Bureau of
Alcohol, Tobacco, and Firearms (ATF) in connection with ATF's
inspections of Federal Firearms Licensee records.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored electronically for use in a computer
environment in areas safe from access by unauthorized persons or
exposure to environmental hazards. In general, the security policy
for the NCIC (JUSTICE/FBI-001) is followed.
Retrievability:
Records are retrieved by name, sex, race, date of birth, state of
residence, other personal descriptive data, the NICS Transaction
Number, FFL number, and, in some instances, unique numeric
identifier, e.g., a Social Security number or a military
identification number. (A Social Security number is not required by
the NICS.)
Safeguards:
Records searched by the NICS are located in secure government
buildings with limited physical access. Access to the results of a
NICS record search is further restricted to authorized employees of
Federal, State, and local law enforcement agencies who make inquiries
by use of identification numbers and code words.
When a Federal, State, or local agency places information in the
NICS Index, it uses its agency identifier and a unique agency record
identifier for each record provided to the NICS. Federal, State, or
local agencies can modify or cancel only the data that they have
provided to NICS Index.
Retention and disposal:
Information provided by other Federal agencies or State or local
governments will be maintained in the NICS Index unless updated or
deleted by the agency/government which contributed the data.
The FBI will maintain an audit Log of all NICS transactions.
Firearms transaction approvals will be maintained for 90 days (except
that such information may be retained for a longer period if
necessary to pursue identified cases of misuse of the system). The
NICS Transaction Number (the unique number assigned to the NICS
transaction) and the date on which it was assigned will be maintained
indefinitely. Information related to firearms transfer denials will
be retained for 10 years and then disposed of as directed by the
National Archives and Record Administration.
System manager(s) and address:
Director, Federal Bureau of Investigation, J. Edgar Hoover FBI
Building, 935 Pennsylvania Avenue, NW, Washington, DC 20535-0001.
Notification procedure:
This system of records has been exempted from the notification
procedures of subsections (d) and (e)(4)(G), to the extent permitted
by subsections (j)(2), (k)(2), and (k)(3) of the Privacy Act.
Requests for notification should be addressed to the Systems Manager.
Requirements for a request are the same as set forth below under the
heading ``RECORD ACCESS PROCEDURES.''
Record access procedures:
This system of records has been exempted from the access
procedures of subsections (d) and (e)(4)(H) to the extent permitted
by subsections (j)(2), (k)(2), and (k)(3) of the Privacy Act. A
request for access to a non-exempt record from the system should be
addressed to the System Manager, shall be made in writing, and should
have the envelope and the letter marked ``Privacy Act Request.'' The
request must include the full name, complete address, date of birth,
and place of birth of the requester. The requester must sign the
request; and, to verify it, the signature must be notarized or
submitted under 28 U.S.C. 1746, a law that permits statements to be
made under penalty of perjury as a substitute for notarization.
Alternative procedures are available to a person who has been
denied the transfer of, or permit for, a firearm or explosives
because of information in the NICS. The procedures provide for an
appeal of a denial and a method to seek the correction of erroneous
data searched by or maintained in the system. The alternative
procedures can be found at 28 CFR, part 25, subpart A.
Contesting record procedures:
This system of records has been exempted from the contest and
amendment procedures of subsections (d) and (e)(4)(H) to the extent
permitted by subsections (j)(2),(k)(2), and (k)(3) of the Privacy
Act. Requests should be addressed to the System Manager and should
clearly and concisely describe the precise information being
contested, the reasons for contesting it, and the proposed amendment
or correction proposed to the information. In addition, as described
above under ``RECORD ACCESS PROCEDURES,'' an alternative procedure is
available to a person who has been denied the transfer of, or permit
for, a firearm or explosives because of information in the NICS, by
which the individual may seek the correction of erroneous data in the
system. The procedures are further described at 28 CFR, part 25,
subpart A.
Record source categories:
Information contained in the NICS is obtained from local, State,
Federal, and international records.
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), and (3) (e)(4)(G) and (H); (e)(5)
and (8); and (g) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2).
In addition, the Attorney General has exempted his system from
subsections (c)(3), (d), (e)(1), and (e)(4)(G) and (H) of the Privacy
Act, pursuant to 5 U.S.C. 552a (k)(2) and (k)(3). 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.
JUSTICE/FBI - 999
System name: Appendix of Field Divisions for the Federal Bureau
of Investigation.
Field Office:
502 U.S. Post Office & Court House
Albany, New York 12207
4303 Federal Office Building
Albuquerque, New Mexico 87101
Room 500, 300 North Lee Street
Alexandria, Virginia 22314
Room 238, Federal Building
Anchorage, Alaska 99510
275 Peachtree Street, NE
Atlanta, Georgia 30303
7142 Ambassador Road
Baltimore, Maryland 21207
Room 1400 - 2121 Building
Birmingham, Alabama 35203
John F. Kennedy Federal Office Building
Boston, Massachusetts 02203
Room 1400 - 111 West Huron Street
Buffalo, New York 14202
115 U.S. Court House and Federal Building
Butte, Montana 59701
1120 Jefferson Standard Life Building
Charlotte, North Carolina 28202
Room 905, Everett McKinley Dirksen Building
Chicago, Illinois 60604
415 U.S. Post Office & Court House Building
Cincinnati, Ohio 45202
3005 Federal Office Building
Cleveland, Ohio 44199
1529 Hampton Street
Columbia, South Carolina 29201
Room 200, 1810 Commerce Street
Dallas, Texas 75201
Room 18218, Federal Office Building
Denver, Colorado 80202
Patrick V. McNamara Building
477 Michigan Avenue
Detroit, Michigan 48226
202 U.S. Court House Building
El Paso, Texas 79901
Kalanianaole Federal Building
Room 4307
300 Ala Moana Boulevard
Honolulu, Hawaii 96850
6015 Federal Building and U.S. Court House
Houston, Texas 77002
575 North Pennsylvania St.
Indianapolis, Indiana 46202
800 Unifirst Federal Savings & Loan Building
Jackson, Mississippi 39205
414 U.S. Court House & Post Office Building
Jacksonville, Florida 32202
Room 300 - U.S. Courthouse
Kansas City, Missouri 64106
Room 800, 1111 Northshore Drive
Knoxville, Tennessee 37919
Room 2-011, Federal Office Building
Las Vegas, Nevada 89101
215 U.S. Post Office Building
Little Rock, Arkansas 72201
11000 Wilshire Boulevard
Los Angeles, California 90024
Room 502, Federal Building
Louisville, Kentucky 40202
841 Clifford Davis Federal Building
Memphis, Tennessee 38103
3801 Biscayne Boulevard
Miami, Florida 33137
Room 700, Federal Building and U.S. Court House
Milwaukee, Wisconsin 53202
392 Federal Building
Minneapolis, Minnesota 55401
520 Federal Building
Mobile, Alabama 36602
Gateway I, Market Street
Newark, New Jersey 07101
770 Chapel Building
New Haven, Connecticut 06510
701 Loyola Avenue
New Orleans, Louisiana 70113
201 East 69th Street
New York, New York 10021
Room 300, 870 Military Highway
Norfolk, Virginia 23502
50 Penn Place, N.W., 50th at Pennsylvania
Oklahoma City, Oklahoma 73118
1010 Federal Office Building
Omaha, Nebraska 68102
8th Floor, Federal Office Building
600 Arch Street
Philadelphia, Pennsylvania 19106
2721 North Central Avenue
Phoenix, Arizona 85004
1300 Federal Office Building
Pittsburgh, Pennsylvania 15222
Crown Plaza Building
Portland, Oregon 97201
200 West Grace Street
Richmond, Virginia 23220
Federal Building
2800 Cottage Way
Sacramento, California 95825
2704 Federal Building
St. Louis, Missouri 63103
3203 Federal Building
Salt Lake City, Utah 84138
433 Federal Building
Box 1630
San Antonio, Texas 78296
Federal Office Building
Room 6531
88 Front Street
San Diego, California 92188
450 Golden Gate Avenue
San Francisco, California 94102
U.S. Courthouse and Federal Building
Room 526
Hato Rey, Puerto Rico 00918
5401 Paulsen Street
Savannah, Georgia 31405
915 Second Avenue
Seattle, Washington 98174
535 West Jefferson Street
Springfield, Illinois 62702
Room 610, Federal Office Building
Tampa, Florida 33602
506 Old Post Office Building
Washington, DC 20535
Federal Bureau of Investigation Academy
Quantico, Virginia 22135
LEGAL ATTACHE (all c/o The American Embassy for the cities
indicated):
Bern, Switzerland
Bonn, Germany (Box 310, APO, New York 09080)
Buenos Aires, Argentina
Caracas, Venezuela (APO, New York 09893)
Hong Kong, B.C.C. (FPO, San Francisco 96659)
London, England (Box 40, FPO, New York 09510)
Madrid, Spain (APO, New York 09285)
Manila, Philippines (APO, San Francisco 96528)
Mexico City, Mexico
Ottawa, Canada
Paris, France (APO, New York 09777)
Rome, Italy (APO, New York 09794)
Tokyo, Japan (APO, San Francisco 96503)
DEPARTMENT OF JUSTICE
Foreign Claims Settlement Commission
JUSTICE/FCSC-1
System name:
Indexes of Claimants (Alphabetical)--FCSC.
System location:
Foreign Claims Settlement Commission, 600 E Street, Northwest,
Suite 6002, Washington, DC 20579.
Categories of individuals covered by the system:
Maintained on all individuals who filed claims for compensation
under the statutes administered by the Foreign Claims Settlement
Commission.
Categories of records in the system:
Microfilm copies of index cards and computer-generated paper
indexes containing names of claimants, claim and decision numbers,
date and disposition of claims, addresses and dates of birth.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To enable Commission personnel and interested members of the
public to ascertain whether any named individual, corporation, or
other legal entity has submitted a claim to the Commission.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Used by authorized Commission personnel for identification of
individual claims and to obtain information concerning disposition of
claims.
--The information contained in this system of records (except
for that pertaining to the system ``Justice/FCSC-27: Germany,
Holocaust Survivors Claims Against'', described below) is considered
by the Commission to be public information which may be disclosed as
a routine use to interested persons who make inquiries about the
claims program or individual claims therein, including but not
limited to Members of Congress or congressional staff, staff of the
Office of Management and Budget, other persons interested in the work
of the Commission, and members of the news media.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a Member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof,
ii. Any employee of the FCSC in his or her official capacity,
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Microfilm rolls stored in steel drawers. Computer-generated paper
indexes stored on shelves in cardboard binders.
Retrievability:
By name of individual.
Safeguards:
Security guards in building. Records maintained in locked rooms
accessible only to authorized Commission personnel.
Retention and disposal:
Permanent records. Disposition will be made in accordance with 44
U.S.C. 3301-3314 when such records are determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6986 Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained and information
obtained by actions taken by the Foreign Claims Settlement Commission
as a result of adjudication of individual claims.
JUSTICE/FCSC-2
System name:
Bulgaria, Claims Against (2nd Program)--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals who suffered property losses in Bulgaria between
August 9, 1955, and July 2, 1963.
Categories of records in the system:
Claim application form containing name and address of claimant
and representative, if any, date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Title III, International Claims Settlement Act of 1949, as
amended, and U.S.-Bulgarian Claims Agreement of July 2, 1963.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notifications to claimants of rights to
appeal; and preparation of certifications of awards, if any, to the
Treasury Department for payment by authorized FCSC personnel. Names
and other data furnished by claimants used for verifying citizenship
status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a Members of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. File folders retrieved from
Records Center by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful. This system of records was retired to
the Washington National Records Center after the completion of the
claims program on December 24, 1971.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-3
System name:
Certification of Awards--FCSC.
System location:
Foreign Claims Settlement Commission, 600 E Street, Northwest,
Suite 6002, Washington, DC 20579.
Categories of Individuals covered by the system:
Individuals receiving awards under the International Claims
Settlement Act of 1949, as amended, and War Claims Act of 1948, as
amended.
Categories of records in the system:
Names and addresses of claimants and amounts of awards certified
to Treasury Department for payment. Name and address of claimant's
representative, if any, also included in certification voucher.
Authority for maintenance of the system:
International Claims Settlement Act of 1949, as amended, and War
Claims Act of 1948, as amended.
Purpose(s):
Maintained as a record of the names, addresses, and amounts
awarded to individuals in the Commission's claims programs.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Award certifications prepared by authorized FCSC personnel
and forwarded to Treasury Department for payment in accordance with
statutory authority and Treasury Department regulations and
procedures.
--The information contained in this system of records (except
for that pertaining to the system ``Justice/FCSC-27: Germany,
Holocaust Survivors Claims Against'') is considered by the Commission
to be public information which may be disclosed as a routine use to
interested persons who make inquiries about a claims program or
individual claims therein, including but not limited to Members of
Congress or congressional staff, staff of the Office of Management
and Budget, other persons interested in the work of the Commission,
and members of the news media.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where
the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Contained in file folders.
Retrievability:
By voucher number and date of certification.
Safeguards:
Building has building guards. Records are maintained in file
cabinets in locked rooms.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993. Notification Procedure: Set forth in
part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
From award portion of decisions as determined by FCSC.
JUSTICE/FCSC-4
System name:
China, Claims Against--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses, death and
disability in mainland China arising between October 1, 1949, and May
11, 1979.
Categories of records in the system:
Claim application form containing name and address of claimant
and representative, if any; date and place of birth or naturalization
of claimant; nature and amount of claim; description, ownership and
value of property; and evidence to support claim.
Authority for maintenance of the system:
Titles I and V, International Claims Settlement Act of 1949, as
amended, and the U.S.-China Claims Settlement Agreement of May 11,
1979.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Adjudication of claims, issuance of decisions as to the
validity and amounts of claims and issuance of certifications to each
individual claimant as to amount determined by FCSC officials and
personnel. Such amounts and copies of FCSC decisions were certified
to the Secretary of State and to the Secretary of the Treasury.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute, particular program
statute, or by regulation, rule or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State, local
or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation or order issued pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. File folders retrieved from
Records Center by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975, Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-5
System name:
Civilian Internees (Vietnam)--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
American citizens held by a hostile force in Southeast Asia
during Vietnam Conflict.
Categories of records in the system:
Claim application form contains name and address, date and place
of birth, birth certificates. Verification of internment furnished by
State Department contains names, addresses and inclusive dates of
internment.
Authority for maintenance of the system:
Section 5(i), War Claims Act of 1948, as amended.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Adjudication of claims of American citizens and certification
of awards by authorized FCSC personnel to Treasury Department for
payment.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed by claim number. (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom record is maintained, or his or her
survivor(s), where applicable.
JUSTICE/FCSC-8
System name:
Cuba, Claims Against--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses, death and
disability in Cuba arising on or after January 1, 1959.
Categories of records in the system:
Claim application form containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim, including
medical and death records in claims involving death and disability.
Authority for maintenance of the system:
Title V, International Claims Settlement Act of 1949, as amended.
Purpose(s:
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Cuba submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Adjudication of claims, issuance of decisions as to the
validity and amounts of claims and issuance of certifications to each
individual claimant as to amount determined by FCSC officials and
personnel. Such amounts and copies of FCSC decisions were certified
to the Secretary of State pending conclusion of any claims settlement
agreement between US and Cuba.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility for
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. File Folders retrieved from
Records Center by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-9
System name:
Czechoslovakia, Claims Against (2nd Program)--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses in Czechoslovakia
from August 9,1958, to February 2, 1982.
Categories of records in the system:
Claim application form containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Czechoslovakian Claims Settlement Act of 1981 (22 U.S.C. note
prec. 1642), and the U.S.-Czechoslovakian Claims Settlement Agreement
of February 2, 1982.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Czechoslovakia submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notifications to claimants of rights to
appeal; and preparation by authorized FCSC personnel of
certifications of awards to Treasury Department for payment. Names
and other data furnished by claimants used for verifying citizenship
status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. File folders retrieved from
Records Center by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of Title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-10
System name:
East Germany, Registration of Claims Against--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals who suffered certain property losses in East
Germany.
Categories of records in the system:
Claims registration form containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; and description,
ownership, and value of property.
Authority for maintenance of the system:
Title I, International Claims Settlement Act of 1949, as amended.
Purpose(s):
To enable the Commission to conduct an evaluation of potential
claims against the former German Democratic Republic, in order to
determine whether sufficient claims existed to justify enactment of
legislation authorizing a formal claims adjudication program.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Information received from individuals on registration forms
was used to evaluate whether to propose enactment of legislation to
authorize a formal claims adjudication program.
--Registration forms filed were also used by FCSC personnel in
the distribution of formal claim application forms once a formal
claims adjudication program was authorized.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Numerical order in file folders. Cross-reference alphabetical
index (see system ``JUSTICE/FCSC-1'' above).
Retrievability:
By name. (see system ``JUSTICE/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful. System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600 E
Street, Northwest, Suite 6002, Washington, DC 20579. Telephone: 202/
616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-11
System name:
Federal Republic of Germany, Questionnaire Inquiries From--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
Individuals suffering losses in Eastern European countries,
including Germany.
Categories of records in the system:
Questionnaires from Federal Republic of Germany (Ausgleichsamt)
containing name, address, date and place of birth or naturalization;
description and location of property. Such information was furnished
to Federal Republic of Germany by U.S. residents who filed claims
under the West German Federal Compensation Laws (BEG).
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To maintain a file on requests for information from Germany that
have been received and acted upon.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--To inform Federal Republic Of Germany (FRG) Equalization of
Burdens offices whether individuals who filed claims for losses
compensable under the West German Federal Compensation Laws also
filed claims with the Foreign Claims Settlement Commission under U.S.
claims statutes and received compensation under such statutes for the
same losses. Information furnished to FRG obtained from FCSC
decisions or claim applications from individuals who filed claims
with FCSC.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By name.
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Questionnaire from Federal Republic of Germany (Equalization of
Burdens Offices).
JUSTICE/FCSC-12
System name:
Hungary, Claims Against (2nd Program)--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses in Hungary that
arose between August 9, 1955, and March 6, 1973.
Categories of records in the system:
Claim application form containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Title III, International Claims Settlement Act of 1949, as
amended, and U.S.-Hungarian Claims Agreement of March 6, 1973.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Hungary submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notifications to claimants of rights to
appeal; and preparation by authorized FCSC personnel of
certifications of awards, if any, to Treasury Department for payment.
Names and other data furnished by claimants used for verifying
citizenship status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-13
System name:
Italy, Claims Against (2nd Program)--FCSC.
System lcoation:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims against Italy for certain property
losses attributable to military action by Italian forces during World
War II. Benefits extended to U.S. nationals who acquired their U.S.
citizenship after the date of their property losses, to individuals
who did not file under the 1st Italian Claims Program, and to
individuals with claims for property losses arising in territory
ceded pursuant to the Treaty of Peace with Italy, which claims had
been excluded under the 1st program.
Categories of records in the system:
Claim application forms containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Title III, International Claims Settlement Act of 1949, as
amended by Pub. L. 85-604.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Italy submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notifications to claimants of rights to
appeal; and preparation by authorized FCSC personnel of
certifications of awards, if any, to Treasury Department for payment.
Names and other data furnished by claimants used for verifying
citizenship status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. File folders retrieved from
Records Center by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful. This system of records was retired to
the Washington National Records Center after the completion of the
claims program on December 24, 1971.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-14
System name:
Micronesia, Claims Arising In--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
Inhabitants of Micronesia, including U.S. nationals, who suffered
damages to property, disability and death arising out of military
operations during World War II, and arising during the period from
the dates of the securing of the various islands of Micronesia by
Allied forces up until July 1, 1951.
Categories of records in the system:
Claim application forms containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Micronesian Claims Act of 1971.
Purpose(s):
To enable the Micronesian Claims Commission (MCC), under the
supervision of the FCSC, to carry out its statutory responsibility to
determine the validity and amount of the claims against Italy
submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under authority of the Micronesian Claims Act of 1971;
notifications to claimants of rights to appeal; and preparation by
authorized personnel of Foreign Claims Settlement Commission assigned
to duty in the Trust Territory of the Pacific Islands and locally
hired employees of the MCC of certifications of awards, if any, to
Secretary of the Interior for payment.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. Alphabetical index used to
identify claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-15
System name:
Poland, Claims Against--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses in Poland due to
nationalization or other taking of such property.
Categories of records in the system:
Claim application form containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Title I, International Claims Settlement Act of 1949, as amended,
and U.S.-Poland Claims Agreement of July 16, 1960.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Poland submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notifications to claimants of rights to
appeal; and preparation by authorized FCSC personnel of
certifications of awards, if any, to Treasury Department for payment.
Names and other data furnished by claimants used for verifying
citizenship status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. File folders retrieved from
Records Center by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful. This system of records was retired to
the Washington National Records Center after the completion of the
claims program on March 31, 1966.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-16
System name:
Prisoners of War (Pueblo)--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
Members of the U.S. Armed Forces and civilian employees of the
U.S. Government assigned to duty on the USS Pueblo who were captured
by military forces of North Korea on January 23, 1968, and held
prisoner by such forces.
Categories of records in the system:
Claim application form containing name and address of claimant,
date and places of birth, branch of service and military service
number. In case of death, date, place and name of spouse, names,
address and date of birth of surviving children, name and address of
parents and Veterans Administration (VA) claim number. Proof of death
if no VA claim.
Authority for maintenance of the system:
Section 6(e), War Claims Act of 1948, as amended.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for adjudication of claims for detention
benefits, issuance of decisions concerning eligibility of claimant to
receive compensation; notifications to claimants of rights to appeal;
and preparation by authorized Commission personnel of certifications
of awards to Treasury Department for payment. Verifications from
State Department include names and addresses and inclusive dates of
detention.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
By claim number. Cross-referenced by alphabetical index cards
which contain claim numbers (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at the Washington National Records
Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of Title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-17
System name:
Prisoners of War (Vietnam)--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
Members of Armed Forces of the United States who were captured
and held by a hostile force during the Vietnam conflict beginning
February 28, 1961.
Categories of records in the system:
Claim application form containing name and address of claimant;
date and place of birth, branch of service and military service
number. In case of death, date, place, name of spouse, names,
addresses and dates of birth of surviving children, name and address
of parents and Veterans Administration claim number.
Authority for maintenance of the system:
Sect. 6(f), War Claims Act of 1948, as amended.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records used for adjudication of claims for detention
benefits; issuance of decisions concerning eligibility of claimants
to receive compensation; notifications to claimants of rights of
appeal; and preparation of certification of awards to Treasury
Department for payment by authorized Commission personnel.
Verification of captured status obtained from rosters or casualty
reports furnished by the respective armed service branches.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. File folders retrieved from
Records Center by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-18
System name:
Rumania, Claims Against (2nd Program)--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses in Rumania which
arose between August 9, 1955 and March 30, 1960.
Categories of records in the system:
Claim application form containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Title III, International Claims Settlement Act of 1949, as
amended, and the US-Rumania Claims Agreement of March 30, 1960.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Rumania submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notifications to claimants of rights to
appeal; and preparation by authorized FCSC personnel of
certifications of awards, if any, to the Treasury Department for
payment. Names and other data furnished by claimants used for
verifying citizenship status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. File folders retrieved from
Records Center by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful. This system of records was retired to
the Washington National Records Center after the completion of the
claims program on December 25, 1971.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-19
System name:
Soviet Union, Claims Against--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for loss of property in the Soviet
Union prior to November 16, 1933, and claims by individuals based
upon liens acquired with respect to property in the U.S. assigned to
U.S. Government by the Soviet Government under Litvinov Assignment of
November 16, 1933.
Categories of records in the system:
Claim application form containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Title III, International Claims Settlement Act of 1949, as
amended.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against the Soviet Union submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notifications to claimants of rights to
appeal; and preparation by authorized FCSC personnel of
certifications of awards, if any, to the Treasury Department for
payment. Names and other data furnished by claimants used for
verifying citizenship status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. File folders retrieved from
Records Center by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful. This system of records was retired to
the Washington National Records Center after the completion of the
claims program on August 9, 1959.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-20
System name:
Yugoslavia, Claims Against (2nd Program)--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses in Yugoslavia
which arose between July 19,1948, and November 5, 1964.
Categories of records in the system:
Claim application form containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Title I, International Claims Settlement Act of 1949, as amended,
and U.S.-Yugoslavia Claims Agreement of November 5, 1964.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Yugoslavia submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notifications to claimants of rights to
appeal; and preparation by authorized FCSC personnel of
certifications of awards, if any, to Treasury Department for payment.
Names and other data furnished by claimants used for verifying
citizenship status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. File folders retrieved from
Records Center by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful. This system of records was retired to
the Washington National Records Center after the completion of the
claims program on July 15, 1969.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-21
System name:
German Democratic Republic, Claims Against--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses in the German
Democratic Republic which arose between May 8, 1945, and October 18,
1976.
Categories of records in the system:
Claim application form containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Title VI, International Claims Settlement Act of 1949, as
amended.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against the German Democratic Republic submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notification to claimants of rights to
appeal; and preparation of certifications of awards, if any, to
Treasury Department for payment. Names and other data furnished by
claimants used for verifying citizenship status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law Enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil or criminal or
regulatory in nature, and whether arising by general statute or
particular program statute or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State, local
or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation, or order issued pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC is determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal in accordance
with 44 U.S.C. 3301-3314 when such records are determined no longer
useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Claimant on whom the record is maintained.
JUSTICE/FCSC-22
System name:
General War Claims Program--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses during World War
II.
Categories of records in the system:
Claim application forms containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Title II of War Claims Act of 1948, as amended.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims;
issuance of decisions concerning eligibility to receive compensation
under the Act; notifications to claimants of rights to appeal; and
preparation by authorized FCSC personnel of transmittals of awards,
if any, to Treasury Department for payment. Names and other data
furnished by claimants used for verifying citizenship status with
INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to Members of Congress or congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record from this system of records may be disclosed as a
routine use to a member of Congress or to a Congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Claimant on whom the record is maintained.
JUSTICE/FCSC-23
System name:
Vietnam, Claims for Losses Against--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses in Vietnam arising
between April 29, 1975, and December 28, 1980.
Categories of records in the system:
Claim application forms containing name and address of claimant
and representative, if any; date and place of birth or
naturalization; nature and amount of claim; description, ownership,
and value of property; and evidence to support claim for the purpose
of receiving compensation.
Authority for maintenance of the system:
Title VII, International Claims Settlement Act of 1949, as
amended.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Vietnam submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records were used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notifications to claimants of rights to
appeal; and preparation of certifications of awards, if any, to
Treasury Department for payment. Names and other data furnished by
claimants used for verifying citizenship status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to members of Congress, Congressional staff, staff of the
Office of Management and Budget, other persons interested in the work
of the Commission, and members of the news media.
--Law Enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--The information contained in this system of records will be
disclosed to the Office of Management and Budget, in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19, at any stage of the legislative coordination and clearance
process as set forth in that circular.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
JUSTICE/FCSC-24
System name:
Ethiopia, Claims for Losses Against--FCSC.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses in Ethiopia.
Categories of records in the system:
Claims information including name and address of claimant and
representative, if any; date and place of birth or naturalization;
nature and amount of claim; description, ownership, and value of
property; and evidence to support claim for the purpose of receiving
compensation.
Authority for maintenance of the system:
Title I, International Claims Settlement Act of 1949, as amended,
and the December 19, 1985 Compensation Agreement between the
Government of the United States of America and the Provisional
Military Government of Socialist Ethiopia.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Ethiopia submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records are used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act; notifications to claimants of rights to
appeal; and preparation of certifications of awards, if any, to the
Treasury Department for payment. Names and other data furnished by
claimants used for verifying citizenship status with INS.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein, including but
not limited to members of Congress, Congressional staff, staff of the
Office of Management and Budget, other persons interested in the work
of the Commission, and members of the news media.
--Law Enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity or
iii. Any employee of the FCSC in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at Washington National Records Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be made in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Claimant on whom the record is maintained.
JUSTICE/FCSC-25
System name:
Egypt, Claims Against.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses in Egypt.
Categories of records in the system:
Claim information, including name and address of claimant and
representative, if any; date and place of birth or naturalization;
nature and amount of claim; description, ownership, and value of
property; other evidence establishing entitlement to compensation of
claim.
Authority for maintenance of the system:
Title I, International Claims Settlement Act of 1949, as amended,
and the Agreement Between the Government of the United States of
America and the Government of the Arab Republic of Egypt Concerning
Claims of Nationals of the United States of May 1, 1976.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Egypt submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records are used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act and Agreement; notifications to claimants
of rights to appeal; and preparation of certifications of awards, if
any, to the Treasury Department for payment. Names and other
information furnished by claimants may be used for verifying
citizenship status with the Immigration and Naturalization Service.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein including but
not limited to Members of Congress or Congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law Enforcement In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil or criminal or
regulatory in nature and whether arising by general statute or
particular program statute or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State, local
or foreign, charged with enforcing or implementing the statute, or
rule, regulation or order issued pursuant thereto.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her official capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC'1'' above).
Safeguards:
Under security safeguards at the Washington National Records
Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Claimant on whom the record is maintained.
JUSTICE/FCSC-26
System name:
Albania, Claims Against.
System location:
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409.
Categories of individuals covered by the system:
U.S. nationals with claims for property losses in Albania.
Categories of records in the system:
Claim information, including name and address of claimant and
representative, if any; date and place of birth or naturalization;
nature and amount of claim; description, ownership, and value of
property; other evidence establishing entitlement to compensation of
claim.
Authority for maintenance of the system:
Title I, International Claims Settlement Act of 1949, as amended,
and the Agreement Between the Government of the United States of
America and the Government of Albania on the Settlement of Certain
Outstanding Claims of March 10, 1995 (went into force April 18,
1995).
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
against Albania submitted to it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Records are used for the purpose of adjudicating claims of
individuals; issuance of decisions concerning eligibility to receive
compensation under the Act and Agreement; notifications to claimants
of rights to appeal; and preparation of certifications of awards, if
any, to the Treasury Department for payment. Names and other
information furnished by claimants may be used for verifying
citizenship status with the Immigration and Naturalization Service.
--The information contained in this system of records is
considered by the Commission to be public information which may be
disclosed as a routine use to interested persons who make inquiries
about the claims program or individual claims therein including but
not limited to Members of Congress or Congressional staff, staff of
the Office of Management and Budget, other persons interested in the
work of the Commission, and members of the news media.
--Law Enforcement: In the event that a system of records
maintained by FCSC to carry out its functions indicates a violation
or potential violation of law, whether civil or criminal or
regulatory in nature and whether arising by general statute or
particular program statute or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State, local
or foreign, charged with enforcing or implementing the statute, or
rule, regulation or order issued pursuant thereto.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her official capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. Alphabetical index used for
identification of claim (see system ``Justice/FCSC-1'' above).
Safeguards:
Under security safeguards at the Washington National Records
Center.
Retention and disposal:
Records maintained under 5 U.S.C. 301. Disposal of records will
be in accordance with 44 U.S.C. 3301-3314 when such records are
determined no longer useful.
System manager(s) and address:
Administrative Office, Foreign Claims Settlement Commission, 600
E Street, Northwest, Suite 6002, Washington, DC 20579. Telephone:
202/616-6975. Fax: 202/616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Claimant on whom the record is maintained.
JUSTICE/FCSC-27
System name:
Germany, Holocaust Survivors' Claims Against.
System location:
Foreign Claims Settlement Commission, 600 E Street, Northwest,
Room 6002, Washington, DC 20579.
Categories of individuals covered by the system:
Natural persons who assert claims for loss of liberty or damage
to body or health as a result of National Socialist measures of
persecution conducted directly against them.
Categories of records in the system:
Claim information, including name and address of claimant and
representative, if any; date and place of birth or naturalization;
nature and valuation of claim, including description of measures of
persecution; other evidence establishing entitlement to compensation
for claim.
Authority for maintenance of the system:
Pub. L. 104-99, and the Agreement Between the Government of the
United States of America and the Government of the Federal Republic
of Germany Concerning Final Benefits to Certain United States
Nationals Who Were Victims of National Socialist Measures of
Persecution of September 19, 1995.
Purpose(s):
To enable the Commission to carry out its statutory
responsibility to determine the validity and amount of the claims
before it.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records were used for the purpose of determining the validity and
amount of claims; issuance of decisions concerning eligibility to
receive compensation under the claims statute and Agreement;
notifications to claimants of rights to appeal; preparation of
decisions for certification to the Secretary of State for use in
diplomatic settlement negotiations with Germany; and preparation of
certifications of awards to the Secretary of the Treasury for
payment. Names and other information furnished by claimants may be
used for verifying citizenship status with the INS. As required by
the authorizing statute, the information contained in this system of
records will be maintained as confidential information which will be
exempt from disclosure to the public.
--Law Enforcement: In the event that a system of records
maintained by the FCSC to carry out its functions indicates a
violation or potential violation of law, whether civil or criminal or
regulatory in nature and whether arising by general statute or
particular program statute or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State, local
or foreign, charged with enforcing or implementing the statute, rule,
regulation or order issued pursuant thereto.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her official capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by claim number. Alphabetical index used for
identification of claim.
Safeguards:
At FCSC: Building employees security guards. Records are
maintained in a locked room accessible to authorized FCSC personnel
and other persons when accompanied by such personnel.
Retention and disposal:
Records are maintained in accordance with 5 U.S.C. 301. Disposal
of records will be in accordance with 44 U.S.C. 3301-3314 when such
records are determined no longer useful.
System manager(s) and address:
Administrative Officer, Foreign Claims Settlement Commission, 600
E Street, NW., Room 6002, Washington, DC 20579; telephone 202-616-
6975, fax 202-616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Claimant on whom the record is maintained.
JUSTICE/FCSC-28
System name:
Iraq, Registration of Potential Claims Against.
System location:
Foreign Claims Settlement Commission, 600 E Street NW, Room 6002,
Washington, DC 20579.
Categories of individuals covered by the system:
Natural and juridical persons with potential claims against Iraq
that are outside the jurisdiction of the United Nations Compensation
Commission.
Categories of records in the system:
Claim information, including name and address of claimant and
representative, if any; date and place of birth or naturalization;
nature and valuation of claim, including description of property or
other asset or interest that is the subject of the claim; other
evidence establishing entitlement to compensation for claim.
Authority for maintenance of the system:
Information in the system was collected under the Foreign Claims
Settlement Commission's general authority to adjudicate claims
conferred by 22 U.S.C. 1621 et seq.
Purpose(s):
To enable the Commission to formulate recommendations concerning
the drafting of legislation to authorize formal adjudication of
claims against Iraq.
Routine uses of records maintained in the system, including
categories of users and the purposes of the uses:
--Records are used for the purpose of determining the validity
and amount of potential claims, to facilitate planning for
adjudication of such claims in the future. Names and other
information furnished by registrants may be used for verifying
citizenship status with the INS. Names and addresses of individual
registrants will be subject to public disclosure. Other information
provided by the individual registrants will be maintained as
confidential information which will be exempt from disclosure to the
public.
--Law Enforcement: In the event that a system of records
maintained by the FCSC to carry out its functions indicates a
violation or potential violation of law, whether civil or criminal or
regulatory in nature and whether arising by general statute or
particular program statute or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State, local
or foreign, charged with enforcing or implementing the statute, rule,
regulation or order issued pursuant thereto.
--A record, or any facts derived therefrom, may be disclosed in
a proceeding before a court or adjudicative body before which the
FCSC is authorized to appear or to the Department of Justice for use
in such proceeding when:
i. The FCSC, or any subdivision thereof, or
ii. Any employee of the FCSC in his or her official capacity, or
iii. Any employee of the FCSC in his or her official capacity
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the FCSC determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the FCSC to be arguably relevant and necessary to
the litigation and such disclosure is determined by the FCSC to be a
use compatible with the purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in file folders.
Retrievability:
Filed numerically by registration number. Alphabetical index used
for identification of registrant.
Safeguards:
At FCSC: Building employs security guards. Records are maintained
in a locked room accessible to authorized FCSC personnel and other
persons when accompanied by such personnel.
Retention and disposal:
Records are maintained in accordance with 5 U.S.C. 301. Disposal
of records will be in accordance with 44 U.S.C. 3301-3314 when such
records are determined no longer useful.
System manager(s) and address:
Administrative Officer, Foreign Claims Settlement Commission, 600
E Street, NW, Room 6002, Washington, DC 20579; telephone 202-616-
6975, fax 202-616-6993.
Notification procedure:
Set forth in part 504 of title 45, Code of Federal Regulations.
Contesting record procedures:
Same as above.
Record source categories:
Registrant on whom the record is maintained.
DEPARTMENT OF JUSTICE
Office of the Inspector General
JUSTICE/OIG-001
System name: Office of the Inspector General Investigative
Records (JUSTICE/OIG-001).
System location:
U.S. Department of Justice, Office of the Inspector General, 950
Pennsylvania Ave, NW, Washington, DC 20530-0001 and 1425 New York
VE., NW, Suite 7100, Washington, DC 20530. During the course of an
investigation, records are also kept in the investigations field
offices, the addresses of which are listed on the OIG's website at
http://www.usdoj.gov/org.
Categories of individuals covered by the system:
In connection with its investigative duties, the Office of the
Inspector General (OIG) 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 OIG including current
and former employees of the Department of Justice, current and former
consultants, contractors, and subcontractors with whom the Department
has contracted and their employees, grantees to whom the Department
has awarded grants and their employees, and such other individuals or
entities whose association with the Department relates to alleged
violation(s) of the Department's rules of conduct, the Civil Service
merit system, and/or criminal or civil law, which may affect the
integrity or physical facilities of the Department of Justice.
b. Individuals who are witnesses; complainants; confidential or
nonconfidential informants; and parties who have been identified by
the OIG or by other agencies, by constituent units of the Department
of Justice, or by members of the general public as potential subjects
of or parties to an investigation under the jurisdiction of the OIG.
Categories of records in the system:
Information relating to investigations including:
a. Letters, memoranda, and other documents citing complaints or
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 date with respect to such informats; nature of
allegations made against suspects and identifying data concerning
such subjects; and public source materials.
Authority for maintenance of the system:
Inspector General Act of 1978, 5 U.S.C. App., as amended by the
Inspector General Act Amendments of 1988.
Purpose(s):
The Office of the Inspector General (OIG) for the Department of
Justice will maintain this system of records in order to conduct its
responsibilities pursuant to the Inspector General Act of 1978, 5
U.S.C. App., as amended by the Inspector General Act Amendments of
1988. The OIG is statutorily directed to conduct and supervise
investigations relating to programs and operations of the Department
of Justice, to promote economy, efficiency, and effectiveness in the
administration of such programs and operations, and to prevent and
detect fraud, waste, and abuse in such programs and operations.
Accordingly, the records in this system are used in the course of
investigating individuals and entities suspected of having committed
illegal or unethical acts and in conducting related criminal
prosecutions, civil proceedings, or administrative actions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records in this system may be disclosed as follows:
a. In the event that a record, either by itself or in combination
with other information indicates a violation or potential violation
of law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by rule,
regulation, or order pursuant thereto, or if records indicate a
violation of potential violation of a contract, 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 violation, enforcing or
implementing such statute, rule, regulation, or order, or with
enforcing such contract.
b. A record may be disclosed to a Federal, State, local, foreign,
or international agency, or to an individual or organization when
necessary to elicit information which will assist an investigation,
inspection, or audit.
c. A record may be disclosed to a Federal, State, local, foreign,
or international agency maintaining civil, criminal, or other
relevant information if necessary to obtain information relevant to
an OIG decision concerning the assignment, hiring, or retention of an
individual, the issuance or revocation of a security clearance, the
reporting of an investigation of an individual, the letting of a
contract, or the issuance or revocation of a license, grant, or other
benefit.
d. A record may be disclosed to a Federal, State, local, foreign,
or international agency, or other public authority or professional
licensing organization in 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, the letting of a contract, or the issuance or revocation
of a license, grant, or other benefit by such entity, to the extent
that the information is relevant and necessary to that entity's
decision on the matter. No disclosure will be made dunder this
paragraph unless the Inspector General or his designee determines
that the information is sufficiently reliable to support a referral
to another office within the Department of Justice or to another
Federal, state, or local agency for criminal, civil, administrative,
personnel, or regulatory action.
e. A record may be disclosed 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 the request of, the individual who is
the subject of the record.
f. Relevant records may be disclosed to an administrative forum,
including Ad Hoc 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 agencies, e.g., the Merit Systems 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 OIG
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.
g. A record may be disclosed to the National Archives and to the
General Services Administration during a records management
inspection conducted under 44 U.S.C. 2904 and 2906.
h. Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available, 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.
i. Information may be disclosed to complainants and victims to
the extent necessary to provide them with information concerning the
process or results of the investigation or case arising from the
matter of which they complained or were the victim.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in this system is stored manually in file jackets and
electronically in office automation equipment.
Retrievability:
Each OIG investigation is asssigned a case number and all records
relating to a particular investigation are filed and retrieved by
that case number. In some instances, records may also be retrievable
by the surnames of subjects, witnesses, and/or complainants.
Safeguards:
Information is stored in safes, locked filing cabinets, and
office automation equipment in secured rooms or in guarded buildings,
and is used only by authorized, screened personnel. Manual records
are in locked cabinets or in safes and can be accessed by key or
combination formula only. Passwords are required to access the
automated data.
Retention and disposal:
Records in this system are retained and disposed of in accordance
with General Records Schedule 22.
System manager(s) and address:
Office of the General Counsel, Office of the Inspector General,
Department of Justice, 950 Pennsylvania Avenue, NW, Room 4261,
Washington, DC 20530-0001..
Notification procedure:
Address inquiries to the System Manager listed above.
Record access procedures:
The major part of this system is exempted from this requirement
pursuant to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2). To the extent that
this system of records is not subject to exemption, it is subject to
access. A determination as to exemption shall be made at the time a
request for access is received. A request for access to records
contained in this system shall be made in writing, with the envelope
and the letter clearly marked ``Privacy Access Request.'' Include in
this request the full name of the individual involved, his or her
current address, date and place of birth, notarized signature, and
any other identifying number or information which may be of
assistance in locating the record. The requester shall also provide a
return address for transmitting the information. Access requests
shall be directed to the System Manager listed above.
Contesting record procedures:
The major part of this system is exempted from this requirement
pursuant to 5 U.S.C. 552a(j)(2), (k)(1), or (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 exemption shall
be made at the time a request for contest is received. Requesters
shall direct their request to the System Manager listed above,
stating clearly and concisely what information is being contested,
the reason 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
Department of Justice officers and employees; Federal, State, local
and foreign law enforcement and non-law enforcement agencies; private
citizens; witnesses; confidential and nonconfidential informants; and
public source materials.
Systems 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 subsections (k)(1) and (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.
JUSTICE/OIG-004
System name:
Office of the Inspector General Employee Training Records.
System location:
U.S. Department of Justice, Office of the Inspector General, 1425
New York Ave., NW, Suite 7000, Washington, DC 20530.
Categories of individuals covered by the system:
Employees of the Department of Justice, Office of the Inspector
General.
Categories of records in the system:
Information pertaining to formal training requested and attended
by OIG employees, including training forms.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended by the Inspector
General Amendments of 1988, 5 U.S.C. App. 3.
Purpose(s):
To capture training requests made by OIG employees and to
maintain information regarding the training employees have had.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records in this system may be disclosed as follows:
a. Relevant records may be disclosed to an administrative forum,
including Ad Hoc 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 agencies, e.g., the Merit Systems Protection Board, or
other agencies with similar or related statutory responsibilities,
where necessary to adjudicate decisions affecting individuals who are
covered by this system, including (but not limited to) decisions to
effect any necessary remedial actions, e.g., disciplinary and/or
other appropriate personnel actions.
b. A record may be disclosed to the National Archives and to the
General Services Administration during a records management
inspection conducted under 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Informaton in this system is stored manually in file jackets and
electronically in office automation equipment.
Retrievability:
Information can be retrieved either by surname or social security
number.
Safeguards:
Information is stored in filing cabinets and office automation
equipment in secured rooms or in guarded buildings, and is used only
by authorized, screened personnel. Passwords are required to access
the automated data.
Retention and disposal:
Records in this system are retained and disposed of in accordance
with General Records Schedule 1.
System manager(s) and address:
Office of the General Counsel, Office of the Inspector General,
Department of Justice, 950 Pennsylvania Avenue, NW, Room 4261,
Washington, DC 20530-0001.
Notification procedure:
Address inquiries to the System Manager listed above.
Record access procedures:
Make requests for access to records from this system in writing
to the system manager, and clearly mark both the letter and envelope
``Privacy Act Request.''
Contesting record procedures:
Make all requests to contest or amend information maintained in
the system in writing to the system manager. State clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment(s) to the information.
Record source categories:
National Finance Center and employees of the Department of
Justice Office of the Inspector General.
Systems exempted from certain provisions of the act:
None.
JUSTICE/OIG-005
System name:
Office of the Inspector General Firearms Qualification System.
System location:
U.S. Department of Justice, Office of the Inspector General, 1425
New York Ave., NW, Suite 7100, Washington, DC 20530 and the
investigations field offices, the addresses of which are listed on
the OIG's website at http://www.usdoj.gov/oig.
Categories of individuals covered by the system:
Criminal investigators employed by the Department of Justice,
Office of the Inspector General.
Categories of records in the system:
Information relating to the weapons qualifications of OIG
criminal investigators, including dates of qualification and scores.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended by the Inspector
General Act of 1988, 5 U.S.C. App. 3, and Attorney General Order
1393-90.
Purpose(s):
To capture information relating to the weapons qualifications of
OIG criminal investigators, including dates of qualifications and
scores.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records in this system may be disclosed as follows:
a. Relevant records may be disclosed to an administrative forum,
including Ad Hoc 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 agencies, e.g., the Merit Systems Protection Board, or
other agencies with similar or related statutory responsibilities,
where necessary to adjudicate decisions affecting individuals who are
covered by this system, including (but not limited to) decisions to
effect any necessary remedial actions, e.g., disciplinary and/or
other appropriate personnel actions.
b. A record may be disclosed to the National Archives and to the
General Services Administration during a records management
inspection conducted under 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in this system is stored manually in file jackets and
electronically in office automation equipment.
Retrievability:
Information can be retrieved by surname.
Safeguards:
Information is stored in filing cabinets and office automation
equipment in secured rooms or in guarded buildings, and is used only
by authorized, screened personnel. Passwords are required to access
the automated data.
Retention and disposal:
Records in this system are retained and disposed of in accordance
with General Records Schedule 23.
System manager(s) and address:
Office of the General Counsel, Office of the Inspector General,
Department of Justice, 950 Pennsylvania Avenue, NW, Room 4261,
Washington, DC 20530-0001.
Notification procedure:
Address inquiries to the System Manager listed above.
Record access procedures:
Make requests for access to records from this system in writing
to the system manager, and clearly mark both the letter and envelope
``Privacy Act Request.''
Contesting record procedures:
Make all requests to contest or amend information maintained in
the system in writing to the system manager. State clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment(s) to the information.
Record source categories:
Employees of the Department of Justice Office of the Inspector
General.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
Immigration and Naturalization Service
JUSTICE/INS-001
System name: The Immigration and Naturalization Service Index
System, which consists of the following subsystems:
A. Agency information control record index.
B. Alien enemy index and records.
C. Automobile decal parking identification system for employees.
E. Document vendors and alters index.
F. Enforcement indexes.
1. Group one. (a) Contact index. (b) Information index. (c)
Antismuggling index (general). (d) Criminal, immoral, narcotic, and
subversive index. (e) Suspect third party index.
2. Group two. (a) Air detail office index. (b) Anti-smuggling
information centers, Canadian and Mexican borders.
(c) Border Patrol Academy index. (d) Border Patrol sectors
general index. (e) Fraudulent Document Center index.
3. Enforcement correspondence control index.
G. Examinations indexes.
1. Application and petition system.
2. Correspondence control index.
3. Service lookout system.
H. Extension training program enrollees.
I. Finance Section indexes.
1. Accounts with creditors.
2. Accounts with debtors.
J. Intelligence indexes.
L. Naturalization and citizenship indexes.
1. Naturalization and citizenship docket cards.
2. Examiners docket lists of petitioners for naturalization.
3. Master docket list of petitions for naturalization pending one
year or more.
M. Office of Internal Audit investigations index and records.
O. Security access clearance index.
Q. Health record system.
R. Personal data card system.
S. Compassionate cases system.
T. Emergency reassignment index.
U. Alien documentation, identification and telecommunications
(ADIT) system.
System location:
Headquarters, Regional, District and other file control offices
of the Immigration Naturalization Service in the United States as
detailed in JUSTICE/INS-999.
Categories of individuals covered by the system:
A. Agency information control record index. Individuals named or
referenced in documents classified for national security reasons.
B. Alien enemy index and records.
1. Alien enemies who were interned during World War II.
2. Americans of Japanese ancestry (Niser) who returned to Japan
and during World War II, either accepted employment by the Japanese
Government or became naturalized in Japan.
C. Automobile decal parking identification for employees. Current
INS employees who have the privilege of parking their cars on
government premises.
E. Document vendors and alterers index (duplicates in several INS
offices in the Western and Southern regions). Individuals who are
alleged immigration law violators involved in the supply of
fraudulent documents.
F. Enforcement indexes.
1. Group one (a) Contact index; (b) Informant index; (c) Anti-
smuggling index (general); (d) Criminal, immoral, narcotic, racketeer
and subversive indexes; (e) Suspect third party index (1) Individuals
who are in a position to know, learn of, and assist in locating
aliens illegally in the United States; (2) individuals who have
significant knowledge of foreign or domestic organizations subversive
in nature and are willing to appear as Government witnesses or
cooperate with INS on a continuing basis; (3) individuals who are
known or suspected of being professional arrangers, transporters,
harborers, and smugglers of aliens; who operate or conspire to
operate with others to facilitate the surreptitious entry of an alien
over a coastal or land border of the United States; and witnesses
having knowledge of such matters; (4) individuals who are known or
suspected of being habitual or notorious criminals, immorals,
narcotic violators or racketeers, or subversive functionaries or
leaders; (5) individuals who are known or believed to be engaged in
fraud operations involving the preparation and submission of visa
petitions and other applications for benefits administered by INS; or
the preparation and submission of applications for immigrant visas
and/or Department of Labor certifications, or the filing of false
United States birth registrations of alien children to enable them to
pose as citizens or to enable parents who are immigrant visa
applicants to evade the labor certification requirement.
2. Group two. (a) Air detail office index. Individuals who are
pilots and/or owners of private aircraft flying between the United
States and foreign countries; individuals who engage in or are
suspected of being engaged in illegal activity such as alien
smuggling or entry without inspection.
(b) Anti-smuggling information centers, Canadian and Mexican
borders. Individuals who are known or suspected of being smugglers or
transporters of illegal aliens.
(c) Border Patrol Academy index. Students or former students at
the Border Patrol Academy; INS officers attending advanced training
classes at the Academy or the Federal Law Enforcement Training Center
(FLETC).
(d) Border Patrol sectors general index. Past or present INS
employees; individuals who are law violators, witnesses, contacts,
informants, members of the general public, Federal, state, county,
and local officials.
(e) Fraudulent Documents Center index. Individuals who are
members of the general public, notaries, public, state and local
birth registration officials and employees, immigration law
violators, vendors of documents, donors of documents, midwives, and
witnesses. Also included in the system are names and information
about fictitious persons used by counterfeiters or alterers of
citizenship documents.
3. Enforcement correspondence control index. (a) Individuals
named in correspondence received, including employees, past
employees, and others; (b) individuals named in documents, reports,
or correspondence as individuals under current or past investigation,
suspended of violation of the criminal or civil provisions of the
statutes enforced by INS, including Executive orders and Presidential
proclamations, and witnesses and informants having knowledge of
violations.
G. Examinations indexes duplicates in some local offices:
1. Application and petition index: Individuals who have filed or
assisted in filing petitions to classify aliens for the issuance of
immigrant visas.
2. Correspondence control index: Members of the general public.
3. Service lookout system: Violators or suspected violators of
the criminal or civil provisions of statutes enforced by INS.
H. Extension training program enrollees (Location A, supra). INS
employees and other Federal agency employees enrolled in extension
training program courses administered by INS.
I. Finance Section indexes: (1) Accounts with creditors; (2)
Accounts with debtors.
(a) Individuals who are indebted to the United States Government
for goods, services, or benefits or for administrative fines and
assessments.
(b) Employees who have received travel advances or overpayments
from the United States Government, who are in arrears in their
accounts, or who are liable for damage to Government property.
(c) Vendors who have furnished supplies, material, equipment, and
services to the Government.
(d) Employees, witnesses and special deportation attendants who
have performed official travel.
(e) Employees and other individuals who have a valid claim
against the Government.
J. Intelligence indexes. Individuals who have or are suspected of
having violated the criminal or civil provisions of the statutes
enforced by INS.
L. Naturalization and citizenship indexes.
1. Naturalization and citizenship docket cards. Individuals
seeking benefits under Title III of the Immigration and Nationality
Act of 1958, as amended.
2. Examiners docket lists of petitioners for naturalization.
Petitioners for naturalization and their beneficiaries.
3. Master docket list of petitioners for naturalization pending
one year or more. Petitioners for naturalization and their
beneficiaries.
M. Office of Internal Audit investigations index and records. (1)
INS employees who are the subjects of complainants directed to, or
inquiries or investigations conducted by, the Office of Internal
Audit; (2) individuals (complainants) who write to the Office of
Internal Audit; (3) individuals (complainants) who write to the
Commissioner or Regional Administrators or other officials of INS and
whose correspondence is referred to the Office of Internal Audit; (4)
employees of agencies of the Federal Government other than INS, about
whom information indicating possible criminal or administrative
misconduct has been developed during the course of routine
investigation by components of the Department of Justice, when such
information is furnished to the Office of Internal Audit for
referral, if warranted, to an appropriate investigative component of
the Department of Justice, or to another government agency.
O. Security access clearance index. Current INS employees who
have been cleared for access to documents and materials classified in
the interest of national security.
Q. Health record system. Persons who have requested health
services or required emergency treatment.
R. Personal data card system. Employees and former employees of
INS.
S. Compassionate cases system. INS employees who have requested
transfers for personal reasons.
T. Emergency reassignment index. INS employees who would be
reassigned to other duty stations in case of emergency.
U. Alien documentation, identification, and telecommunications
(ADIT) system. Aliens lawfully admitted for permanent residence,
commuters and other authorized frequent border crossings, and
nonimmigrant persons other than transients.
Categories of records in the system:
A. Agency information control record index. The system contains
reference and locater data on the following kinds of documents:
1. Top secret and secret materials classified as national
security information, including all copies prepared from controlled
documents originated, received, or transmitted by INS officers.
2. Confidential material originated by other agencies and
referred to INS, including all copies prepared from controlled
documents.
3. All investigative reports, responses to security checks, and
intelligence material received from sources within the Department of
Justice and other Federal intelligence sources.
B. Alien enemy index and records. This system contains a
microfilm index and files containing various forms, reports, and
other information.
C. Automobile decal parking identification system for employees.
This system contains a list by number of each Department of Justice
decal car sticker issued to local INS employees.
E. Document vendors and alterers index. This system consists of
``mug book'' photos of alleged immigration law violators involved in
the supply of fraudulent documents, and data relating to the pictured
violators including name, aliases, vital statistics, method of
operation, list of convictions, present location, and source of
material.
F. Enforcement indexes. 1. Group one, (a) Contact index; (b)
Informant index: (c) Antismuggling index (general); (d) Criminal,
immoral, narcotic, racketeer and subversive indexes; (e) Suspect
third party index. These systems of records are maintained on Form G-
598, Contract Record: Form G-169, Informant Record: Form G-170,
Smuggler Information Index Card: and other index cards containing
reference and file locator data on the individuals, including in some
cased biographic data, address, and a brief description of
activities.
2. Group two, (a) Air detail office index. The primary record in
the system is Form I-92A, Report of Private Aircraft Arrival, which
is executed by the inspecting official upon arrival of a private
aircraft from foreign territory. There are also index cards, forms,
investigative reports, records, and correspondence on aircraft
arrivals, failures to report for inspection, and known or suspected
alien smuggling operations using aircraft and microfiche indexes
containing names of owners of aircraft of United States registery.
(b) Anti-smuggling information centers. Canadian and Mexican
borders. This system contains Form G-170. Smuggler Information Index
Card, other index cards, and correspondence relating to anti-
smuggling activities. These indexes are in loose leaf form and are
distributed to Border Patrol offices in the border areas.
(c) Border Patrol Academy index. This system contains general
information and correspondence regarding each students academic
progress in training. The information is maintained on the following
forms: SW-91, Probationary Achievement Report: SW-91A. Scholastic
Grade Worksheet: SW-91B. IOBTC Achievement Report-Immigration
Inspector: SW-91C IOBTC Achievement Report-Investigator: SW-96, Class
Rating Form: SW-123, Training Data: SW-282, Registration Information
Form: SW-446, Conduct and Efficiency Report of Probationary Employee-
5\1/2\ and 10 Months Exam Grades.
(d) Border Patrol sectors general index. This system contains
indexes, forms, reports, and records relating to activities of the
Border Patrol including Form I-14, Record or Apprehension of Seizure
Form I-326, Prosecution Reports: Form I-263A and I-263B. Record of
Sworn Statement: Form I-195, Criminal Prosecution Control Card; Form
I-263W, Record of Sworn Statement-Witness; Form I-236, Prosecution
Reports; Form G-170. Smuggler Information Index Card; Form C-296,
Report of Violation of Section 239, Immigration and Nationality Act;
Form C-330, Notice of Action Information; Form C-445. Conduct and
Efficiency Evaluation of Probationary Appointees; Form C-598, Contact
Record. This system also contains copies of correspondence and
memorandums between INS offices and outside agencies and individuals,
as well as photographs of some violators of the immigration laws of
individuals suspected of being involved in immigration law
violations.
(e) Fraudulent Document Center index. This system contains birth
certificates, baptismal certificates, and other identification
documents used by aliens to support their fraudulent claims to United
States citizenship. Most of the documents are genuine; however, there
are also counterfeit and altered documents in the system. Also
contained in the system are cross indexes, investigative reports, and
records of individuals involved in fraud schemes or whose documents
have been put to fraudulent usage.
3. Enforcement correspondence control index. This system contains
reference and locator information on documents, reports, and
correspondence received in the offices of the Associate Commissioner,
Enforcement. Records are maintained on Form C-617, Correspondence
Control Card, and Form CO-147, Call-up-Index--Domestic Control.
G. Examinations indexes. 1. Application and petition systems.
This system contains petitioners' names, date and place of birth,
names of prior spouses, immigration ``A'' number if an alien, and
date of marriage if married; beneficiarys' names, date and place of
birth, immigration ``A'' number if any, names of spouses, and
nationality code, and the names, dates, and places of birth of any
children: Name of the person administering the oath or preparing the
form, if other than a Government employee.
2. Correspondence control index. This system contains reference
and locator information on documents, reports and correspondence
received in the office of the Associate Commissioner, Examinations.
Records are maintained on Form C-617, Correspondence Control Card.
3. Service lookout system. This system contains names and
reference data on violators, alleged violators, and suspected
violators of the criminal or civil provisions of the statutes
enforced by INS.
H. Extension training program enrollees. This system contains
correspondence and records of each enrollee's test scores; dates of
actions such as mailing of lesson materials, test results, and
certificates of completion; and dates of receipt of tests.
I. Finance Section indexes. 1. Accounts with creditors. Records
are vendors' invoices, purchase orders, travel vouchers, and claims
filed by appropriation for the fiscal year from which payment is
chargeable.
2. Accounts with debtors. Records consist of bill for inspection
services performed under the Act of March 2, 1931; fees, fines,
penalties, and deportation expenses assessed pursuant to the
Immigration and Nationality Act; and employee indebtedness for travel
advances, for the unofficial use of Government facilities and
services, for damage to or loss of Government property, and for
erroneous or overpayment of compensation for travel expenses.
J. Intelligence indexes. Records include reference and locator
information on documents, reports, bulletins, and correspondence:
Records are categorized by name, violation, and activity.
L. Naturalization and citizenship indexes. 1. Naturalization and
citizenship docket cards. Docket cards are 3x5 or 5x8 index cards for
each applicant, beneficiary, or petitioner, recording type of
application, date of receipt, file and/or petition number, court
number where petition for naturalization was filed, and reference
number of the individual's case file.
2. Examiners' docket lists of petitioners for naturalization.
Records are maintained on Form N-476, Examiner's Docket List, and
record court of naturalization jurisdiction, petition number,
petition filing date, court number, name of petitioner, name of
beneficiary, proposed recommendation by the naturalization examiner,
reasons of continuance, and reference number of the individual's case
file.
3. Master docket lists of petitions for naturalization pending
one year or more. Records are maintained on Form N-476, Examiner's
Docket List, and contain reference and locator information on
petitions pending for one year or longer.
M. Office of Internal Audit investigations index and records.
This system of records consists of complaints filed against INS
employees, the results of investigations into those complaints, and
actions taken after completion of the investigations. This system
also includes all records developed pursuant to special assignments
given to the Office of Internal Audit by the Commissioner as well as
records containing information indicating possible misconduct by
employees of the Federal Government, other than the INS, which have
been furnished to the Office of Internal Audit for referral, if
warranted, to the appropriate investigative authority.
O. Security access clearance index. Records are kept on 3x5 index
cards listing employee's name, dated when clearances were granted,
and levels of clearance. Related records and reports are maintained
by the Office of Management and Finance, Department of Justice.
Q. Health record system. Records are kept on 5x7 index cards
listing name, date, and treatment given.
R. Personal data card system. Records are kept on Form G-74,
Personal Data Card, for each employee or former employee. Information
includes name, date of birth, height, weight, sex, blood type,
photograph, and color of hair and eyes.
S. Compassionate cases system. Records are kept on 3x5 index
cards containing employees' name, position, grade, present location,
date of request, date circulated to committee, disposition, and (when
applicable) new location of employee. Relating records include the
employee's request: Form G-410, Employee Qualification-Skills
Inventory; local and regional recommendations, medical statements
(where applicable), records of committee actions, and response to
employee.
T. Emergency reassignment index. Records are kept on Form G-560,
Emergency Activity Project Assignment. Information includes name,
age, grade, title, official station, residence, telephone number, and
emergency assignment activity.
U. Alien documentation, identification and telecommunications
(ADIT) system. Records consist of formatted data base records of
personal and biographical information such as name, date of birth,
picture and fingerprint coordinates, height, mother's first name,
father's first name, city/town/village of birth.
Authority for maintenance of the system:
A. General, applicable to all Service index system, includes but
is not limited to: Sections 103, 265 and 290 and Title III of the
Immigrations and Nationality Act, hereinafter referred to as the 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.
B. Specific, applicable to some of the indexes, including but not
limited to:
1. Executive Order 12356 and 28 CFR 17.79--Agency control
information record index, and Access clearance information system.
2. 31 U.S.C. 66a--Finance Section indexes.
3. Title III of the Act, as amended (8 U.S.C. 1401 through 1503),
and the regulations promulgated thereunder--Naturalizations and
citizenship indexes.
4. Sections 235 and 287 of the Act, as amended (8 U.S.C. 1225;
and 8 U.S.C. 1357), and the regulations promulgated pursuant
thereto--Personnel investigations.
5. Section 231 of the Act, as amended (8 U.S.C. 1221)--Micro-
filmed manifest records.
6. 40 U.S.C. 483--Property management system.
7. 5 U.S.C. 4113--Extension training program.
8. 5 U.S.C. 552. The Freedom of Information Act requires certain
record keeping; this system was established and is maintained in
order to enable INS to comply with this requirement.
9. 5 U.S.C. 301--Health Record System. Personal Data Card System,
and Compassionate Cases System.
10. Executive Order 11490--Emergency Reassignment Index.
11. Section 204, 214, and 290 of the Act, as amended (8 U.S.C.
1254, 1184, 1360)--Application and petition system.
Purpose(s):
This system of records is used to serve the public by providing
data for responses, when authorized, to written inquiries, complaints
and so forth. It is also used to administer the management,
operational, and enforcement activities of the Service. The records
are used by officers and employees of the Service and the Department
of Justice in the administration and enforcement of the immigration
and nationality laws, and related statutes, including the processing
of applications for benefits under these laws, detecting violations
of these laws, and for referrals for prosecution.
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 clerks and judges of courts exercising naturalization
jurisdiction for the purpose of filing petitions for naturalization
and to enable such courts to determine eligibility for naturalization
or grounds for revocation of naturalization.
B. To the Department of State in the processing of petitions or
applications for benefits under the Immigration and Nationality Laws,
Act, and all other immigration and nationality laws, including
treaties and reciprocal agreements.
C. To other federal, state, and local government law enforcement
and regulatory agencies, foreign governments, the Department of
Defense, including all components thereof, the Department of State,
the Department of the Treasury; the Central Intelligence Agency, the
Selective Service System, the United States Coast Guard, the United
Nations, INTERPOL and individuals and organizations during the course
of investigation in the processing of a matter or a proceeding within
the purview of the immigration and nationality laws, to elicit
information required by the Service to carry out its functions and
statutory mandates.
D. Where there is an indication of a violation or potential
violation of law (whether civil, criminal or regulatory in nature) to
the appropriate agency, (whether federal, state, local or foreign)
charged with the responsibility of investigating or prosecuting such
violations or charged with enforcing or implementing the statute,
rule, regulation or order issued pursuant thereto.
E. Where there is an indication of a violation or potential
violation of the immigration and nationality laws, or of a general
status within Service jurisdiction, or by regulation, rule, or order
issued pursuant thereto, to a court, magistrate, or administrative
tribunal and to opposing counsel in the course of discovery.
F. To a federal, state, local or foreign government agency in
response to its request, in connection with the hiring or retention
of an employee, the issuance of a security clearance, the reporting
of an investigation of an employee, the letting of a contract, or the
issuance of a license, grant, loan, 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.
G. To a federal, state or local agency maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, such as current licenses. If necessary to obtain
information relevant to a decision of this Service concerning the
hiring or retention of an employee, the issuance of a security
clearance, the letting of a contract, or the issuance of a license
grant or other benefit.
H. Where there is an indication of a violation or potential
violation of the laws of another nation, (whether civil or criminal)
to the appropriate foreign government agency charged with enforcement
or implementing such laws: to international organizations engaged in
the collection and dissemination of intelligence concerning criminal
activity.
I. To the Office of Management and Budget in connection with the
review of private relief legislation as set forth in OMB Circular No.
A-19 at any stage of the legislative coordination and clearance
process as set forth in that Circular.
J. To other Federal agencies for the purpose of conducting
national intelligence and security investigations.
K. To an applicant, petitioner or respondent or to his or her
attorney or representative (as defined in 8 CFR 1.1(j) in connection
with any proceeding before the Service.
L. To a federal, state, local or foreign government agency on a
discretionary and/or reciprocal basis in response to its request, to
assist in the collection or repayment of loans and fraudulently-
secured benefits or grants.
M. 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.
N. 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.
O. 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Generally, index records and cards are stored in manually
operated index machines, file drawers, and boxes; other information
is stored manually as paper records in file folders. Inactive files
are stored at Federal Records Center, Exceptions are as follows:
A. Subsystems of records are maintained in file folder, on lists
and forms, microfilm, microfiche and computer processable storage
media.
B. Alien documentation, identification, and telecommunications
(ADIT) system information is stored on magnetic tape and disks.
Original forms completed by the individuals are filed with other
records.
C. Alien enemy index: Index records are maintained on microfilm.
Actual files are stored in Federal Records Centers.
D. Enforcement indexes: Original index cards and records are
stored in manually operated file drawers and machines. Some records
are also maintained in the automated system published in a notice
entitled ``JUSTICE/DEA-INS-111, Automated Intelligence Records
Systems (Pathfinder),''
E. Examinations indexes: (1) Application and petitioner system
records are stored on magnetic media at the Department of Justice
Data Management Service. Original paper forms completed by the
individuals are filed with other records, (2) Service lookout system
records are maintained on magnetic tape and in printed looseleaf
reference books at ports of entry.
Retrievability:
Generally, records are indexed and retrievable by name and/or
``A'' or ``C'' file number Exceptions are as follows:
A. Air detail office index system: Aircraft data is filed in
numerical sequence, within each calendar year.
B. Intelligence indexes: Records are retrieved by name within
organization, activity, or type of violation.
C. Examiners' docket lists of petitioners for naturalization, and
Master Docket lists of petitions for naturalization pending one year
or more, are filed chronologically for each court exercising
naturalization jurisdiction. Relating records are filed by petition
number.
Safeguards:
Access controls: Records are safeguarded in accordance with
Department of Justice rules and procedures. INS officers 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 automated system is controlled by restricted password for
use of remote terminals in secured areas.
Retention and disposal:
Several general rules apply to many subsystems of records:
A. Alien registration records are retained for 75 years from the
closing data or date of last actions.
B. Correspondence control cards (forms G-617) are normally
retained for one year following the year in which created.
C. Correspondence portions of subject files are normally retained
no longer than two years. Records are then either microfilmed or
destroyed by burning.
D. Records in policy portions of subject files are retained
indefinitely.
E. Indexes and records not specifically mentioned are retained
only so long as they serve a useful purpose.
F. Records are destroyed by shredding, burning, or as provided in
disposal schedules.
Exceptions to the general practices are as follows:
A. Alien documentation, identification, and telecommunications
(ADIT) system records are maintained until naturalization, death, or
other material change in status of the individual, or until the
registration card is relinquished.
B. Air detail office index: Forms I-92A are retained for five
years.
C. Border Patrol trainee examination papers are destroyed six
months after the trainee officer completes his probationary year.
D. Compassionate cases system records are retained for three
years after completion of action.
E. Congressional Mail Unit correspondence control index records
are retained for three years.
F. Emergency reassignment index records are destroyed upon the
transfer, separation, retirement, or death of the employee.
G. Enforcement indexes relating to law violators and witnesses
are retained for three years. Routine investigations records are
destroyed when the investigation is closed. Correspondence control
records are destroyed after final action on the subject matter.
H. Examinations indexes: (1) Application and petition system
records are deleted from the automated data base five years after the
date of the last activity. Inactive records will be stored on
magnetic tape for an additional five years. (2) Service lookout
system records are deleted five years after insertion, unless removed
at an earlier date or reinserted by the listing agency.
I. Finance Section indexes; accounts with creditors and debtors
are retained for two years, from the close of the fiscal year to
which they relate and then are transferred to Federal Records Centers
for storage and disposition.
J. Health records are retained for six years after the date of
the last entry.
K. Intelligence indexes: Records are maintained indefinitely.
L. Naturalization examiners, docket lists and master docket lists
are retained for two years. Naturalization and citizenship docket
cards are purged after applications are rejected, closed, granted, or
denied, or petitions for naturalization are granted, denied, or
nonfiled.
N. Personal data cards are retained for three years after the
employee is separated (Location A. supra). In regional offices
(Location B. supra), records are destroyed after the employee is
separated.
O. Personnel investigations records are destroyed at the close of
the fiscal year following the year of investigation. However,
Operation Clean Sweep records are being retained until the program is
terminated. Records of criminal investigation are retained as long as
the information serves a useful purpose.
P. Security access clearance index records are destroyed upon the
separation, death, or retirement of the employee.
Q. White House and Attorney General correspondence control index
cards are retained for one year beyond the expiration of the term of
the President.
System manager(s) and address:
A. The system manager, Servicewide, is the Associate
Commissioner, Immigration Resources Management.
B. The Associate Commissioner, Immigration Resources Management
is the sole manager of the following subsystems:
1. Agency information control record index.
2. Alien documentation, identification and telecommunications
(ADIT) system.
3. Alien enemy index.
4. Congressional Mail Unit correspondence control index.
5. Document vendors and alterers index.
6. Enforcement correspondence control index.
7. Examinations indexes: (1) Application and petition system; (2)
Correspondence control index; (3) Service lookout system.
8. Finance Section indexes.
9. Health record system.
10. Intelligence indexes.
13. Security access clearance index.
14. White House and Attorney General correspondence control
index.
C. The following officials are system managers for special
subsystems:
1. Automobile decal parking identification for employees: Deputy
Regional Administrators.
2. Enforcement indexes, group one (Contact index; information
index; Antismuggling index (general); Criminal, immoral, narcotic,
racketeer and subversive indexes; Suspect third party index); the
ranking Service officer of the offices in which the indexes are
maintained.
3. Enforcement indexes, group two: (a) Air detail office index:
Deputy Director (Location J, supra). (b) Antismuggling information
centers; (1) Canadian border, Chief Patrol Agent; (2) Mexican Border,
Deputy Director, (c) Border Patrol Academy index: Chief Patrol Agent,
(d) Border Patrol sectors general index; Chief Patrol Agent, (e)
Fraudulent Document Center index.
4. Compassionate cases system: Associate Commissioner, Human
Resources and Administration (HQHRA) and Regional Administrators.
5. Emergency reassignment index: Regional Administrators;
District Directors, Officers in charge and Chief Patrol Agents.
6. Extension training program enrollees: Chief, Employee
Development Branch, Office of Assistant Commissioner, Personnel and
Career Development.
7. Naturalization and citizenship indexes: (a) Naturalization and
citizenship docket cards, and Examiners' docket lists of petitioners
for naturalization: District Directors and Officers in Charge, (b)
Master docket lists of petitions for naturalization pending one year
or more: The Associate Commissioner, Examinations; Regional
Administrators; District Directors; and Officers in Charge.
8. Personnel data card system: Director of Personnel (HQPER) and
Regional Personnel Officers.
Notification procedure:
A. Inquiries should be addressed to the FOIA/PA Officer at the
INS office where the record is maintained or (if unknown) to the
FOIA/PA Officer, INS, 425 I Street NW, Washington, DC 20536.
B. Systems totally exempt from disclosure pursuant to 5 U.S.C.
532a (j) and (k) listed below:
1. Agency information and control record index.
2. Document vendors and alterers index.
3. Emergency reassignment index.
4. Enforcement indexes, group one: (a) Contact index, (b)
Informant index, (c) Anti-smuggling index (general), (d) Criminal,
immoral, narcotic, racketeer, and subversive indexes, (e) Suspect
third party index.
5. Enforcement indexes, group two: Anti-smuggling information
centers, Canadian and Mexican borders.
6. Examinations indexes; Service lookout system.
7. Intelligence indexes.
Record access procedure:
In all cases, requests for access to a record from any record
subsystem shall be in writing 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 relating
file number. To identify a record relating to an individual, the
requester should provide the individual's full name; date and place
of birth; alien, citizen, and, if appropriate, the date and place of
entry into or departure from the United States. The requester shall
also provide a return address for transmitting the information.
Most of the subsystems of records contain information which the
Attorney General has exempted from disclosure pursuant to 5 U.S.C.
552a(j) and (k), and records which are classified pursuant to
Executive order. Each requester will be accorded access to the
records relating to himself only to the extent that such records are
not within the scope of exemptions and are not classified.
Contesting record procedures:
Any individual desiring to contest or amend information
maintained in the system should direct his request to the INS office
that maintains his record or if not known to the FOIA/PA Officer,
INS, 425 I Street, NW, Washington, DC 20536 or to the office in which
he believes a record concerning him may exist. 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:
Basic information contained in INS records is supplied by
individuals on Department of State and INS applications and reports.
Other information comes from inquiries and/or complaints from members
of the general public and members of the Congress; referrals of
inquiries and/or complaints directed to the White House or Attorney
General; INS reports of investigation, sworn statements,
correspondence and memorandums; official reports, memorandums, and
written referrals from other government agencies, including Federal,
state, and local, and from various courts and regulatory agencies;
information from foreign government agencies and international
organizations; and personnel and administrative applications and
forms.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4); (d); (e) (1), (2), and (3); (e)(4) (G), (H); (e) (5)
and (8); and (g); of the Privacy Act. These exemptions apply to the
extent that information in the subsystems is subject to exemption
pursuant to 5 U.S.C. 552a (j) and (k). 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).
JUSTICE/INS-001A
System name:
The Immigration and Naturalization Service (INS) Alien File (A-
File) and Central Index System (CIS).
System location:
Headquarters, Regional, District, and other INS file control
offices in the United States and foreign countries as detailed in
JUSTICE/INS-999, last published April 13, 1999 (64 FR 18052). Remote
access terminals will also be located in other components of the
Department of Justice and in the Department of State on a limited
basis.
Categories of individuals covered by the system:
A. Individuals covered by provisions of the Immigration and
Nationality Act of the United States.
B. Individuals who are under investigation, or who were
investigated by the INS in the past, or who are suspected of
violating the criminal or civil provisions of treaties, statutes,
Executive Orders, and Presidential proclamations administered by INS,
and witnesses and informants having knowledge of such violations.
Categories of records in the system:
A. The computerized indexing system contains personal
identification data such as A-File number, date, and place of birth,
date and port of entry, as well as the location of each official
hardcopy paper file known as the ``A-file.'' Microfilm records
contain naturalization certificates and any supporting documentation
prior to April 1, 1956; however, after that date, this type of
information is maintained in the ``A-file'' which is described in B.
below.
B. The hard copy A-file (prior to 1940 was called Citizenship
File (C-File)) contains all the individual's official record material
such as naturalization certificates; various forms (and attachments,
e.g., photographs), applications and petitions for benefits under the
immigration and nationality laws, reports of investigations;
statements; reports; correspondence; and memoranda on each individual
for whom INS has created a record under the Immigration and
Nationality Act.
Authority for maintenance of records:
Sections 103 and 290 of the Immigration and Nationality Act, as
amended (8 U.S.C. 1103 and 8 U.S.C. 1360), and the regulations
pursuant thereto.
Purpose(s):
The system is used primarily by INS and other Department of
Justice employees to administer and enforce the immigration and
nationality laws, and related statutes, including the processing of
applications for benefits under these laws, detecting violations of
these laws, and the referral of such violations for prosecution.
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 clerks and judges of courts exercising naturalization
jurisdiction for the purpose of filing petitions for naturalization
and to enable such courts to determine eligibility for naturalization
or grounds for revocation of naturalization.
B. To the Department of State in the processing of petitions or
applications for benefits under the Immigration and Nationality Act,
and all other immigration and nationality laws including treaties and
reciprocal agreements.
C. To other federal, state, tribal, and local government law
enforcement and regulatory agencies and foreign governments,
including the Department of Defense and all components thereof, the
Department of State, the Department of the Treasury, the Central
Intelligence Agency, the Selective Service System, the United States
Coast Guard, the United Nations, and INTERPOL, and individuals and
organizations during the course of an investigation or the processing
of a matter, or during a proceeding within the purview of the
immigration and nationality laws, to elicit information required by
INS to carry out its functions and statutory mandates.
D. To a federal, state, tribal, local or foreign government
agency or organization, or international organization, lawfully
engaged in collecting law enforcement intelligence information,
whether civil or criminal, or charged with investigating,
prosecuting, enforcing or implementing civil or criminal laws,
related rules, regulations or orders, to enable these entities to
carry out their law enforcement responsibilities, including the
collection of law enforcement intelligence.
E. A record, or any facts derived therefrom, may be disseminated
in a proceeding before a court or adjudicative body before which INS
or the Department of Justice (DOJ) is authorized to appear when any
of the following is a party to the litigation or has an interest in
the litigation and such records are determined by INS or DOJ to be
arguably relevant to the litigation: (1) INS, or any subdivision
thereof, or (2) any employee of INS in his or her official capacity,
or (3) any employee of INS in his or her individual capacity when the
Department of Justice has agreed to represent the employee, and (4)
the United States, where INS determines that the litigation is likely
to affect it or any of its subdivisions.
F. To a federal, state, tribal, local or foreign government
agency in response to its request, in connection with the hiring or
retention by such agency of an employee, the issuance of a security
clearance, the reporting of an investigation of such an employee, the
letting of a contract, or the issuance of a license, grant, loan 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.
G. To a federal, state, local or foreign government agency
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to a decision of INS
concerning the hiring or retention of an employee, the issuance of a
security clearance, the reporting of an investigation of an employee,
the letting of a contract, or the issuance of a license, grant or
other benefit.
H. To the Office of Management and Budget in connection with the
review of private relief legislation as set forth in OMB Circular No.
A-19 at any stage of the legislative coordination and clearance
process as set forth in the Circular.
I. To other federal agencies for the purpose of conducting
national intelligence and security investigations.
J. To an attorney or representative (as defined in 8 CFR 1.1(j))
who is acting on behalf of an individual covered by this system of
records in connection with any proceeding before INS or the Executive
Office for Immigration Review.
K. To a federal, state, tribal, or local government agency to
assist such agencies in collecting the repayment of loans, or
fraudulently or erroneously secured benefits, grants, or other debts
owed to them or to the United States Government, and/or to obtain
information that may assist INS in collecting debts owned to the
United States Government; to a foreign government to assist such
government in collecting the repayment of loans, or fraudulently or
erroneously secured benefits, grants, or other debts owed to it
provided that the foreign government in question (a) Provides
sufficient documentation to establish the validity of the stated
purpose of its request, and (b) provides similar information to the
United States upon request.
L. To student volunteers whose services are accepted pursuant to
5 U.S.C. 3111 or to students enrolled in a college work-study program
pursuant to 42 U.S.C. 2751 et seq.
M. 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.
N. 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.
O. To the General Services Administration and the National
Archives and Records Administration (NARA) in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
P. To an obligor who has posted a bond with the INS for the
subject. INS may provide only such information as either may (1) aid
the obligor in locating the subject to insure his or her presence
when required by INS, or (2) assist the obligor in evaluating the
propriety of the following actions by INS: either the issuance of an
appearance demand or notice of a breach of bond--i.e., notice to the
obligor that the subject of the bond has failed to appear which would
render the full amount of the bond due and payable.
Q. To an official coroner for purposes of affirmatively
identifying a deceased individual (whether or not such individual is
deceased as a result of a crime).
R. Consistent with the requirements of the Immigration and
Nationality Act, to the Department of Health and Human Services
(HHS), the Centers for Disease Control and Prevention (CDC), or to
any state or local health authorities, to provide proper medical
oversight of INS-designated civil surgeons who perform medical
examinations of both arriving aliens and of those requesting status
as a lawful permanent resident, and to ensure that all health issues
potentially affecting public health and safety in the United States
are being or have been, adequately addressed. In addition, the names,
addresses, and telephone numbers of designated civil surgeons are
routinely provided to the CDC to enable the CDC to send its technical
instructions to the designated civil surgeons.
S. To a federal, state or local government agency seeking to
verify or ascertain the citizenship or immigration status of any
individual within the jurisdiction of the agency for any purpose
authorized by law.
T. 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.
U. To the appropriate agency/organization/task force, regardless
of whether it is federal, state, local, foreign, or tribal, charged
with the enforcement (e.g., investigation and prosecution) of a law
(criminal or civil), regulation, or treaty, of any record contained
in this system of records which indicates either on its face, or in
conjunction with other information, a violation or potential
violation of that law, regulation, or treaty.
V. To the Social Security Administration (SSA) for the purpose of
issuing a social security number and card to an alien who has made a
request for a social security number as part of the immigration
process and in accordance with any related agreements in effect
between the SSA and the Immigration and Naturalization Service and/or
the Department of State entered into pursuant to 20 CFR
422.103(b)(3); 422.103(c); and 422.106(a), or other relevant laws and
regulations.
W. Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Most A-file and C-file records are paper documents and are stored
in file folders. Some microfilm and other records are stored in
manually operated machines, file drawers, and filing cabinets. Those
index records that can be accessed electronically are stored in a
database on magnetic disk and tape.
Retrievability:
These records are indexed and retrieved by an individual's A-file
or C-file number, name, and/or date of birth.
Safeguards:
INS offices are located in buildings under security guard, and
access to premises is by official identification. All records are
stored in spaces that are locked during non-duty office hours. Many
records are stored in cabinets, open shelving, or machines that are
also locked during non-duty office hours. Access to automated records
is controlled by passwords and name identifications.
Retention and disposal:
A-file records are retained for 75 years from the date the file
is retired to the Federal Records Center or date of last action
(whichever is earlier) and then destroyed. C-file records are to be
destroyed 100 years from March 31, 1956. Automated master index
records are permanent and will be transferred to NARA in 2005.
System manager(s) and address:
The Servicewide system manager is the Assistant Commissioner,
Office of Records Services, Immigration and Naturalization Service,
425 Street NW, Fourth Floor, Union Labor Life Building, Washington,
DC 20536.
Notification procedure:
Address inquiries to the system manager identified above, the
nearest INS office, or the INS office maintaining desired records, if
known, by using the list of principal offices of the Immigration and
Naturalization Service Appendix: JUSTICE/INS-999, last published in
the Federal Register, April 13, 1999(64 FR 18052).
Record access procedure:
Make all requests for access in writing to the Freedom of
Information Act/Privacy Act (FOIA/PA) officer at one of the addresses
identified above. Clearly mark the envelope and letter ``Privacy Act
Request.'' Provide the A-file number and/or the full name, date and
place of birth, and notarized signature of the individual who is the
subject of the record, and any other information which may assist in
identifying and locating the record, and a return address. For
convenience, INS Form G-639, FOIA/PA Request, may be obtained from
the nearest INS office and used to submit a request for access.
Contesting record procedures:
Direct all requests to contest or amend information to the FOIA/
PA Officer at one of the addresses identified above. State clearly
and concisely the information being contested, the reason for
contesting it, and the proposed amendment thereof. Clearly mark the
envelope ``Privacy Act Request.'' The record must be identified in
the same manner as described for making a request for access.
Record source categories:
Basic information contained in INS records is supplied by
individuals --generally, individuals covered by this system of
records--on Department of State and INS applications and forms. Other
information comes from inquiries or complaints from members of the
general public and members of Congress; referrals of inquiries or
complaints directed to the President or Attorney General; INS reports
to investigations, sworn statements, correspondence, official
reports, memoranda, and written referrals from other entities,
including federal, state, and local governments, various courts and
regulatory agencies, foreign government agencies and international
organizations.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (1), (2), and (3), (e)(4) (G) and (H), (e)
(5) and (8), and (g) of the Privacy Act. These exemptions apply only
to the extent that records in the system are subject to exemption
pursuant to 5 U.S.C. 552a (j)(2) and (k)(2). INS has published
implementing regulations in accordance with the requirements of 5
U.S.C. 553 (b), (c), and (e) and these have been published in the
Federal Register and can be found at 28 CFR 16.99.
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.
(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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 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.
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 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. 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).
JUSTICE/INS-004
System name:
The Asset Management Information System (AMIS).
System location:
Headquarters, Regional and District offices, Administrative
Centers, Border Patrol Sector Headquarters, Sub-Offices, Stations,
and satellite offices of the Immigration and Naturalization Service
(INS) in the United States and Foreign Countries as detailed in
JUSTICE/INS-999.
Categories of individuals covered by the system:
Current and former employees of the INS, contract personnel, and
temporarily detailed personnel of other Government agencies who have
been assigned responsibility for government-owned or controlled
property.
Categories of records in the system:
This system of records contains property management records which
include information on government-owned or controlled personal
property (e.g., personal computers, firearms, etc.), and
communications equipment (e.g. radios, radar, telephones, etc.), in
the personal custody of the individuals covered by this system and
used in the performance of their official duties. Information
includes the name of such individual, property issued, serial number
of the item, dates property issued and returned and the individual/
supervisor's initials. In addition, records on firearms include a
qualifications roster, and firearm qualifications scores of each
officer authorized to use and carry a firearm, and an individual
qualifications history.
Authority for maintenance of the system:
(1) 40 U.S.C. 486; (2) 41 CFR part 101; and (3) 41 CFR part 128.
Purpose(s):
Information in this system is used to manage assets in the
custody of the INS in compliance with statutes and regulations
governing property management. The records are used to issue, track
location thereof, and maintain accountability for government owned or
controlled property, including firearms. The system also is used to
assess and determine firearm qualifications on an ongoing basis to
ensure that firearms are issued only to qualified and authorized
personnel.
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. Where the record, either on its face or in conjunction with
other information, indicates a violation or potential violation of
law (whether civil, criminal or regulatory in nature) to the
appropriate agency, (whether federal, state, local or foreign)
charged with the responsibility of investigating or prosecuting such
violations or charged with enforcing or implementing the statute,
rule, regulation or order issued pursuant thereto.
B. To a Federal, State, local or foreign government agency in
response to its request, in connection with the hiring or retention
of an employee, the issuance of a security clearance, the reporting
of an investigation of an employee, the letting of a contract or the
issuance of a license, grant, loan 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.
C. To a Federal, State or local agency maintaining civil,
criminal or other relevant enforcement information or other pertinent
information such as current licenses if disclosure is necessary to
obtain information relevant to an INS decision concerning the
retention of an employee, the issuance of a firearm and/or a security
clearance, the letting of a contract or the issuance of a license or
other benefit.
D. In a proceeding before a Court or adjudicative body before
which INS or the Department of Justice (DOJ) 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 or DOJ to be
arguably relevant to the litigation: The DOJ component or subdivision
thereof; any DOJ employee in his/her official capacity; any DOJ
employee in his/her individual capacity where the DOJ has agreed to
represent the employee; or the United States where INS or the DOJ
determines that the litigation is likely to affect it or any of its
subdivisions.
E. 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.
F. To the 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.
G. 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 a personal privacy.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
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 necessarty to accomplish an agency function related
to this system of records.
Policies and practices for storing, retrieving, accessing,
Retaining and Disposing of records in the system:
Storage:
A. Paper records and cards are stored in manually-operated index
machines, file drawers and boxes; other information is stored
manually as paper records in file folders.
B. Electronic records are stored in a database on magnetic disk.
Retrievability:
These records are retrieved by last name and social security
number of the record subject.
Safeguards:
INS offices are located in buildings under security guard, and
access to the premises is by official identification. All records are
stored in a space which is locked outside of normal office hours. In
addition, paper records are stored in locked cabinets or machines.
Access to the automated system is controlled by restricted password
for use at remote terminals in secured areas.
Retention and disposal:
General property management records are maintained in accordance
with General Records Schedules 3 and 4. The following INS proposal
for retention and disposal of records on firearms is pending approval
by the Archivist of the United States. Records on returned firearms
will be maintained for three years, archived to the Department of
Justice Data Center (DOJDC), Dallas, Texas, and then destroyed when
seven years old. Records on lost/stolen firearms will be maintained
for three years, archived to the DOJDC and destroyed when 20 years
old. (Paper records will be destroyed as they are computerized.)
System managers and Address:
Chief, Property Section; Logistics Policy, Planning and
Evaluation Branch; 425 I Street NW, Room 2214, Washington, DC 20536.
Notification procedure:
Inquiries should be addressed to the Freedom of Information and
Privacy Act (FOIA/PA) Officer at the INS office where the record is
maintained or to the FOIA/PA Officer at 425 I Street NW, Washington,
DC 20536.
Record access procedures:
Requests for access to records in this system shall be in writing
and should be addressed to the appropriate FOIA/PA Officer as
indicated above. Such request may be submitted either by mail or in
person. If a request for access is made by mail, clearly mark the
envelope and letter ``Privacy Access Request.'' To identify a record
relating to an individual, a requester should provide full name, date
of birth, verification of identity (in accordance with 8 CFR
103.21(b)), a description of the general subject matter and, if
known, the related Property Control Number. The requester shall also
provide a return address for transmitting the records to be released.
Contesting record procedures:
An individual desiring to contest or amend information maintained
in the system should direct his or her request to the appropriate
FOIA/PA officer as indicated above. The request should state clearly
what information is being contested, the reasons for contesting and
the proposed amendment to the information.
Record source categories:
Records are generated from property purchase orders; acquisition,
transfer and disposal data; and employee locator documentation, or
otherwise from the record subject.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-005
System name:
INS Image Storage and Retrieval System (ISRS).
System location:
Headquarters, Regional Offices, Administrative Centers, Service
Centers, District Offices, Ports of Entry, and file control offices
of the Immigration and Naturalization Service in the United States as
detailed in JUSTICE/INS-999, last published, April 13, 1999 (64 FR
18052). Other offices having access to the system are: The Law
Enforcement Support Center, 188 Harvest Lane, Williston, Vermont
05495; the Central States Command Center, 10 West Jackson Boulevard,
Chicago, Illinois 60604; and the Forensic Document Laboratory, 8000
Westpark Drive, Suite 325, McLean, Virginia 22101-3105.
Categories of individuals covered by the system:
Persons lawfully admitted for permanent residency; Asylees and
Parolees lawfully admitted for employment authorization (although,
Asylees and Parolees are not initially covered under the Privacy Act,
these individuals often change their status to lawful permanent
residents and at that time will be covered by the Privacy Act);
Commuters and other persons authorized for frequent border crossing;
Naturalized United States Citizens.
Categories of records in the system:
Records consist of formatted data base records of personal
biographical data including: Name, date of birth, mother's first
name, father's first name, and country of birth; and biometric
information (i.e., fingerprints, digital images of facial picture,
and signatures).
Authority for maintenance of the system:
8 U.S.C. 1103, 1321, and 1360.
Purpose(s):
This system of records is used: To verify controlled INS
documents issued to individuals covered by the system; to assist the
INS with its responsibility to detect and reduce fraudulent entry to
the United States; and to detect and reduce the proliferation of
fraudulent INS documents.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
Relevant information contained in this system of records may be
disclosed as follows:
A. 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.
B. 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.
C. To the General Services Administration and National Archives
[[Page 6673]]
and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
D. To the appropriate agency/organization/task force, regardless
of whether it is Federal, State, local, foreign, or tribal, charged
with the enforcement (e.g., investigation and prosecution) of a law
(criminal or civil), regulation, or treaty, of any record contained
in this system of records which indicates either on its face, or in
conjunction with other information, a violation or potential
violation of that law, regulation, or treaty.
E. 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.
F. Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
INS Image Storage and Retrieval System (ISRS) information is
stored on magnetic media (internal image server disk drives).
Retrievability:
Individual records are indexed and retrievable by name, alien
registration number (A-number), and application receipt number. In
cases where an individual record can not be retrieved by one of these
key indexes, combinations of multiple data elements may be used (e.g.
name, date of birth, and country of birth) if necessary, to assist in
the identification and retrieval of a unique record.
Safeguards:
Most INS offices are located in buildings under security guard,
with access limited to INS and other Federal Government employees and
authorized visitors. All records are stored in spaces which are
locked outside of normal office hours at the Department of Justice
Data Center. The automated equipment is physically accessible only by
authorized Department of Justice personnel. Electronic access to the
automated system is controlled by restricted password for use at
remote terminals in secured areas.
Retention and disposal:
Image Storage and Retrieval System data records are retained in
the system for a period of 75 years and them destroyed.
System manager(s) and address:
Associate Commissioner, Immigration Resources Management,
Immigration and Naturalization Service, 800 I Street, NW., Room 700,
Washington, DC 20536.
Notification procedure:
Inquiries should be addressed to the system manager at the INS
office where the record is maintained or (if unknown) to the FOIA/PA
Officer, INS, 425 I Street NW., Second Floor, Union Labor Life
Building, Washington, DC 20536.
Record access procedure:
Requests for access to records in this system shall be in writing
and should be addressed to the System Manager noted above or to the
appropriate FOIA/PA Officer as indicated in System Locations.
Requests sent directly to the System Manager should be submitted by
mail. Requests to the FOIA/PA Officer may be submitted by mail.
Requests to the FOIA/PA Officer may be submitted either by mail or in
person. If a request for access is made by mail, the envelope and
letter shall be clearly marked Privacy Access Request. Include a
description of the general subject matter and if known, the related
file number. To identify a record, 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) or provide a statement under
penalty of perjury, alien number, the date and place of entry into or
departure from the United States 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:
An individual desiring to request amendments of records
maintained in this system should direct his or her request to the
System Manager or to the appropriate FOIA/PA Officer noted in System
Locations. The request should state the information being contested,
the reason(s) for contesting it, and the proposed amendment thereof.
Persons filing such requests should mark the envelope with the
following legend Privacy Act Amendment Request.
Record source categories:
Basic information contained in this INS data repository is
supplied by aliens wishing to seek entry to the United States and/or
those already in the United States seeking benefits from the
Immigration and Naturalization Service. External entities including
Department of State overseas consular offices and United States
embassies and the Department of Labor may also provide data on
individuals seeking entry into the United States.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-007
System name:
Orphan Petitioner Index and Files.
System location:
Headquarters, District offices and suboffices of the Immigration
and Naturalization Service (Service) in the United States and foreign
countries, as detailed in JUSTICE/INS-999, last published in the
Federal Register on April 13, 1999 (64 FR 18052).
Categories of individuals covered by the system:
Individuals who are prospective petitioners or who have filed an
application for Advance Processing of Orphan Petition under the
Immigration and Nationality Act, as amended.
Categories of records in the system:
The system contains form I-600A, Application for Advance
Processing of Orphan Petition, filed for advance processing of orphan
petitions by prospective adoptive parent(s); documentation of
prospective adoptive parent(s)' United States citizenship and marital
status, agency responses indicating whether prospective adoptive
parent(s) have any arrest records; and
[[Page 39200]]
home studies which include statements of financial ability and other
elements that relate to the ability of the prospective adoptive
parents to provide proper care to beneficiary orphans.
Authority for maintenance of the system:
8 U.S.C. 1103 and 1154; and 42 U.S.C. 14901.
Routine uses of records maintained in the system, including
categories of users and the PURPOSE OF SUCH USE:
Information in the system will be used by employees of the
Immigration and Naturalization Service to determine the status of
pending requests or petitions, to locate related files and other
records promptly, and to determine the suitability of prospective
petitioners as adoptive parents. Information regarding the status and
progress of cases and the suitability of prospective petitioners as
adoptive parents may be disseminated to other components of the
Department of Justice, Members of Congress, and the President. In
addition:
A. Relevant information from this system may be referred to the
Department of State in the processing of petitions or issuance of
visas for benefits under the Immigration and Nationality Act, as
amended.
B. Information from this system may be referred to officials of
other federal, state and local government agencies and adoption
agencies and social workers to elicit information required for making
a final determination of the petitioner's ability to care for a
beneficiary orphan.
C. To an attorney or representative who is acting on behalf of an
individual covered by this system of records as defined in 8 CFR
1.1(j) in conjunction with any proceeding before the Immigration and
Naturalization Service or the Executive Office for Immigration
Review.
D. 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.
E. 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.
F. To the General Service Administration (GSA) and the National
Archives and Records Administration (NARA) in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
G. 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.
H. To a court of adjudicative body before which the appropriate
DOJ component 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 the appropriate DOJ component to be arguably
relevant to the litigation:
(1) The DOJ component, or any subdivision thereof, or
(2) Any employee of the DOJ in his or her official capacity, or
(3) Any employee of the DOJ in his or her individual capacity
where the DOJ has agreed to represent the employee or has authorized
a private attorney to represent him or her, and
(4) The United States, where the DOJ determines that the
litigation is likely to affect it or any of its subdivisions.
I. Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained as paper records in file folders.
Retrievability:
Records are retrieved by the name of the petitioner.
Safeguards:
Most INS offices are located in buildings under security guard,
with access limited to INS and other Federal Government employees and
authorized visitors. All records are stored in spaces which are
locked outside of normal office hours.
Retention and disposal:
Records from the advance processing file folders are retained for
one year after the completion of all advance processing. After one
year the records are returned to the petitioner or the responsible
state or licensed agency. Materials which cannot be returned to the
petitioner or responsible state or licensed agency will be destroyed.
System manager(s) and address:
Associate Commissioner, Examinations, Immigration and
Naturalization Service, 425 I Street, NW, Washington, DC 20536.
Notification procedure:
Inquiries should be addressed to the District Director or Officer
in Charge of the Service office where the file is located. If the
file location is not known, inquiries may be addressed to the System
Manager, as noted above. To enable the Service to identify whether
the system contains a record relating to an individual, the requester
must provide the individual's full name, date of birth, place of
birth, and a description of the subject matter.
Record access procedure:
A person desiring access to a record shall submit a request in
writing to the agency official designated under ``Notification
Procedure'' above. The requester must also identify the record by
furnishing the information listed under that caption. If a request to
access a record is made by mail, the envelope and letter shall be
clearly marked ``Privacy Act Request,'' and a return address must be
provided for transmitting any information.
Contesting record procedure:
An individual desiring to request amendment of records maintained
in this system of records should direct his or her request to the
System Manager or to the appropriate FOIA/PA Officer noted in System
Locations. The request should state the information being contested,
the reason(s) for contesting it, and the proposed amendment thereof.
Persons filing such requests should mark the envelope with the
following legend ``Privacy Act Amendment Request.''
Record source categories:
Information in the system is obtained from requests and petitions
filed by the petitioners, public and private adoption agencies and
social workers; and federal, state, local and foreign government
agencies.
Systems exempted from certain provisions of the act:
This system is exempt from subsection (d) of the Privacy Act.
This exemption applies to the extent that information in this system
is subject to
[[Page 39201]]
exemption pursuant to 5 U.S.C. 552a(k)(1). INS has published
implementing regulations in accordance with the requirements of 5
U.S.C. 553(b), (c) and (e) and these have been published in the
Federal Register. See 28 CFR 16.99(e).
JUSTICE/INS-008
System name:
Bond Management Information System (BMIS).
System location:
Immigration and Naturalization Service (INS), Headquarters and
certain other regional, district, and/or other field offices as
needed. (Currently, the only field office maintaining this system is
Burlington, Vermont.) Addresses of offices are listed in JUSTICE/INS-
999 as published in the Federal Register, or in the telephone
directories of the respective cities listed above under the heading
``United States Government, Immigration and Naturalization Service.''
Categories of individuals covered by the system:
Individuals who have posted a bond with INS and the beneficiaries
of posted bonds.
Categories of records in the system:
Information which allows identification of active bonds posted
with INS such as: Bond number, obligor's name and address, alien
beneficiary's name and alien file number, type of bond, location and
date bond was posted, and other data related to the bond.
Authority for maintenance of the system:
Sections 103, 213, 236, 240B, and 293 of the Immigration and
Nationality Act, as amended (8 U.S.C. 1103, 1183, 1226, 1229c, and
1363, respectively).
Purpose(s):
Information in this system of records will be used by employees
of INS to control and account for collateral received to support an
immigration bond, and may be used to prepare timely responses to
inquiries about these records.
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. Where the record, either on its face or in conjunction with
other information, indicates a violation or potential violation of
law (whether civil, criminal, or regulatory in nature) to the
appropriate agency (whether Federal, State, local, or foreign)
charged with the responsibility of investigating or prosecuting such
violations or charged with enforcing or implementing the related
statute, rule, regulation, or order pursuant thereto.
B. In a proceeding before a court or adjudicative body before
which INS or the Department of Justice (DOJ) 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 or DOJ to be
arguably relevant to the litigation: The DOJ, or any DOJ component or
subdivision thereof; any DOJ employee in his/her official capacity;
any DOJ employee in his/her individual capacity where the DOJ has
agreed to represent the employee; or the United States where INS or
the DOJ determines that the litigation is likely to affect it or any
of its subdivisions.
C. 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.
D. To the National Archives and Records Administration (NARA) and
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
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 necessarty to accomplish an agency function related
to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is stored on magnetic disks.
Retrievability:
Records may be retrieved by any of the following: Alien's name,
alien's file number, obligor's name, bond-receipt control number,
breach control number, or location and date bond was posted.
Safeguards:
Access can be obtained only through remote terminals which are
located in secured areas of secured buildings and through the use of
restricted passwords assigned to authorized personnel.
Retention and disposal:
The following INS proposal for retention and disposal is pending
approval by NARA. Six years after the bond is disbursed, breached, or
closed, all records will be archived and stored at the DOJ Archives
Center for seven years and then destroyed.
System manager(s) and address:
The Assistant Commissioner, Office of Financial Management, 425 I
Street, NW, Washington, DC 20536.
Notification procedure:
Inquiries should be addressed to the system manager.
Record access procedures:
In all cases, requests for access to a record shall be in
writing. Written requests may be submitted by mail or in person at
any INS system location where bond activity records are located. (See
``System Location.'') If a request for access is made by mail, the
envelope and letter should be clearly marked ``Privacy Access
Request.'' To enable INS to identify an individual's record, he or
she must provide his or her full name, alien file number, location
and date bond was posted, and a return address for transmitting the
information.
Contesting record procedures:
Any individual desiring to contest or amend information must
direct his or her request to Headquarters or other appropriate system
location (see ``System Locations'') and state clearly what
information is being contested; the reason for contesting it; and the
proposed amendment to the information.
Record source categories:
Individuals covered by the system.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-009
System name:
Alien Status Verification Index.
System location:
Immigration and Naturalization Service (INS), 425 I Street NW,
Washington, DC 20536.
Categories of individuals covered by the system:
Individuals who are applicants, petitioners, beneficiaries, or
possible violators of the Immigration and Nationality Act.
Categories of records in the system:
The system consists of an index of aliens and other persons on
whom INS has a record as an applicant, petitioner, beneficiary, or
possible violator of the Immigration and Nationality Act. Records
include index and file locator data such as last and first name,
alien registration number (or ``A-file'' number), date and place of
birth, social security account number, date coded status transaction
data and immigration status classification, verification number, and
an employment eligibility statement.
Authority for maintenance of the system:
Sections 101 and 121 of the Immigration Reform and Control Act of
1986; Section 404 of the Illegal Immigration Reform and Immigrant
Responsibility Act of 1996; 8 U.S.C. 1360; 8 U.S.C. 1324a; 8 U.S.C.
1373; 8 U.S.C. 1642; 20 U.S.C. 1091; 42 U.S.C. 1320b-7; 42 U.S.C.
1436; and Executive Order 12781.
Purpose(s):
This system of records is used to verify the individuals'
immigrant, nonimmigrant, and/or eligibility status for any purpose
consistent with INS statutory responsibilities.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
Relevant information contained in this system of records may be
disclosed as follows:
A. To a federal, state, tribal, or local government agency, or to
a contractor acting on its behalf, to the extent that such disclosure
is necessary to enable these agencies to make decisions concerning
the (1) hiring or retention of an employee; (2) issuance of a
security clearance; (3) reporting of an investigation of an employee;
(4) letting of a contract; (5) issuance of a license or grant; or (6)
determination of eligibility for a federal, state, or local program
or other benefit. Such access may be via a system in which the
recipient performs its own automated verification of the requisite
information for deciding any of the above. INS will assign
appropriate access codes for remote access through secured terminals
to agencies which are to perform their own automated verification.
Records may also be disclosed to these agencies for use in computer
matching programs for the purpose of verifying eligibility of
applicants for federal, state, or local programs or benefits.
B. To any person or entity, e.g., employers, agents of employers,
state employment agencies, etc., authorized or required by law to
participate in an employment verification program, any information
which will enable such persons or entities to verify eligibility to
work in the United States in compliance with the employer sanctions
provisions of the Immigration Reform and Control Act of 1986. Such
persons or other entities are assigned secure access codes and will
have access through electronic means.
C. To the private contractor for maintenance and for other
administrative support operations (e.g., preparing for INS management
reimbursable cost reports etc. based on user access), to the extent
necessary to perform such contract duties.
D. To other federal, state, tribal, or local government agencies
for the purpose of verifying information in conjunction with the
conduct of a national intelligence and security investigation or for
criminal or civil law enforcement purposes.
E. 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.
F. To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff request the information on behalf of
and at the request of the individual who is the subject of the
record.
G. To the National Archives and Records Administration (NARA) and
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
H. To a federal, state, tribal, or local government agency
participating in the INS Status Verification Program seeking to
verify or ascertain the citizenship or immigration status of any
individual within the jurisdiction of the agency for any purpose
authorized by law.
I. To a person or entity authorized by a federal, state, tribal
or local government agency to act as the agency's contractor, agent,
grantee, or designee with respect to ascertaining or verifying
immigration status for any purpose consistent with INS statutory
responsibilities, and/or are otherwise authorized by law. INS would
disclose to such person or entity only to the extent that it would
otherwise disclose to the authorizing federal, state, tribal or local
government agency pursuant to an applicable Privacy Act disclosure
provision.
J. Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on magnetic disk and tape.
Retrievability:
Records are indexed and retrievable by name and date and place of
birth, or by name and social security account number, by name and A-
file number.
Safeguards:
Records are safeguarded in accordance with Department of Justice
Orders governing security of automated records and Privacy Act
systems of records. Access is controlled by restricted password for
use of remote terminals in secured areas.
Retention and disposal:
Information is destroyed when no longer needed.
System manager(s) and address:
The Director, SAVE Branch, Immigration and Naturalization
Service, 425 I Street NW, First Floor, Union Labor Life Building,
Washington, DC 20536, is the sole manager of the system.
Notification procedure:
Inquiries should be addressed to the system manager listed above.
Record access procedures:
In all cases, requests for access to a record from this system
shall be in writing. If a request for access is made by mail the
envelope and letter shall be clearly marked ``Privacy Act Request.''
The requester shall include the name, date and place of birth of the
person whose record is sought and if known the alien file number. The
requester shall also provide a return address for transmitting the
information.
Contesting record procedures:
Any individual desiring to contest or amend information
maintained in the system should direct his or her request to the
System Manager or to the INS office that maintains the file. 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:
Basic information contained in this system is taken from
Department of State and INS applications and reports on the
individual.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-011
System name: Password Issuance and Control System (PICS).
System location:
Central, Regional, and District offices of the Immigration and
Naturalization Service (INS) as detailed in JUSTICE/INS-999.
Categories of individuals covered by the system:
Those INS employees, INS contractor employees, and other Federal,
State or local government employees for whom authorization to access
and use INS automated data processing (ADP) systems has been
requested.
Categories of records in the system:
This system of records consists of paper records (INS Form G-872,
Request for ADP Password) and an automated data base. INS Form G-872
contains personal identification data such as name, social security
number, office location code, organization code, ADP security
clearance information, office telephone number, company name of
contractor employees, and a statement by the supervisor certifying
the official need for access. Upon approval of the request, the user
ID code and password issued will be included on the Form. The
automated data base may include information extracted from INS Form
G-872 and from the Secrutiy Clearance Information System (SCIS),
JUSTICE/JMD-008. The SCIS data is necessary to determine the
suitability and trustworthiness to access the information.
Authority for maintenance of the system:
Section 103 of the Immigration and Nationality Act (8 U.S.C.
1103) as amended by sec. 274A of the Immigration Reform and Control
Act of 1986 (8 U.S.C. 1324) and Department of Justice Order 2640.2A
which delegates ADP security authority to INS for maintaining and
operating its systems.
Purpose(s):
The purpose of the system is to expedite determinations of
eligibility to access INS automated systems and to improve control by
ADP Security Officers of ADP password and user ID distribution.
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. Where there is an indication of violation or potential
violation of law (whether civil, criminal or regulatory in nature),
to the appropriate agency (whether Federal, State, local or foreign)
charged with the responsibility of investigating or prosecuting such
violations, or charged with enforcing or implementing the statute,
rule, regulation or order issued pursuant thereto.
B. To the General Services Administration and the National
Archives and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
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 necessarty to accomplish an agency function related
to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Those records which can be accessed electronically are stored in
a database on magnetic disc. Forms G-872, Request for ADP Password,
are maintained in file folders at Central, Regional and District ADP
Security Offices.
Retrievability:
These records are retrieved by social security number.
Safeguards:
INS offices are located in buildings under security guard, and
access to premises is by official identification. Paper records are
stored in locked files during non-duty hours. Access to automated
data is obtained through terminals which require the use of
restricted passwords and user IDs. Only designated Security Officers
have access to PICS for creating and updating records of users within
their jurisdiction.
Retention and disposal:
Inactive automated records are retained 10 years after date of
last action and then deleted from the system. INS Forms G-872,
Request for ADP Password, are retained 3 years after final action and
then destroyed by shredding.
System manager(s) and address:
The Servicewide system manager is the Director, Technical
Services Branch, Data Systems Division, Immigration and
Naturalization Service, 425 I Street NW, Washington, DC 20536.
Notification procedure:
Address inquiries to the system manager identified above.
Record access procedures:
Make all requests for access in writing to the Freedom of
Information Act/Privacy Act (FOIA/PA) Officer at the address
identified above. Clearly mark the envelope and letter ``Privacy Act
Request.`` Provide the full name, social security number, user ID,
and notarized signature of the individual who is the subject of the
record, and a return address.
Contesting record procedures:
Direct all requests to contest or amend information to the FOIA/
PA Officer at the address identified above. State clearly and
concisely the information being contested, the reason for contesting
it, and the proposed amendment thereof. Clearly mark the envelope
``Privacy Act Request.'' The record must be identified in the same
manner as described for making a request for access.
Record source categories:
INS Form 872, Request for ADP Password, completed by the
supervisor or program manager, and security clearance information
extracted from SCIS, JUSTICE/JMD-008.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-012
System name:
Deportable Alien Control System (DACS).
System location:
Headquarters, Regional and District offices, and other offices of
the Immigration and Naturalization Service (INS) in the United States
as detailed in JUSTICE/INS-999, last published in the Federal
Register on April 13, 1999 (64 FR 18052).
Categories of individuals covered by the system:
Aliens deported and alleged to be deportable by INS.
Categories of records in the system:
The system is a computer data base that contains biographic
information about deported and deportable aliens such as name, date
and country of birth; United States and foreign addresses; file
number, charge, amount of bond, hearing date, case assignment,
scheduling date, section(s) of law under which deportability/
excludability/removability is alleged; data collected to support the
INS position on deportability/excludability/removability, including
information on any violations of law and conviction information;
date, place, and type of last entry into the United States; Attorney/
representative's identification number; family data, and other case-
related information.
Authority for maintenance of the system:
8 U.S.C. 1103, 1227, 1228, 1229, 1229a, and 1231.
Purpose(s):
The system provides INS with an automated data base which assists
in the deportation or detention of aliens in accordance with
immigration and nationality laws. It also serves as a docket and
control system by providing management with information concerning
the status and/or disposition of deportable aliens.
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 clerks and judges of Federal courts exercising jurisdiction
over the deportable aliens in determining grounds for deportation.
B. To other Federal, State, and local government law enforcement
and regulatory agencies and foreign governments, including the
Department of Defense and all components thereof, the Department of
State, the Department of the Treasury, the Central Intelligence
Agency, the Selective Service System, the United States Coast Guard,
the United Nations, and INTERPOL, and individuals and organizations
during the course of an investigation or the processing of a matter,
or during a proceeding within the purview of the immigration and
nationality laws to elicit information required by INS to carry out
its functions and statutory mandates.
C. To the appropriate agency/organization/task force, regardless
of whether it is Federal, State, local, foreign, or tribal, charged
with the enforcement (e.g., investigation and prosecution) of a law
(criminal or civil), regulation, or treaty, of any record contained
in this system of records which indicates either on its face, or in
conjunction with other information, a violation or potential
violation of that law, regulation, or treaty
D. Where there is an indication of a violation or potential
violation of the law of another nation (whether civil or criminal),
to the appropriate foreign government agency charged with enforcing
or implementing such laws and to international organizations engaged
in the collection and dissemination of intelligence concerning
criminal activity.
E. To other Federal agencies for the purpose of conducting
national intelligence and security investigations.
F. To a Member of Congress or staff acting on 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.
G. To the General Services Administration and the National
Archives and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
H. To any Federal agency, where appropriate, to enable such
agency to make determinations regarding the payment of Federal
benefits to the record subject in accordance with that agency's
statutory responsibilities.
I. 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, or informal discovery proceedings.
J. In a proceeding before a court or adjudicative body before
which INS or the Department of Justice (DOJ) is authorized to appear
when any of the following is a party to the litigation or has an
interest in the litigation and such records are determined by INS or
DOJ to be arguably relevant to the litigation: (1) DOJ, or any DOJ
component, or subdivision thereof; (2) any DOJ employee in his or her
official capacity; (3) any DOJ employee in his or her individual
capacity when the DOJ has agreed to represent the employee or has
authorized a private attorney to represent him or her; and (4) the
United States, where INS or the DOJ determines that the litigation is
likely to affect it or any of its subdivisions.
K. To legal service providers who are authorized to represent
individuals in removal proceedings with the United States Immigration
and Naturalization Service, to assist individuals in INS custody
acquire legal representation.
L. 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in a data base on magnetic disks.
Retrievability:
These records are retrieved by name and/or nationality, A-file
number, or alien's Bureau of Prisons number, when applicable.
Safeguards:
Most INS offices are located in buildings under security guard,
and access to premises is by official identification. Access to
terminals is limited to INS employees with user identification
numbers. Access to records in this system is by restricted password
and is further protected by secondary passwords.
Retention and disposal:
The following INS proposal for retention and disposal is pending
approval by NARA. Cases which have been closed for a year are
archived and stored in the database for 75 years, then deleted. Daily
population reports are retained for six months and then destroyed.
Work Measurement Reports are destroyed three years after creation.
Copies of forms used within this system of records are placed in the
Alien File. Electronic copies of records (copies from electronic mail
and word processing systems) which are produced and made part of the
file can be deleted within 180 days after the recordkeeping copy has
been produced.
System manager(s) and address:
Assistant Commissioner, Detention and Deportation, Immigration
and Naturalization Service, 425 I Street, NW., Washington, DC 20536.
Notification procedure:
Address inquiries to the system manager identified above.
Record access procedure:
Make all requests for access in writing to the Freedom of
Information Act/Privacy Act (POIA/PA) Officer at the nearest INS
office, or the INS office maintaining the desired records (if known)
by using the list of Principal Offices of the Immigration and
Naturalization Service Appendix, JUSTICE/INS-999, published in the
Federal Register. Clearly mark the envelope and letter ``Privacy Act
Request.'' Provide the A-file number and/or the full name,
nationality, and date of birth, with a notarized signature of the
individual who is the subject of the record, and a return address.
Contesting record procedurres:
Direct all requests to contest or amend information in the record
to the FOIA/PA Officer at one of the addresses identified above.
State clearly and concisely the information being contested, the
reason for contesting it, and the proposed amendment thereof. Clearly
mark the envelope ``Privacy Act Request.'' The record must be
identified in the same manner as described for making a request for
access.
Record source categories:
Basic information is obtained from ``The Immigration and
Naturalization Service (INS) Alien File (A-File) and Central Index
System (CIS), JUSTICE/INS-001A.'' Information may also come from the
alien, the alien's attorney/representative, INS official, other
Federal, State, local, and foreign agencies and the courts.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-013
System name:
Computer Linked Application Information Management System
(CLAIMS).
System location:
Immigration and Naturalization Service (INS) Headquarters,
Regional Service Centers, District Offices and sub-offices as
detailed in Justice/INS-999.
Categories of individuals covered by the system:
Individuals who have filed applications or petitions for benefits
under the Immigration and Nationality Act, as amended, and/or who
have submitted fee payments with such applications or petitions;
individuals who have paid fees for access to records under the
Freedom of Information/Privacy Acts (FOIA/PA); individuals who have
posted a bond and related fees with INS; and individuals who have
refunded money to INS.
Categories of records in the system:
Information which identifies individuals named above, e.g., name
and address, date of birth, and alien registration number. Records in
the system may also include such information as date documents were
filed or received in INS, status, location of record, FOIA/PA or
other control number when applicable, fee receipt data, and posted
bond data.
Authority for maintenance of the system:
8 U.S.C. 1103; 8 U.S.C. 1363; and 31 U.S.C. 3512.
Purpose(s):
This system will enable INS to determine the status of pending
applications and petitions for benefits; to account for and control
the receipt and disposition of any fees or refunds collected,
including those which accompany applications, petitions, posted
bonds, and FOIA/PA requests; and to locate related files and respond
to inquiries about these records.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. To any Federal agency, where appropriate, to enable such
agency to make determinations regarding the payment of Federal
benefits to the record subject in accordance with that agency's
statutory responsibilies.
B. In a proceeding before a court or adjudicative body before
which INS or the Department of Justice (DOJ) 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 or DOJ to be
arguably relevant to the litigation: The DOJ, or any DOJ component or
subdivision thereof; any DOJ employee in his/her official capacity;
any DOJ employee in his/her individual capacity where the DOJ has
agreed to represent the employee; or the United States where INS or
the DOJ determines that the litigation is likely to affect it or any
of its subdivisions.
C. To an actual or potential party or to his or her attorney for
the purpose of negotiation or discussion on such matters as
settlement of the case or matter, or informal discovery proceedings.
D. 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.
E. 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.
F. 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 3906.
G. To an obligor who has posted a bond with the INS for the
subject. INS may provide only such information, (e.g. address), as
may aid the obligor in locating the subject to insure his or her
presence when required by INS.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is stored on magnetic disks and tape.
Retrievability:
Records may be retrieved by the name of the individuals covered
by the system; and by fee receipt number.
Safeguards:
Records are safeguarded in accordance with Department of Justice
rules and procedures. INS offices are located in buildings under
security guard, and access to premises is by official identification.
Offices are locked during non-duty hours. Access to this system is
obtained through remote terminals which require the use of restricted
passwords and a user ID.
Retention and disposal:
Records are archived off-line for an indefinite period one year
after the final action. A disposition schedule for archived records
is pending.
System manager(s) and address:
Director, Service Center Operation, Immigration and
Naturalization Service, 425 I Street NW., Washington, DC 20536.
Notification procedure:
Inquiries should be addressed to the system manager.
Record access procedures:
Make all requests for access in writing to the FOIA/PA Officer at
any INS office. Clearly mark the envelope and letter ``Privacy Act
Request.'' Depending on the type of record, provide the name and date
of birth of the applicant, name of petitioner or FOIA/PA requester,
alien registration number of beneficiary and receipt number to assist
in locating and/or verifying the identify of the record. For your
convenience, INS Form G-639, Freedom of Information Act Privacy Act
Request, may be obtained from the nearest INS office and used to
submit a request.
Contesting record procedures:
Direct all requests to contest or amend information to the FOIA/
PA Officer at any INS office. State clearly and concisely the
information being contested, the reason for contesting it, and the
proposed amendment thereof. Clearly mark the envelope ``Privacy Act
Amendment Request.'' The record must be identified in the same manner
as described for making a request for access.
Record source categories:
Information contained in this system of records is obtained from
the individuals covered by the system.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-014
System name:
Security Access Control System (SACS).
System location:
Headquarters, Regional and District offices, Administrative
Centers, and other Immigration and Naturalization Service (INS) file
control offices as detailed in JUSTICE/INS-999, last published in the
Federal Register on April 13, 1999 (64 FR 18052).
Categories of individuals covered by the system:
INS employees and contractors.
Categories of records in the system:
SACS is an automated system which contains: employee name, badge
number, social security number, physical descriptions, photographs,
date, time and location of entry into and departure from INS
buildings and office suites.
Authority for maintenance of the system:
Executive Order 12356, 5 U.S.C. 552a(e)(10), Public Law Number
90-620, as amended (44 U.S.C. Chapters 21 and 23), 5 U.S.C. 301, and
40 U.S.C. 486(c), as implemented by 41 CFR 101-20.3 and 41 CFR 101-
20.103. The Executive Order and statutes address the security of
records maintained by Federal agencies, Public Buildings, Property
and Works to include Conduct on Federal Property and Physical
Protection and Building Security.
Purpose(s):
The purpose of the system is to improve the security of Federal
records and property, and the safety of INS employees, by instituting
a more effective means by which to detect unauthorized entry into the
INS buildings. Access passes (i.e., card key) must be inserted into
an electronic card reader which will record identifying data and will
automatically unlock the entrance door if the pass is active and
authorized.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. 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.
B. To a Member of Congress or staff acting on 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.
C. To the General Services Administration and the National
Archives and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
D. To contractors who have been hired to perform Immigration and
Naturalization Service functions to the extent necessary to enable
them to perform their assigned duties.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on magnetic media within the server and on
data cartridges used as back-ups.
Retrievability:
Records are retrieved by last name, social security number or
numerically by access pass number.
Safeguards:
The databases is maintained in a locked room with access limited
to the Security staff and INS management and supervisory officials.
System users must sign on with INS assigned and approved user
identification and password.
Retention and disposal:
Data recorded on magnetic media within the server will be
retained for a period of three years, at which time the information
will be deleted. Information on data cartridges will be retained
briefly until the date is erased by recording new data. Key
accountability files (i.e., files that relate to the accountability
of issued card keys) are retained and disposed of in accordance with
General Records Schedule 18, items 16 and 18.
System manager(s) and address:
Director, Office of Security and Security Officers at each INS
office maintaining a database as noted in System Locations.
Notification procedure:
Address inquiries to the system manager identified above.
Record access procedures:
Requests for access to records in this system shall be in
writing, and should be addressed to the appropriate INS FOIS/PA
Officer where the records are located or if unknown to the FOIS/PA
Officer at 425 I Street, NW, Second Floor, Union Labor Life Building,
Washington, DC 20536. Such requests may be submitted either by mail
or in person. Clearly mark the envelop ``Privacy Act Request.'' The
requester shall include a description of the general subject matter
and provide his or here full name, date and place of birth,
verification of identifying (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:
A determination as to the granting or denial of a request shall
be made at the time a request is received. An individual who desires
to request amendment of records maintained in the system should
direct his or her request to the appropriate FOIS/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, Second Floor, Union Labor Life
Building, Washington, DC 20536. The request should state clearly and
concisely the information being contested, the reasons for contesting
it and the proposed amendment to the information.
Record source categories:
INS employees.
System exempted from certain provisions of the act:
None.
JUSTICE/INS-015
System name: Port of Entry Office Management Support System
(POMS).
System location:
Port of entry inspection facilities under the District Offices of
the Immigration and Naturalization Service (INS) in the United States
as detailed in JUSTICE/INS-999.
Categories of individuals covered by the system:
INS employees assigned inspection duties at United States ports
of entry.
Categories of records in the system:
Personal identification information, e.g., name, address, social
security number, identification and stamp inspection numbers assigned
to the inspectors; personnel-related data, e.g., job and position
titles, classification, step and grade; and resource management
records, e.g., work schedules, including leave and overtime worked,
and costs data, including dollars allocated to regular and overtime
pay.
Authority for maintenance of the system:
5 U.S.C. chapters, 53, 54, 61, 63; 8 U.S.C. 1103; and 44 U.S.C.
3101.
Purpose(s):
The information in this system will be used to assist management
in scheduling leave, in assigning and controlling overtime, in
accounting for use of overtime funds, and in the overall management
of resources at the various ports of entry.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
There are no routine uses. Information will be accessible only to
management, administrative or operational personnel at a given port
who need the information for port management and reporting.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
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 necessarty to accomplish an agency function related
to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored on hard disk and diskette.
Retrievability:
These records are retrieved by name and identification number.
Safeguards:
INS offices are located in buildings under security guard and
access to the premises is by official identification. Access to
records is restricted to INS employees through the use of
identification and password levels.
Retention and disposal:
These records are maintained 90 days after the employee is
separated or transferred from that port and then deleted from the
system.
System manager(s) and address:
Assistant Commissioner, Inspections, 425 I Street, NW,
Washington, DC 20536.
Notification procedure:
Address inquiries to Port Supervisor or System Manager identified
above.
Record access procedures:
Make all requests for access in writing to the Freedom of
Information Act/Privacy Act (FOIA/PA) Officer at the nearest INS
office, or the INS office maintaining the desired records (if known)
by using the list of principal offices of the Immigration
Naturalization Service Appendix, JUSTICE/INS-999, published in the
Federal Register. Clearly mark the envelope and letter ``Privacy Act
Request.'' Provide the full name and date of birth, with a notarized
signature of the individual who is the subject of the record, and a
return address.
Contesting record procedures:
Direct all requests to contest or amend information in the record
in writing to the FOIA/PA Officer at one of the addresses identified
above. State clearly and concisely the information being contested,
the reason for contesting it, and the proposed amendment thereof.
Clearly mark the envelope ``Privacy Act Amendment Request.'' The
record must be identified in the same manner as described for making
a request for access.
Record source categories:
The sources of information for POMS will be the employee and
personnel management records.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-016
System name:
Secondary Verification Automated Log (SVAL).
System location:
Headquarters. Regional, District, and other offices of the
Immigration and Naturalization Service (INS) in the United States as
detailed in JUSTICE/INS--999.
Categories of individuals covered by the system:
Immigrant aliens apply for Federal entitlements for whom INS
receives a Form G-845, Document Verification request, which is
submitted by Federal and State entitlements agencies.
Categories of records in the system:
Temporary paper records include Form G-845 as submitted by the
entitlement agencies and contain the following data: Alien name and
identifying number, name of the entitlement agency, and immigration
status as reported by the alien applicant. INS will update Form G-845
with immigration status information and return it to the entitlement
agency. However, identical data, together with Form G-845 disposition
data, will be recorded and maintained by INS on hard and floppy disks
as a record of secondary verifications made by the entitlement
agencies.
Authority for maintenance of the system:
8 U.S.C. 1255a, 8 U.S.C. 1324a, 8 U.S.C. 1360 and 42 U.S.C.
1320b-7.
Purpose(s):
The SVAL JUSTICE/INS-016 system is used to maintain records of a
second attempt by entitlement agencies to verify immigration status
by comparing paper documents (known as the `'secondary
verification''). Secondary verification is conducted where
eligibility for certain benefits was not or could not be confirmed
through direct access to an INS automated database entitled ``Alien
Status Verification Index'' (ASVI), JUSTICE/INS-009 (known as the
``primary verification''). Specifically, INS is asked to compare the
entitlement agency's paper record, Form G-845 (which contains
information provided by the immigrant aliens applying for Federal
entitlements), with INS paper records; complete the Form relative to
immigration status; and return it to the entitlement agency. The
SVAL, JUSTICE/INS-016 system is maintained to track the interim and
final disposition of the second request to verify eligibility which
may require referral to an INS district office.
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 to the following:
A. To a Federal, State, or local government agency in response to
a request for information on the status and/or disposition of a
document verification request submitted by that agency.
B. 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.
C. To the General Services Administration and the National
Archives and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Until they have been processed and returned to the entitlement
agency, Forms G-845 are kept in a card index file. Data extracted
from the form is stored in personal computers on hard and floppy
disks.
Retrievability:
These records are retrieved by serial number, A-file number and/
or name of immigrant applicant.
Safeguards:
INS offices are located in buildings under guard and access to
the premises is by official identification. Access to personal
computers is limited to INS employees and access to records in this
system is further restricted through user identification and discrete
password functions to assure that accessibility is limited.
Retention and disposal:
Form G-845 is retained long enough to complete the verification,
at which time the form is returned to the entitlement agency.
Completed verifications are archived on to a storage disk monthly and
destroyed five (5) years after the last month contained on the disk.
Disposition authority is INS Disposition Schedule NI-85-90-3.
System manager(s) and address:
Assistant Commissioner, Office of Records, Office of
Examinations, Immigration and Naturalization Service, 425 I Street
NW, Washington, DC 20536.
Notification procedures:
Address your inquiries about the system in writing to the system
manager identified above.
Record access procedures:
Make all requests for access in writing to the Freedom of
Information Act/Privacy Act (FOIA/PA) Officer at the nearest INS
Office, or in the INS office maintaining the desired records (if
known) by using the List of Principal Offices of the Immigration and
Naturalization Service Appendix, JUSTICE/INS-999, published in the
Federal Register. Clearly mark the envelope and letter ``Privacy Act
Request.'' Provide the A-file number and/or the full name and date of
birth, with a notarized signature of the individual who is the
subject of the records, and a return address.
Contesting record procedures:
Direct all requests to contest or amend information in the record
to the FOIA/PA Officer at one of the addresses identified above.
State clearly and concisely the information being contested, the
reason for contesting it, and the proposed amendment thereof. Clearly
mark the envelope and letter ``Privacy Act Request.'' Provide the A-
file number and/or the full name and date of birth, with a notarized
signature of the individual who is subject of the record, and a
return address.
Record source categories:
Form G-845, Request for Document Verification (furnished by
entitlement agencies) and INS immigration status records.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-017
System name:
Global Enforcement System (CES).
System location:
Land border ports of entry and airports inspection facilities
under the District Offices of the Immigration and naturalization
Service (INS) in the United States as detailed in JUSTICE/INS-999;
and the Preregistered Access Lane (PAL) and enrollment center for the
(INS) checkpoint in San Clemente, California under the INS San Diego
Sector headquarters Office.
Categories of individuals covered by the system:
United States citizens and lawful permanent residents of the
United States as determined eligible by the Commissioner of the INS
who apply to use any form of automated or other expedited inspection
for verifying eligiblilty to cross the borders into the United
States, or to register to pass through the PAL at the INS checkpoint
in San Clemente, California.
Categories of records in the system:
the system will contain application data such as full name, place
and date of birth, sex, addresses, telephone numbers, country of
citizenship, alien registration number (if applicable), biometric
data, driver's license number and issuing state or province, the
make, model, color, year,m license number and license issuing state
or province of the applicant's vehicle, the name and address of the
vehicle's registered owners if different from the applicant, and the
amount of fee paid. The application will also include such
information as the frequency of border crossings, and the most
frequent of border crossings, and the most freguent for crossing the
border, together with an indication from the individuals as to
whether he or she has been arrested or convicted of any violations of
law. In addition, the file may bontain a brief notation indicating
that (1) through an independent check of other law enforcement agency
systems, INS determined that the applicant had been convicted of a
specific violation(s) of law (a finding which could prompt denial of
the application) or (2) through a random inspection, INS identified a
specific violation(s) of law which provided cause to remove the
individual from the program. Finally, the file will contain letters
to the applicants indicating the disposition of their applications.
Authority for maintenance of the system:
8 U.S.C. 1101, 1103, 1201, 1304, and 1356 (Pub. L. 101-515, 103-
121, 102-217).
Purpose(s):
Information in this sytem is used to adjudicate applications (1)
to enter the United States by any available form of automated or
other expedited inspection, including that offered to travelers
arriving in the United States via dedicated commuter lanes, to
pedestrians and vehicles arriving at remote ports of entry, to
pedestrians and vehicles arriving at other lands borders, and to air
travelers; and (2) to pass through PAL at the InS checkpoint in San
Clemente, CA; Alternative methods of inspection have been established
to reduce delays by allowing low-risk frequent border crossers and
users of the San Clemente checkpoint who have been pre-screened and
preauthorized, to enter the United States subject only to some form
of automated inspection and random inspections.
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 to the following:
A. To Federal, State, and local government agencies, foreign
governments, individuals, and organizations during the course of
investigation in the processing of a matter or a proceeding within
the purview of the immigration and nationality laws, to elicit
information required by the INS to cary out its functions and
statutory mandates.
B. Where there is an indication of a violation orpotention
violation of law (whether Federal, State, local or foreign), charged
with the responsibility of investigating or prosecuting such
violations or charged with enforcing or implementing the statute,
rule, regulatio or order issued prusuant thereto.
C. Where there is anindication of a violation or potential
violation of the law of another nation (whether civil, criminal or
regulatory in nature), to the appropriate foreign government agency
charged with the responsibility of investigating or prosecuting such
violations or with wnforcing or implementing such laws, and to
international organizations engaged in the collection and
dissemination of intelligence concerning criminal activity.
D. To a Member of Congress or staff acting upon a 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.
E. To the General Services Administration and the national
Archives and Records Administration in records management inspections
conducted under the authority of 44 USC 2904 and 2906.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in manila folders and hard disk and
diskette.
Retrievability:
These records are retrieved by name, address, and/or vehicle
license number.
Safeguards:
INS offices are located in building under guard and access to the
premises is by official identification. Personal computers are
accessed by user identification and password levels to assure that
accessibility is limited to persons having a need-to-know. Similarly,
paper records are protected from unauthorized access in locked files.
Retention and disposal:
9(a) Destroy all records three years after the dedicated commuter
landpermit expires or three years after the denial of an application
or removal of an individual from the program. (2) Litigation records
will be destroyed three years after resolution or court decision. At
the end of the three years, automated records will be erased, and
paper records will be destroyed by shredding.
System manager(s) and address:
Assistant Commissioner, Inspections, 425 I Street NW, Washington,
DC 20536.
Notification procedure:`
Address your inquiries to the Port Director or Border Patrol
Chiel (if known) or to the system manager identified above.
Record access procedures:
Make all requests for access in writing to the Freedom of
Information Act/Privacy Act (FOIA/PA) Officer at the nearest INS
Officer, or in the INS office maintaining the desired records (if
known) by using the List of JUSTICE/INS-999. Clearly mark the
envelope and letter Privacy Act Request.
Provide the A-file number and/or the full name and date of birth,
with a notarized signature of the individual who is the subject of
the records, and a return address.
Contesting record procedure:
Direct all requests to contest or amend information in the record
to the FOIA/PA Officer at one of the addresses identified above.
State clearly and concisely the information being contested, the
reason for contesting it, and the proposed amendment thereof. Clearly
mark the envelope and letter Privacy Act
Request. Provide the A-file number and/or the full name
and diate of birth, with notarized signature of the individual who is
subjedt of the records, and a return address.
Record source categories:
The primary source of information is the application. Other law
enforcementrecords systems may be used as sources.
System exempted from certain provisions of the Act:
None.
JUSTICE/INS-018
System name:
Automated Data Processing Equipment Inventory Management System
(AIMS).
System location:
Headquarters, Regional, District, and other offices of the
Immigration and Naturalization Service (INS) in the United States as
detailed in JUSTICE/INS--999.
Categories of individuals covered by the system:
INS employees who are responsible for the procurement and
management of automated data processing equipment (ADPE); and,
contractors who have been assigned ADPE to use in developing software
programs for INS.
Categories of records in the system:
An inventory reflecting (1) the ADPE procurement and management
activities of INS employees and (2) the identity of contractors using
such equipment to develop software programs for INS. The inventory
will include information relating to the kinds and quantity of ADPE
equipment procured, the disposition of such equipment and the purpose
for such disposition, and/or (where appropriate) information relating
to the reassignment of responsibility for the equipment. Such
reassignment may be made based upon the resignation or transfer of
responsible employees, upon the expiration of the subject contracts,
or otherwise upon the need to track the status or disposition of the
equipment and identify the management employee responsible therefor,
e.g., removal of the equipment from the inventory for repair
purposes. Records will include identifying information such as INS
employee or contractor name/title, social security number, office
location/address and phone number, company name of the contractor,
and other relevant information such as the level of responsibility
assigned to the INS employee.
Authority for maintenance of the system:
8 U.S.C. 1103 and 40 U.S.C. 483.
Purpose(s):
To provide accountability records relating to (1) INS employee
management and disposition of ADPE equipment and (2) contractor use
of such equipment in developing software programs for INS. The
records will be used by management to track and account for the
procurement and disposition of all ADPE, and thus ensure the
integrity and security of the ADPE inventory.
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. Where there is an indication of a violation or potential
violation of law (whether civil, criminal, or regulatory in nature),
to the appropriate agency (whether Federal, State, local or foreign)
charged with the responsibility of investigating or prosecuting such
violations, or charged with enforcing or implementing the statute
and/or the rule, regulation or order issued pursuant thereto.
B. 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.
C. To the General Services Administration and the National
Archives and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
D. 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are stored in a data base on magnetic disk.
Retrievability:
These records may be retrieved by INS employee and contractor
name, machine serial number, company name, or office location.
Safeguards:
The records are accessed from mainframe computer terminals
located in INS offices that are locked during non-duty hours. Access
is obtained through terminals which require the use of restricted
passwords and user identification numbers. Only designated personnel
have access to AIMS for creating and updating ADPE Inventory records
within their jurisdiction.
Retention and disposal:
A schedule for the retention and disposal of these records is
under review and development.
System manager(s) and address:
The Servicewide system manager is the Associate Commissioner,
Information Resources Management, Immigration and Naturalization
Service, 425 I Street, NW, Washington, DC 20536.
Notification procedures:
Address your inquiries to the system manager identified above.
Record access procedures:
Make all requests for access in writing to the Freedom of
Information Act/Privacy Act (FOIA/PA) Officer at the address
identified above. Clearly mark the envelope and letter ``Privacy Act
Request.'' Provide the full name, social security number, user
identification number, and notarized signature of the individual who
is the subject of the records, and a return address.
Contesting record procedures:
Direct all requests to contest or amend information to the FOIA/
PA Officer at the address identified above. State clearly and
concisely the information being contested, the reason for contesting
it, and the proposed amendment thereof. Clearly mark the envelope and
letter ``Privacy Act Request.'' The record must be identified in the
same manner as described for making a request for access.
Record source categories:
The individuals covered by the system are the record sources.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-019
System name:
Employee Assistance Program (EAP) Treatment Referral Records.
System location:
Records are maintained by the EAP Manager/therapist at the
Immigration and Naturalization Service (INS) headquarters office and
at facilities under contract with INS to provide treatment and other
services related to the administrative and financial management of
the EAP program, i.e., contract providers. INS headquarters address
is 425 I Street, NW, Washington, DC 20536. Addresses of the contract
providers may be obtained by contacting the EAP Manager at INS
headquarters.
Categories of individuals covered by the system:
Current and former INS employees who have sought counseling and/
or have been referred to the INS EAP Manager, EAP Specialist, or
directly to the INS EAP contract providers for counseling and/or
treatment. To the limited degree that counseling and treatment may be
provided to family members of these employees, these individuals,
too, are covered by the system.
Categories of records in the system:
Records include any records which may assist in diagnosing,
evaluating, counseling and/or treating the employee. Included are the
therapist's intake/termination outcome forms, therapist case notes;
pertinent psychosocial, medical and employment histories; medical
tests or screenings, including drug and alcohol tests and information
on confirmed unjustified positive drug tests generated by the staff
of the Drug Free Workplace Program and the Medical Review Officer and
provided by the EAP Manager or the employee's supervisor; treatment
and rehabilitation plans as well as behavioral improvement plans; and
records of treatment referrals. Referrals include those to community
treatment resources when employees request legal, financial or other
assistance not related to psychological or medical health. Where such
referrals have been made, records may include relevant information
related to such counseling, diagnosis, prognosis, treatment, and
evaluation, together with follow-up data. Also included are written
consent forms used to manage referrals and the flow of information.
Finally, records include account information such as contract
provider billings and INS payments.
Authority for maintenance of the system:
42 U.S.C. 290dd, et seq., and 290ee, et seq.; 42 CFR part 2;
Executive Order 12564; 5 U.S.C. 3301 and 7901; 44 U.S.C. 3101 and
Pub. L. 100-71, sec. 503 (July 11, 1987).
Purpose(s):
The EAP is a voluntary program designed to assist the recovery of
employees who are experiencing one or more of a variety of personal
or behavioral problems (e.g., marital, financial, substance abuse).
Records are maintained to document referral and participation in the
EAP program; the nature and effects of the employee's personal or
behavioral problem(s); efforts to counsel, treat, and rehabilitate
the employee; and progress made in attaining his/her full recovery.
Records may be used also to track compliance with agreements made to
mitigate discipline based upon treatment (abeyance agreements).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those disclosures permitted by the Privacy Act
itself,\1\ 5 U.S.C. 552a(b), permissive disclosures without
individual consent, are as follows:
---------------------------------------------------------------------------
\1\ To the extent that release of alcohol and drug abuse records is
more restricted than other records subject to the Privacy Act, INS
will follow such restrictions. See 42 U.S.C. 290dd and 290ee.
---------------------------------------------------------------------------
1. Pursuant to subsection (m) of the Privacy Act, the contract
providers maintain EAP records on behalf of INS. Therefore, in
addition to those records which are given directly to the contract
provider by the record subject, other records collected directly by
INS may be disclosed by INS to the contract provider to the extent
that it is appropriate, relevant, and necessary to enable the
contract provider to perform his or her counseling, treatment,
rehabilitation, and evaluation responsibilities. Similarly, records
collected directly by the contract provider may be disclosed by the
contract provider to the EAP Manager to the extent that it is
appropriate, relevant and necessary to enable the EAP Manager to
perform his or her counseling, program management and policy, and
evaluation responsibilities.
2. Relevant information may also be disclosed from this system of
records as follows:
a. To appropriate State or local authorities to report, under
State law, incidents of suspected child abuse or neglect.
b. To any person or entity to the extent necessary to prevent an
imminent and potential crime which directly threatens loss of life or
serious bodily injury.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in locked file cabinets and a computerized
environment.
Retrievability:
Records are retrieved by a case number which is cross referenced
to a name by the computer.
Safeguards:
In accordance with the requirements of 42 CFR 2.16, records are
stored in a secure environment. Paper records are stored in locked
files and computerized records are password protected. In addition,
all paper records, e.g., case files, billings and payment vouchers,
are identified by case number only and cannot be identified by a name
until they are cross-referenced by the computer system to a name.
Records may be accessed within the EAP Program by designated EAP
Program individuals based on their need-to-know to perform their
duties. No records will be disclosed except with the written consent
of the individual, or as indicated under the routine use disclosure
outlined in this notice.
Retention and disposal:
Records are retained for three years after the individual ceases
contact with the counselor unless a longer retention period is
necessary because of pending administrative or judicial proceedings.
In such cases, the records are retained for six months after the case
is closed. Records are destroyed by shredding or burning (General
Records Schedules 26 and 36).
System manager(s) and address:
EAP Manager, Immigration and Naturalization Service, 425 I
Street, NW, Washington, DC 20536.
Notification procedure:
Same as record access procedures.
Record access procedure:
Address all requests for access to records to the system manager
identified above. Address all requests for records maintained by the
contract provider to that provider. Addresses of these offices may be
obtained by contacting the EAP Manager. Clearly mark the envelope and
letter ``Privacy Act Request.'' Provide the full name and notarized
signature of the individual who is the subject of the record, the
dates during which the individual was in counseling, any other
information which may assist in identifying and locating the record,
and a return address.
Contesting record procedure:
Direct all requests to contest or amend information in accordance
with procedures outlined under Record Access Procedures. State
clearly and concisely the information being contested, the reason for
contesting it, and the proposed amendment thereof. Clearly mark the
envelope ``Privacy Act Amendment Request.''
Record source categories:
Records are generated by the employee who is the subject of the
record; EAP Manager, EAP Specialists, and EAP contract facilities/
providers; the personnel office; and the employee's supervisor. In
the case of drug abuse counseling, records may also be generated by
the staff of the Drug Free Workplace Program and the Medical Review
Officer.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-020
System name:
Finance Section Indexes.
System location:
Headquarters, Regional and District offices, Administrative
Centers, Service Centers, and other file control offices of the
Immigration and Naturalization Service (INS) in the United States as
detailed in JUSTICE/INS-999.
Categories of individuals covered by the system:
Creditors and debtors, including:
(a) Individuals who are indebted to the United States Government,
whether it be for goods, services, or benefits, or for administrative
fines and assessments, etc.
(b) Employees who have received travel advances or overpayments
from the United States Government, who are in arrears in their
accounts, or who are liable for damage to Government property.
(c) Vendors who have furnished supplies, material, equipment,
and/or services to the Government.
(d) Employees and witnesses who have performed official travel.
(e) Employees and other individuals who have a claim against the
Government.
Categories of records in the system:
Accounts with creditors--Records include vendors' invoices,
purchase orders, travel vouchers, and claims.
Accounts with debtors--Records include bills for inspection
services performed under the Immigration and Naturalization Act of
March 2, 1931; fees, fines, penalties, vendor indebtedness for
overpayments, and deportation expenses assessed pursuant to the
Immigration and Nationality Act; and employee indebtedness for travel
advances, for the unofficial use of Government facilities and
services, for damage to or loss of Government property, and for
erroneous or overpayment of compensation for travel expenses.
Authority for maintenance of the system:
(1) Sec. 103, 265 and 290 and Title III of the Immigration 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; (2) 31
U.S.C. 66a.
Purpose(s):
This system of records is used to provide an accounting of the
financial activities of the INS, including accounts receivable and
accounts payable, and to assist management in the administration of
these activities. Further, the system provides the necessary
information to meet external fiscal reporting requirements and
respond to written inquires and complaints by the public.
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. Where the record, either on its face or in conjunction with
other information, indicates a violation or potential violation of
law (whether civil, criminal or regulatory in nature) to the
appropriate agency, (whether federal, state, local or foreign)
charged with the responsibility of investigating or prosecuting such
violations or charged with enforcing or implementing the related
statute, rule, regulation or order issued pursuant thereto.
B. To other Federal or State agencies as specified in applicable
law or implementing regulations.
C. To the Internal Revenue Service (IRS) to obtain taxpayer
mailing addresses for the purpose of locating such taxpayer to
collect or compromise a Federal claim against the taxpayer. Addresses
obtained from IRS may be redisclosed to consumer reporting agencies,
but only for the purposes of allowing these agencies to prepare a
commercial credit report for INS use.
D. To employers to effect salary or administrative offsets to
satisfy a debt owed the United States by that person; or, when other
collection efforts have failed, to the IRS to effect an offset
against Federal income tax refund due. Such disclosures will be made
only when all procedural steps (including due process) established by
the Debt Collection Act have been taken.
E. To a person or organization with whom the head of the agency
has contracted for collection services to recover indebtedness owed
to the United States. Addresses of taxpayers obtained from the IRS
will also be disclosed, but only where necessary to locate such
taxpayer to collect or compromise a Federal claim.
F. To a Federal, State, local, or foreign agency or to an
individual or organization if there is reason to believe that such
agency, individual, or organization possesses information relating to
the debt, the identity or location of the debtor, the debtor's
ability to pay, or relating to any other matter which is relevant and
necessary to the settlement, effective litigation and enforced
collection of the debt, or relating to the civil action trial or
hearing, and the disclosure is reasonably necessary to elicit such
information or to obtain the cooperation of a witness or agency.
G. In a proceeding before a court or adjudicative body before
which INS or the Department of Justice (DOJ) 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 or DOJ to be
arguably relevant to the litigation: The DOJ, or any DOJ component or
subdivision thereof; any DOJ employee in his/her official capacity;
any DOJ employee in his/her individual capacity where the DOJ has
agreed to represent the employee; or the United States where INS or
the DOJ determines that the litigation is likely to affect it or any
of its subdivisions.
H. To any third party who may possess the information, such as
the U.S. Post Office, State motor vehicle administration, a
professional organization, etc., to obtain a current mailing address
in order to locate a debtor.
I. To an actual or potential party or to his or her attorney for
the purpose of negotiation or discussion on such matters as
settlement of the case or matter, or informal discovery proceedings.
J. To a Federal agency in connection with the hiring or retention
of an employee, the issuance of a security clearance, the reporting
of an investigation of an employee, the letting of a contract, or the
issuance of a license, grant or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter.
K. To Federal, State, and local licensing agencies or association
which require information concerning the suitability or eligibility
of an individual for a license or permit.
L. 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.
M. 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.
N. 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.
31 U.S.C. 3711 requires that, where appropriate, the notice
required by section 552(e)(4) of title 5 must indicate that
information in the system may be disclosed to a consumer reporting
agency pursuant to subsection (b)(12). Such notice is provided as
follows:
Disclosure to consumer reporting agencies:
Notice of Disclosure to Consumer Reporting Agencies Under
Subsection (b)(12) of the Privacy Act
Records relating to the identity of debtors and the history of
claims may be disseminated to consumer reporting agencies to
encourage payment of the past-due debt. Such disclosures will be made
only when a claim is overdue and only after due process steps have
been taken to notify the debtor and give him or her a chance to meet
the terms of the debt. Prior to such disclosure, satisfactory
assurances will be obtained from such consumer reporting agency
concerning compliance by that agency with the Fair Credit Reporting
Act (15 U.S.C. 1681 et seq.) and any other Federal law governing the
provision of consumer credit information.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Generally, index records are recorded on cards and stored in file
boxes and/or drawers. Other paper records are kept in file folders.
These records are also maintained on microfiche and computer
processable storage media. Inactive files are stored at the Federal
Records Center.
Retrievability:
Records are first retrieved by appropriation for the appropriate
fiscal year and then by creditor/debtor name and/or social security
number, as well as by vendor identification number.
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 automated records is
controlled by restricted password for use of remote terminals in
secured areas.
Retention and disposal:
Accounts with creditors and debtors are retained for two years
from the close of the fiscal year to which they relate and then are
transferred to Federal Records Centers for storage and disposition in
accordance with General Records Schedules 6 and 7.
System manager(s) and address:
Assistant Commissioner, Office of Financial Management,
Immigration and Naturalization Service, 425 I Street, NW, Washington,
DC 20536.
Notification procedure:
Inquiries may be addressed to the FOIA/PA Officer at the INS
office where the record is maintained, or to the System Manager or
the FOIA/PA Officer, at 425 I Street, NW, Washington, DC 20536.
Record access procedures:
Requests for access to records in this system must be in writing,
and should be addressed to the System Manager or to the FOIA/PA
Officer at the INS office where the record is maintained or (if
unknown) to the FOIA/PA officer at 425 I Street, NW, Washington, DC
20536. Such request may be submitted either by mail or in person. The
envelope and letter shall be clearly marked ``Privacy Access
Request.'' 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 return address for transmitting the records to be
released. If known, the requester should also identify the date or
year in which a debt was incurred, e.g., date of the invoice or
purchase order.
Contesting record procedures:
Any individual desiring to contest or amend information
maintained in the system should direct his or her request to the INS
System Manager or the appropriate FOIA/PA officer as indicated under
``Records Access Procedures.'' 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:
(1) Personnel who handle finance-related activities of the INS,
such as payroll, contracting, purchasing, travel-related payments and
debt collections and (2) the individuals covered by this system of
records.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-021
System name:
The Immigration and Naturalization Service (INS) Designated
Entity Information Management System (DEIMS).
System location:
Headquarters, Regional, District, and other INS file control
offices in the United States as detailed in JUSTICE/INS-999.
Categories of individuals covered by the system:
A. Individuals applying for certification from INS as designated
fingerprint service providers (DFS), including those who have in fact
been certified as DFS providers in accordance with the terms of an
application/agreement (Form I-850). Where application/agreement is
made on behalf of such individuals by their employer, individuals
covered by the system may also include the employer, owner, and
manager (or other individual acting in a similar capacity).
B. Individuals contracted to inspect individuals and/or entities
which provide such fingerprint services to INS.
Categories of records in the system:
A. The computerized system contains personal identification data
such as the name, social security number, date of birth, place of
birth, and position of each owner/employee of a DFS.
B. The computerized system contains personal identification data
such as the name, social security number, former agency affiliation,
Inspector ID number, and level of security clearance of each
inspector employed under contract to inspect DFS providers.
C. The hard copy DFS file includes evidence of United States
citizenship or lawful permanent resident status for all DFS
employees, evidence of completion of the required fingerprint
training for such employees, and attestation to compliance with the
requirements of 8 CFR 103.2(e) (Form I-850A).
Authority for maintenance of the records:
(1) Secs. 103 and 290 of the Immigration and Nationality Act, as
amended (8 U.S.C. 1103 and 8 U.S.C. 1360), and the regulations
pursuant thereto; and (2) 8 CFR part 2.
Purpose(s):
A contractor maintains on behalf of INS an information database
of individuals/entities certified by INS as DFS providers. The
contractor is also required to provide inspectors to conduct
inspections of DFS providers and to include information on such
inspectors in the database. (See Categories of Records in the
System.) The system is used by INS to identify these individuals and
to monitor their training/qualifications and performance.
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. Where the record (whether on its face or in conjunction with
other information) indicates a violation or potential violation of
law (whether the violation or potential violation is civil, criminal,
or regulatory in nature), to the appropriate Federal, State, foreign,
or local agency charged with enforcing or implementing the statute,
rule, regulation, or order issued pursuant thereto.
B. 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 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 affect it or any of its subdivisions.
C. To a Federal, State, or local government agency in response to
its request, in connection with the hiring or retention by such an
agency of an employee, the issuance of a security clearance, the
reporting of an investigation of such an employee, the letting of a
contract, or the issuance of a license, grant, loan, 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.
D. To a Federal, State, or local government agency maintaining
civil, criminal, or other relevant law enforcement information, or
other pertinent information such as current licenses, if necessary to
obtain information relevant to an INS decision concerning the
certification of a DFS employee (employer/owner), and/or the issuance
of a security clearance, and/or the conduct or reporting of an
investigation of a DFS employee or inspector.
E. To the contractor, and/or the contract inspector, acting on
INS behalf (1) to perform contractual responsibilities, or (2) to
elicit information to enable INS to perform its adjudicative and
oversight responsibilities.
F. 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.
G. To a Member of Congress, or staff acting on 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.
H. To the General Services Administration and the National
Archives and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper documents are stored in file folders. Those records which
can be accessed electronically are stored in a data base on magnetic
disc tape.
Retrievability:
These records are indexed and retrieved by name and/or social
security number of the employee of the designated fingerprint
service, and by name and/or social security number of the contract
inspector.
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 during non-duty office hours. Many
records are stored also in locked cabinets or machines during non-
duty office hours. Access to automated records is controlled by
passwords and name identifications. In addition, contractual
provisions require the contractor to adopt similar safeguards to
protect these records from unauthorized disclosure. In order to
ensure compliance, the contractor is subject to on-site inspection by
INS.
Retention and disposal:
The following INS proposal for retention and disposal is pending
approval of the Department of Justice and by the Archivist of the
United States. The electronic DEIMS record will be destroyed two
years after the program ends. Hardcopy records (i.e., Forms I-850 and
I-850A) will be destroyed two years after the DEIMS program ends or
three years after separation or transfer of the employee/inspector,
whichever comes first.
System manager(s) and address:
The Servicewide system manager is the Assistant Commissioner,
Adjudications and Nationality, Immigration and Naturalization
Service, 425 I Street NW., Washington, DC 20536.
Notification procedure:
Address inquires to the Freedom of Information Act/Privacy Act
(FOIA/PA) Officer at the appropriate INS office identified in
JUSTICE/INS-999, or to the INS FOIA/PA Officer at 425 I Street NW.,
Washington, DC 20536.
Record access procedures:
Make all requests for access in writing to the FOIA/PA Officer at
the appropriate INS office identified in JUSTICE/INS-999. Such
request may be submitted either by mail or in person. If a request
for access is made by mail, the envelope and letter shall be clearly
marked ``Privacy Act Request.'' Include a description of the record
sought, and provide name, social security number, and any other
information which may assist in identifying and locating the record.
In addition, provide a return address for transmitting the records.
Contesting record procedures:
Direct all requests to contest or amend information to the FOIA/
PA Officer at the appropriate INS office identified in JUSTICE/INS-
999. State clearly and concisely what information is being contested,
the reason for contesting it, and the proposed amendment thereof.
Clearly mark the envelope ``Privacy Act Request.'' Similarly,
identify the record in the same manner as described under ``Record
Access Procedures.''
Record source categories:
Individuals covered by the system.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-022
System name:
Attorney/Representatives Complaint/Petition Files.
System location:
Offices of Regional Counsels of the Immigration and
Naturalization Service (INS) in the United States as detailed in
JUSTICE/INS-999.
Categories of individuals covered by the system:
Attorneys and authorized representatives for whom the INS has
received complaints regarding their practice before INS and/or the
Executive Office for Immigration Review (EOIR).
Categories of records in the system:
The system contains records of investigations; State Bar
grievance/discipline proceedings records; criminal conviction
records; copies of petitions (and related attachments) filed with INS
and/or EOIR; communications with the individuals and/or outside
agencies; communications within the agency, court transcripts,
complaints filed by any person or organization and EOIR pleadings.
Authority for maintenance of the system:
Section 292 of the Immigration and Nationality Act, as amended by
8 U.S.C. 1362 and 8 CFR part 292.
Purpose(s):
The records are used by the Office of Appellate Counsel and
Regional and District Counsel offices of INS when appropriate
disciplinary action is necessary against non-agency attorneys and/or
representatives who engage in unethical activities or exhibit
unprofessional behavior. The records document the processing of these
disciplinary actions and are used in their prosecution.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. To State Bar Grievance Committees and local Attorney General
offices for disbarment or disciplinary proceedings.
B. To the news media and the public pursuant to 28 CFR 50.2
unless it is determined that release of the scientific information in
the context of a particular case would constitute an unwarranted
invasion of a personal privacy.
C. To a Member of Congress or staff acting on 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.
D. To the General Services Administration and the National
Archives and Records Administration (NARA) in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
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 necessarty to accomplish an agency function related
to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper files are stored in filing cabinets. Computer files are
stored in a data base on magnetic disks.
Retrievability:
These records are retrieved by the name of the individual who is
the subject of the disciplinary proceeding.
Safeguards:
Most 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 during non-duty office hours. Many
records are stored in cabinets or machines which are also locked
during non-duty office hours. Access to automated records is
controlled by passwords and name identification.
Retention and disposal:
The following INS proposal for retention and disposal is pending
approval by the NARA. Cases that result in a conviction are
maintained at the Regional Counsel's office having jurisdiction.
These records are destroyed when 25 years old. Cases that result in
acquittal are maintained at the Regional Office for three years and
then destroyed. Relevant records produced via electronic mail and
word processing systems will be generated and placed in the file
folder. Once the copy is made, the system copy can be deleted within
180 days.
System manager(s) and address:
The system manager is the Regional Counsel at the regional office
having jurisdiction over the litigation. (See the caption ``System
Locations.'')
Notification procedure:
Address inquiries to the Freedom of Information Act/Privacy Act
Officer (FOIA/PA) at the INS office where the record is maintained or
(if unknown) to the FOIA/PA Officer, INS, 425 I Street, NW,
Washington, DC 20536.
Record access procedures:
In all cases, requests for access to a record shall be in
writing. Written requests may be submitted by mail or in person at
any INS system location (See ``System Location''). If a request for
access is made by mail, the envelope and letter should be clearly
marked ``Privacy Access Request.'' To enable INS to identify an
individual's record, he or she must provide his or her full name and
a return address for transmitting the information.
Contesting record procedures:
Any individual desiring to contest or amend information must
direct his or her request to the system manager noted above. State
clearly what information is being contested; the reason for
contesting it; and the proposed amendment to the information.
Record source categories:
Law enforcement agencies, Federal and State courts, State bar
licensing agencies; State bar grievance agencies, inquiries and/or
complaints from witnesses or members of the general public.
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
Attorney General has exempted this system from subsections (c)(3),
(d), and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
These exemptions apply only to the extent that information in the
system is subject to exemption pursuant to 5 U.S.C. 552(j)(2) and
(k)(2). Rules have been promulgated in accordance with requirements
of 5 U.S.C. 553 (b), (c), and (e) and have been published in the
Federal Register as of this date and proposed as additions to Title
28, Code of Federal Regulations (28 CFR 16.99).
JUSTICE/INS-023
System name:
Law Enforcement Support Center Database.
System location:
Immigration and Naturalization Service (INS), Law Enforcement
Support Center (LESC), Eastern Regional Office Building, 70 Kimball
Avenue, South Burlington, Vermont 05403-6813.
Categories of individuals covered by the system:
Immigrants that have the status of legal permanent resident and/
or United States citizen and who are either the subject of an
investigation, or have been arrested, charged with and/or convicted
of criminal or civil offenses which could render them deportable or
excludable under the provisions of immigration and nationality laws.
Categories of records in the system:
The categories of records include: Biographic identifiers (e.g.
name, alien registration number, date and place of birth, social
security number, Federal Bureau of Investigation number);
investigatory and criminal history information; booking number;
passport number; correctional inmate identifiers and any other
information that would enable INS to gather additional evidence,
respond to law enforcement queries, and/or to determine the status
and/or deportability/excludability of an individual. In addition, the
system will include criminal alien inquiries and INS responses.
Authority for maintenance of the system:
(1) 8 U.S.C. 1103 and 1252; (2) 21 U.S.C. 802 and section 7343 of
the Anti-Drug Abuse Act of 1988, (Pub. L. 100-690); and (3) Section
504 of the Immigration Act of 1990 (Pub. L. 101-649).
Purpose(s):
The database will provide an efficient means to manage and
maintain investigatory information which has been collected from a
variety of external sources such as the law enforcement community,
and from internal sources (including other INS automated systems).
This database will allow authorized personnel to respond to specific
criminal alien inquiries from law enforcement agencies who wish to
determine the immigration status of the individual, and whether they
are under investigation and/or wanted by INS. In particular, it will
enable INS to comply with a requirement of the Anti-Drug Abuse Act of
1988, Pub. L. 100-690, that states the INS will maintain (on a 24-
hour basis) resources to identify individuals arrested as aggravated
felons. In addition, the system of records will permit INS to
facilitate the processing of individuals for deportation and
expulsion proceedings. Finally, it will enable INS to determine
whether previous law enforcement inquiries have been received
concerning alleged criminals and, through statistical or other
analyses, to evaluate the success of its enforcement efforts.
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 to the following:
A. To other Federal, State, local, or foreign government law
enforcement and regulatory agencies, including the Department of
Defense and all components thereof, the Department of State, the
Department of the Treasury, the Central Intelligence Agency, the
United States Coast Guard, INTERPOL and individuals and organizations
during the course of investigations in the processing of a matter, or
during a proceeding within the purview of the immigration and
nationality laws to elicit information required by INS to carry out
its functions and statutory mandates.
B. Where a record, either on its face or in conjunction with
other information, indicates a violation or potential violation of
law (whether civil, criminal or regulatory in nature), to the
appropriate agency (whether Federal, State, local or foreign),
charged with the responsibility of investigating or prosecuting such
violations, or charged with enforcing or implementing the statute,
rule, regulation or order issued pursuant thereto; or in any case to
Federal, State, local, or foreign agencies as otherwise needed to
perform their law enforcement responsibilities.
C. In a proceeding before a court or adjudicative body before
which INS or the Department of Justice (DOJ) 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 or DOJ to be
arguably relevant to the litigation. The DOJ, or any DOJ component or
subdivision thereof; any DOJ employee in his/her official capacity;
any DOJ employee in his/her individual capacity where the DOJ has
agreed to represent the employee; or the United States where INS or
the DOJ determines that the litigation is likely to affect it or any
of its subdivisions.
D. 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, or informal discovery proceedings.
E. 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.
F. To a Member of Congress, or staff acting on 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
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 necessarty to accomplish an agency function related
to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in electronic and hardcopy format.
Electronic records are stored on magnetic or optical media (i.e.,
computer hard drives, floppy disks, tapes and optical disks).
Hardcopy records (printouts) are stored in locked file cabinets.
Retrievability:
These records are retrieved by name, alien registration
number(s), date of birth, booking number(s), FBI criminal history
number(s), state criminal history number(s), social security number,
passport number, inmate number and/or other personal identifiers.
Safeguards:
These records are located in a secured government office.
Physical access to hardcopy records and computer terminals is limited
to INS employees who require access in the performance of their
official duties. The LESC application is further restricted through
the use of unique personal identification numbers and passwords.
Retention and disposal:
In accordance with General Records Schedule 20, Items 5 and 6,
Electronic Records.
System manager(s) and address:
Director, Law Enforcement Support Center, Eastern Regional
Office, Immigration and Naturalization Service, 70 Kimball Avenue,
Room 117, South Burlington, VT 05403.
Notification procedure:
Inquiries should be addressed to the system manager noted above
or to the FOIA/PA Officer at the same address.
Record access procedures:
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 must be in writing, and should be addressed to the System
Manager or the FOIA/PA Officer at the Eastern Regional office. Such
request may be submitted either by mail or in person. The envelope
and letter shall be clearly marked ``Privacy Access Request.'' To
identify a record, the record subject 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 his or her record.
He or she shall also provide a return address for transmitting the
records to be released.
Contesting record procedures:
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 FOIA/PA
officer at the Eastern Regional office as indicated under ``Records
Access Procedures.'' 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:
Federal, State and local criminal justice agencies (e.g.,
prosecutors, correctional institutions, police departments and
inspectors general).
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).
JUSTICE/INS-024
System name:
FD-258 Fingerprint Tracking System.
System location:
Immigration and Naturalization Service (INS) Headquarters,
Regional Service Centers, District Offices and sub-offices as
detailed in Justice/INS-999, last published in the Federal Register
on April 13, 1999 (64 FR 18052). In addition, this system can be
accessed from the three INS Regional offices and the Application
Support Centers.
Categories of individuals covered by the system:
Individuals who have filed application or petitions for benefits
under the Immigration and Nationality Act, as amended and are
required to submit fingerprints in order for a criminal background
check to be conducted by the Federal Bureau of Investigation (FBI),
and who have submitted fingerprints to or have had their fingerprints
taken by INS.
Categories of records in the system:
Information that identifies individuals named above, e.g., name,
date of birth, and alien registration number. Records in the system
also include such information as date fingerprints were sent to the
FBI for processing, the date a response was received from the FBI by
INS, electronic rap sheet, and a unique control number. The response
from the FBI that is included in the system of records includes such
information as whether the individual has an arrest record, the
charges on which the individual was arrested, whether the individual
was convicted, and what the sentence or fine was. The unique seven
digit control number is generated by the system and is used in the
adjudication process to document that an applicant has a valid FBI
response.
Authority for maintenance of the system:
8 U.S.C. 1103, 1154(b), 1158(d), 1159, 1229b, 1254a, 1255, and
1446.
Purpose(s):
This system enables INS to determine the status of pending
fingerprint submissions to the FBI and the results of the FBI check;
and to account for and control the receipt and processing of
fingerprints submitted to the FBI for a criminal background check.,
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. To any Federal agency, where appropriate, to enable such
agency to make determinations regarding the submission to and
response received from the FBI pertaining to an immigration benefit
applicant's fingerprints in accordance with that agency's statutory
responsibilities. A Federal Agency may request this information from
the INS to assist in an investigation.
B. In a proceeding before a court or adjudicative body before
which INS or the Department of Justice (DOJ) 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 or DOJ to be
arguably relevant to the litigation: (1) The DOJ, or any DOJ
component or subdivision thereof; (2) any DOJ employee in his or her
official capacity; (3) any DOJ employee in his or her individual
capacity when the DOJ has agreed to represent the employee or has
authorized a private attorney to represent him or her; and (4) the
United States, where INS or the DOJ determines that the litigation is
likely to affect it or any of its subdivisions.
C. To an attorney or representative (as defined in 8 CFR 1.1(j))
who is acting on behalf of an individual covered by this system of
records in connection with any proceeding before INS or the Executive
Office for Immigration Review.
D. 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.
E. 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.
F. 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
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 necessarty to accomplish an agency function related
to this system of records.
Policies and practices for storing, retrieving, accessing
retaining, and disposing of records in the system:
Storage:
Information is stored on magnetic disks and tape.
Retrievability:
Records may be retrieved by the name or alien registration
number.
Safeguards:
Most INS offices are located in buildings under security guard,
and access to premises is by official identification. Offices are
locked during non-duty hours. Access to this system is obtained
through remote terminals which require the use of restricted
passwords and a user ID.
Retention and disposal:
Records are archived and stored in the database for 10 years
after adjudication of a benefits-seeking application and then
deleted. The information contained on tapes is downloaded into the
tracking system. The tapes are erased every three months and used to
transmit and/or receive data from unrelated cases.
System manager(s) and address:
Associate Commissioner, Field Operations, Immigration Services
Division, Immigration and Naturalization Service, 801 I Street NW,
Washington, DC 20536.
Notification procedure:
Inquiries should be addressed to the system manager.
Record access procedure:
Requests for access to a record from this system shall be in
writing. If a request for access is made by mail the envelope and
letter shall be clearly marked ``Privacy Act 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 103.2(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:
Direct all requests to contest or amend information to the FOIA/
PA Officer at any INS office. State clearly and concisely the
information being contested, the reason for contesting it, and the
proposed amendment thereof. Clearly mark the envelope ``Privacy Act
Amendment Request.'' The record must be identified in the same manner
as described for making a request for access.
Record source categories:
Information contained in this system of records is obtained from
the individuals covered by the system and from the FBI.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-025
System name:
Worksite Enforcement Activity Record and Index (LYNX).
System location:
Immigration and Naturalization Service (INS) Headquarters,
Regional, district, and sub-offices as detailed in Justice/INS-999,
last published April 13, 1999 (64 FR 18052). Currently, only the
district and sub-offices maintain the hard copy case files for this
system. Automated indices are maintained at INS Headquarters,
regional and district offices, and sub-offices.
Categories of individuals covered by the system:
The records maintained in this system of records concern the
following:
(a) Individuals who are or have been the subject of inquiries or
investigations conducted by the INS related to the enforcement of the
employment control provisions of the Immigration and Nationality Act
(INA) and related criminal statutes. The records primarily involve
those individuals who are being investigated or have been
investigated to determine whether their employment-related activities
(e.g., hiring, recruiting, and/or referring for a fee) are in
violation of the employment control provisions of the INA and/or
related criminal statutes. These records also include individuals who
employ others in their individual capacity whether related to a
business activity or not; (b) individuals who are witnesses,
complainants, and parties who have been identified by the INS or by
other government agencies or parties to an investigation related to
worksite enforcement activities; and (c) individuals who have
submitted completed Form I-9 (Employment Eligibility Verification
Form) and other documentation to establish identity and work
eligibility/authorization under the employment control provisions of
the INA. In addition, the system will include information necessary
to verify the information attested to on I-9 forms.
Categories of records in the system:
Information relating to investigative actions including: letters;
memoranda; reports of investigations with related exhibits,
statements, affidavits, or records obtained during investigations
(i.e., including employment verification records); prior criminal or
non-criminal records of individuals as they relate to the
investigations; reports to or from other law enforcement bodies;
information obtained from informants; information on the nature of
allegations made against suspects and identifying data concerning
such suspects; and related documents.
Authority for maintenance of the system:
Secs. 103, 274, 274a, 287 and 290 of the Immigration and
Nationality Act (INA), as amended (8 U.S.C. 1103, 1324, 1324a, 1357
and 1360), and regulations pursuant thereto.
Purpose(s):
The purpose of the system(s) is to enable the INS to meet its
obligations and responsibilities in administering and enforcing the
employment control provisions of the INA and related criminal
statutes. Records in this system are used in the course of INS
investigations of entities or individuals (e.g., employers,
employees, independent contractors, sub-contractors) suspected of
having committee illegal acts and in the course of conducting related
civil proceedings, criminal prosecutions, or administrative actions.
The records are also used to facilitate INS' inspection authority to
monitor and evaluate the information contained on all I-9 forms under
inspection, regardless of whether suspicion of wrongdoing exists on
the part of the person who executed the Form I-9. Finally, records
are also maintained for statistical purposes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. 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.
B. 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.
C. To the General Services Administration (GSA) and National
Archives and Records Administration (NARA) in records management
[[Page 48891]]
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
D. 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.
E. 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 requesting agency, whether Federal, State, local,
foreign, international, or tribal charged with the responsibility of
investigating or prosecuting such contract or grant.
F. To either a Federal, State, local, foreign, international, or
tribal agency, and individual, or an organization, when necessary to
elicit information which may assist an INS investigation, inspection
or audit.
G. To an administrative forum or other adjudicatory or regulatory
requesting agencies, when necessary for such a body to adjudicate
decisions affecting individuals that are subject to investigations
covered by this system.
H. In a proceeding before a court or adjudicative body before
which INS or the Department of Justice (DOJ) is authorized to appear
when any of the following is a party to the litigation or has an
interest in the litigation and such records are determined by INS or
DOJ to be relevant to the litigation: (1) The DOJ, or any DOJ
component, or any subdivision thereof; (2) and DOJ employee in his or
her official capacity; (3) any DOJ employee in his or her individual
capacity where the DOJ has agreed to represent the employee; (4) the
United States, where INS or the DOJ determines that the litigation is
likely to affect it or any of its subdivisions.
I. To an attorney or representative (as defined in CFR 1.1(j))
who is acting on behalf of an individual covered by this system of
records in connection with any proceeding before the INS or the
Executive Office for Immigration Review.
J. 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.
K. Pursuant to subsection (b)(3) of the Privacy Act, 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper records are stored in lockable file cabinets. Those records
which can be accessed electronically are stored on magnetic disk and
tape.
Retrievability:
Records may be retrieved by name and/or case number.
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 looked outside of normal office hours.
Many records are stored in cabinets 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 concerning fines and/or prosecutions are retained for up
to 25 years after the case is closed and then destroyed.
Administrative cases involving compliance and warning notices are
retained for up to seven years and then destroyed. Lastly, records
involving a verification of information only are retained for up to
three years and then are destroyed. This additional retention
disposition is pending approval by NARA.
System manager(s) and address:
The system manager is the Executive Associate Commissioner for
Policy and Planning, Immigration and Naturalization Service, 425 I
Street NW, Washington, DC 20536.
Notification procedure:
Portions of this system are exempted from this requirement under
5 U.S.C. 552a(k)(2). Inquires should be addressed to the system
manager listed above or to the FOIA/PA Officer at the INS office
where the record is located.
Record access procedures:
Requests for access to a record from this system shall be in
writing. If a request for access is made by mail 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 103.2(b)), and any other identifying information that 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:
Any individual desiring to contest or amend information
maintained in this record should direct his or her request to 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 clearly and concisely state the information being contested,
the reason(s) for contesting it, and the proposed amendment thereof.
Clearly, mark the envelope ``Privacy Act Amendment Request.''
Record source categories:
Official reports of investigations; subjects of the
investigations; individuals with whom the subject are associated;
witnesses; officials of Federal, State, local and foreign law
enforcement agencies; private citizens; and informants.
Systems exempted from certain provisions of the act:
The Attorney General has exempted portions of 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 Attorney General has exempted portions of this system from
subsections (c)(3), (d), and (e)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). These exemptions apply only to the extent that
information in the system is subject to exemption pursuant to 5
U.S.C. 552a(j)(2) and (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 as of this date in the Federal Register and
proposed as additions to Title 28, Code of Federal Regulations (28
CFR 16.99).
JUSTICE/INS-026
System name:
Hiring Tracking System (HITS).
System location:
Headquarters, Regional and field offices, and other INS offices
of the Immigration and Naturalization Service (INS) in the United
States as detailed in JUSTICE/INS-999.
Categories of individuals covered by the system:
Individuals seeking employment and/or movement to a different,
vacant position within the INS.
Categories of records in the system:
The system contains vacant and filled position data from the
Position Tracking System (POSTS) such as the position number,
Administrative Center location, budget location, region, program
code, project code, position category code, position title,
occupational series, officer/support indicator, target grade, and pay
plan. It also contains selectee specific data such as the selectee's
name, social security number, and dates for the achievement of pre-
employment processing milestones (e.g. date request to recruit
received in Human Resources Office, dates announcement opens and
closes, date of selection, and date scheduled for entrance on duty,
etc.).
Authority for maintenance of the system:
Authority for maintenance of the system includes the following
with any revisions or amendments: 5 U.S.C. 1302, 3301, 3302, 3304,
3305, 3306, 3307, 3309, 3313, 3317, 3318, 3319, 3326, 4103, 4723,
5532, 5533, and Executive Order 9397.
Purpose(s):
The purpose of the system is to provide a tool for monitoring
INS' efforts to fill vacant positions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. 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.
B. To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff request the information on behalf of
and at the request of the individual who is the subject of the
record.
C. 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
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 necessarty to accomplish an agency function related
to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Those records, which can be accessed electronically, are stored
in a database on magnetic disk and tape. Paper records are stored in
file folders and safes.
Retrievability:
Records are indexed and retrievable by name, social security
number, position number, and SF-52 number. (Data is also retrieved by
employee, position, and recruitment specific information.)
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 located 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 are maintained in accordance with the General Records
Schedule (GRS) 1: 1/a, 4/a, 16, 36/b/e, and 43.
System manager(s) and address:
Chief, Automation and Progress Evaluation, Human Resources
Development, Immigration and Naturalization Service, 800 K Street NW,
Suite 5000, Washington, DC 20536.
Notification procedure:
Inquires should be addressed to the system manager.
Record access procedures:
Requests by the public for access to a record from this system
shall be in writing. If a request for access is made by mail the
envelope and letter shall be clearly marked ``Privacy Act 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 103.2(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:
Any individual desiring to contest or amend information
maintained in this record should direct his or her request to the INS
Personnel office where the record is maintained or, if unknown, to
the INS FOIA/PA Office 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:
Basic information contained in this system is supplied from the
POSTS and basic recruitment information from Form SF-52. Other
information comes from sworn statements, and official reports.
System exempted from certain provisions of the act:
None.
JUSTICE/INS-030
System name:
Job Swap/Job Exchange System (JOBX).
System location:
Immigration and Naturalization Service (INS) Headquarters,
Regional and District Offices, and sub-offices as detailed in
JUSTICE/INS-999.
Categories of individuals covered by the system:
Individuals covered by the system would include all permanent INS
employees interested in applying to transfer to an identical position
at another location.
Categories of records in the system:
Records in this system of records contain personal data including
social security number, name, Service Computation Date-leave,
performance appraisal rating and date, home and work addresses, home
and work telephone numbers, title, series, and grade, and personal
resume information voluntarily submitted by the employee.
Authority for maintenance of the system:
5 CFR 335.102(a).
Purpose(s):
The records in this system are part of a Merit Promotion and
Reassignment Program and consist of potential
[[Page 13967]]
selectees for positions covered by the program. Records are
maintained to allow selecting officials to make valid selections, as
well as to provide a record of applicant requests for consideration.
Also, records in the system are maintained as a means to track the
transfers allowed in the JOBX program. The JOBX program supports the
Job Swap program by facilitating the non-competitive swap of
employees between two duty stations, provided they have the same
title, series, and grade. The Job Swap Program allows employees of
encumbered positions to apply for and receive changes in geological
locations without waiting for vacancies to occur or new positions to
be established.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. To the Office of Personnel Management to enable the agency to
make determination as required by 5 CFR 335.103.
B. In a proceeding before a court or adjudicative body before
which INS or the Department of Justice (DOJ) 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 or DOJ to be
arguably relevant to the litigation: (1) The DOJ, or any DOJ
component or subdivision thereof; (2) any DOJ employee in his or her
official capacity; (3) any DOJ employee in his or her individual
capacity when the DOJ has agreed to represent the employee; and (4)
the United States where INS or the DOJ determines that the litigation
is likely to affect it or any of its subdivisions.
C. To the Merit Systems Protection Board or the Office of the
Special Counsel in connection with appeals, special studies of the
civil service and other merit systems, review of office rules and
regulations, investigations of alleged or possible prohibited
personnel practices, and such other functions, e.g., as prescribed in
5 U.S.C. Chapter 12, or as may be authorized by law.
D. To the Equal Employment Opportunity Commission, when
requested, in connection with investigations into alleged or possible
discrimination practices in the Federal sector, examination of
Federal affirmative employment programs, compliance by Federal
agencies with the Uniform Guidelines or Employee Selection
Procedures, or other functions vested in the Commission.
E. 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.
F. 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.
G. To the Federal Labor Relations Authority or its General
Counsel when requested in connection with investigations of
allegations of unfair labor practices or matters before the Federal
Service Impasses Panel.
H. 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.
I. To disclose information to an arbitrator to resolve disputes
under a negotiated grievance procedure or to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation.
J. To the Union when required by contract as part of the
processing of a grievance and/or to an arbitrator in the arbitration
of a grievance.
K. Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is stored on computer tapes, magnetic disks, and in
file cabinets.
Retrievability:
Records may be retrieved by name, Social Security Number (SSN),
or unique JOBX number.
Safeguards:
Most INS offices are located in buildings under security guard,
and access to premises is by official identification. Offices are
locked during non-duty hours. Access to this system is obtained
through remote terminals that require the use of restricted passwords
and a user ID. Paper records will be maintained in locked file
cabinets. The JOBX server will be maintained in a secure computer
facility.
Retention and disposal:
Records are retained in accordance with General Records Schedule
1, items 4, 15, 23(a), and 33b.
System manager(s) and address:
Director, National Hiring Center, Room 400, Whipple Federal
Building, One Federal Drive, Fort Snelling, MN 55111.
Notification procedure:
Inquiries should be addressed to the system manager.
Record access procedure:
Requests for access to a record from this system shall be in
writing (e.g., cc: Mail can also be used internally). If a request
for access is made by mail the envelope and letter shall be clearly
marked ``Privacy Act Request.'' The requester shall also provide a
return address for transmitting the records to be released. The
requester shall include his or her full name and SSN. An applicant
can access his or her own record by logging onto the system using his
or her own SSN and password. This brings the applicant to the main
menu screen. The applicant can select, ``View Application.'' The form
is printable. The applicant can also move among the screens.
Authorized selecting officials and coordinators can access records
within their own budget location code; and system administrators can
access all records in the system.
Contesting record procedure:
Direct all requests to contest or amend information to the system
manager noted above. State clearly and concisely the information
being contested, the reason for or contesting it, and the proposed
amendment thereof. Depending on the information, the coordinator or
administrator will be able to make the correction. If the inaccurate
information is from the National Finance Center records, the
applicant should contact his or her servicing administrative center
and report the erroneous information. Clearly mark the envelope
``Privacy Act Amendment Request.'' The record must be identified in
the same manner as described for making a request for access.
Record source categories:
Information contained in this system or records is obtained from
the individuals covered by the system, or
[[Page 13968]]
derived from information the individual supplied and from the
National Finance Center database.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-032
System name:
National Automated Immigration Lookout System (NAILS).
System location:
Headquarters, Regional and District offices, Administrative
Centers, Service centers, ports of entry and other file control
offices of the Immigration and Naturalization Service (INS) in the
United States as detailed in JUSTICE/INS-999.
Categories of individuals covered by the system:
Violators or suspected violators of the criminal or civil
provisions of statutes enforced by INS, other federal law enforcement
agencies, and persons whom INS has reason to believe are not entitled
to be admitted into the United States.
Categories of records in the system:
This system contains names and reference data on violators,
alleged violators, and suspected violators of the criminal or civil
provisions of the statutes enforced by INS, and other Federal law
enforcement agencies. The system also maintains the name and
reference data on persons not entitled to be admitted into the United
States. The system also interfaces with other INS data systems. They
are the Deportable Alien Control System (DACS--system notice JUSTICE/
INS-012) lookout records from the Detention and Deportation Branch;
records from the Alien Documentation, Identification and
Telecommunication (ADIT); Lost/Stolen/Recovered Alien Registration
Cards from the Computer Linked Applications Information Management
System (CLAIMS--system notice JUSTICE/INS-013); the Non-Immigrant
Information System (NIIS) entry and departure information for non-
immigrant aliens under the Visa Waiver Pilot Program (VWPP) that are
confirmed overstays and refusals; lookout records from the Consular
Lookout and Support System (CLASS) and the TIPOFF database (suspected
terrorist database) from the United States Department of State; and
the Interagency Border Inspection System (IBIS) which supports
systems of different border inspection agencies.
Authority for maintenance of the system:
8 U.S.C. 1185.
Purpose(s):
The purpose of the system is to facilitate the inspection and
investigation processes by providing quick and easy retrieval of
biographical or case data on individuals who may be inadmissible to
the United States, or may be of interest to other Federal agencies.
Routine uses of records maintained in the system, including
categories of users and the Purpose of Such Uses:
Relevant information contained in this system of records may be
disclosed as follows:
A. To other Federal, State, local government, and international
law enforcement and regulatory agencies, foreign governments, the
Department of Defense, including all components thereof, the
Department of State, the Department of the Treasury, the Central
Intelligence Agency, the Selective Service System, the United States
Coast Guard, the United Nations, INTERPOL, and individuals and
organizations during the course of investigations in the processing
of a matter or a proceeding within the purview of the immigration and
nationally laws, to elicit information required by the Service to
carry out its functions and statutory mandates.
B. To a Federal, State, local or foreign government agency or
organization, or international organization, lawfully engaged in
collecting law enforcement intelligence information, whether civil or
criminal, and/or charged with investigating, prosecuting, enforcing
or implementing civil and/or criminal laws, related rules,
regulations or orders, to enable these entities to carry out their
law enforcement responsibilities, including the collection of law
enforcement intelligence.
C. To the appropriate agency/organization/task force, regardless
of whether it is Federal, State, local, foreign, or tribal, charged
with the enforcement (e.g., investigation and prosecution) of a law
(criminal or civil), regulation, or treaty, of any record contained
in this system of records which indicates either on its face, or in
conjunction with other information, a violation or potential
violation of that law, regulation, or treaty.
D. To an attorney or representative who is acting on behalf of an
individual covered by this system of records as defined in 8 CFR
1.1(j) in conjunction with any proceeding before the Immigration and
Naturalization Service or the Executive Office for Immigration
Review.
E. 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.
F. 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.
G. To General Service Administration (GSA) and National Archives
and Records Administration (NARA) in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
H. 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.
I. Pursuant to subsection (b)(3) of the Privacy Act, 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.
J. In a proceeding before a court or adjudicative body before
which INS or the Department of Justice (DOJ) is authorized to appear
when any of the following is a party to the litigation or has an
interest in the litigation and such records are determined by INS or
DOJ to be arguably relevant to the litigation: (1) DOJ, or any DOJ
component, or subdivision thereof; (2) any DOJ employee in his or her
official capacity; (3) any DOJ employee in his or her individual
capacity when the DOJ has agreed to represent the employee or has
authorized a private attorney to represent him or her; and (4) the
United States, where INS or the DOJ determines that the litigation is
likely to affect 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 on computer processable storage media, and
paper records generated from the computer are stored in lockable file
cabinets.
Retrievability:
Records are retrieved by name and other identifying information
as available, of the person, normally at the time the person is
seeking admission to the United States.
Safeguards:
The NAILS database is a mainframe-based integrated data
management system used as the INS lookout database that contains
records on individuals who are either not entitled to be admitted to
the United States, or who are to be admitted but with notification of
their entry to the appropriate agency. Authorized access requires use
of a password which is restricted to persons having a need to access
NAILS in the performance of their official duties. Paper records
generated by NAILS are stored in spaces that are locked outside of
normal office hours. Many records are stored in cabinets or machines
that are locked outside normal office hours. Most INS offices are
located in buildings under security guard, and access to premises is
by official identification.
Retention and disposal:
The following INS proposal for retention and disposal is pending
approval by NARA: Each record is deleted automatically from the
system when it reaches its established expiration data. (NOTE: The
officer who creates a lookout record establishes the expiration date
of the record that may vary from one day to 100 years.) Electronic
Mail and Word Processing System copies that have no further
administrative value after the recordkeeping copy is made, will be
destroyed/deleted within 180 days after the recordkeeping copy has
been produced. Those copies used for dissemination, revision, or
updating that are maintained in addition to the recordkeeping copy
are destroyed/deleted when disseminations, revision, or updating is
completed.
System manager(s) and address:
Associate Commissioner, Programs, Immigration and Naturalization
Service, 425 I Street NW, Washington, DC 20536.
Notification procedure:
Inquiries should be addressed either to: (1) The system manager
noted above; (2) to the FOIA/PA Officer at the INS office where the
record is maintained; and (3) the Headquarters FOIA/PA Office at 425
I Street, NW, Second Floor, Union Labor Life Building, Washington, DC
20526.
Record access procedure:
Requests for access to records in this system shall be in writing
and should be addressed to the System Manager noted above or to the
appropriate FOIA/PA Officer as indicated in System Locations.
Requests sent directly to the System Manager should be submitted by
mail. Requests to the FOIA/PA Officer may be submitted either my mail
or in person. If a request for access is made by mail, the envelope
and letter shall be clearly marked Privacy Access Request. Include a
description of the general subject matter and if known, the related
file number. To identify a record, 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:
An individual desiring to request amendment of records maintained
in this system of records should direct his or her request to the
System Manager or to the appropriate FOIA/PA Officer noted in System
Locations. The request should state the information being contested,
the reason(s) for contesting it, and the proposed amendment thereof.
Persons filing such requests should make the envelope with the
following legend ``Privacy Act Amendment Request.''
Record source categories:
Basic information contained in this index is gathered from INS
inspections, adjudications, reports of investigation, sworn
statements, correspondence and memoranda, official reports,
memoranda, and written and electronic referrals from other government
agencies, including Federal, State, and local, information from
foreign government agencies and international organizations.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G) and (H), (e)(5)
and (8), and (g), of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2).
In addition, the Attorney General has exempted this system from
subsections (c)(3), (d) and (e)(1), (e)(4)(G) and (H) of the Privacy
Act pursuant to 5 U.S.C. 552a(k)(2). The exemptions apply only to the
extent that records in the system are subject to exemptions pursuant
to 5 U.S.C. 552a (j)(2) and (k)(2). INS has published proposed
implementing regulations in accordance with the requirements of 5
U.S.C. 553(b), (c), and (e) and these are published in today's
Federal Register.
JUSTICE/INS-033
System name:
I--551 Renewal Program Temporary Sticker Issuance I-90 Manifest
System (SIIMS).
System location:
Immigration and Naturalization Service (INS) Headquarters,
Service Centers, District Offices, sub-offices, and Ports of Entry,
as detailed in JUSTICE/INS-999.
Categories of individuals covered by the system:
Individuals who are: covered by provisions of the Immigration and
Nationality Act of the United States; have been lawfully admitted
permanent residents for at least ten years; and are in possession of
an expiring or expired Form I-551 (Permanent Resident Card,
previously known as the Alien Registration Card), and have properly
filed a Form I-90 (Application to Replace Alien Registration Card),
with appropriate fee, for renewal of this expiring/expired I-551, at
the District or sub-office.
Categories of records in the system:
Records from this system are in automated and paper form. The
records identify the sticker number applied to the back of the I-551
after an I-90 application and fee has been accepted. The system also
includes the alien number and name of the applicant; the type and
amount of fee remittance accepted; the location where the application
was accepted; the date of the application; and the identification of
the individual issuing the sticker.
Authority for maintenance of the system:
8 U.S.C. 1103, 1154, 1304, 1305, and 1360.
Purpose(s):
The system enables INS to track the issuance of the stickers, and
provides for accountability and control of specific sticker issuance.
In some instances, field inquiries of the system also will enable INS
to determine if a particular sticker was properly issued and/or is a
legitimate issuance.
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 Federal, State, tribal, and local government law
enforcement and regulatory agencies, foreign governments, and
individuals and organizations during the course of investigation in
the processing of a matter, or a proceeding within the purview of the
immigration and nationality laws, to elicit information required by
INS to carry out its functions and statutory mandates.
B. To a Federal, State, tribal, local or foreign government
agency or organization, or international organization, lawfully
engaged in collecting law enforcement intelligence information,
whether civil or criminal, and/or charged with investigating,
prosecuting, enforcing or implementing civil and/or criminal laws,
related rules, regulations or orders, to enable these entities to
carry out their law enforcement responsibilities, including the
collection of law enforcement intelligence.
C. To either a party or the tribunal in a proceeding before a
court or other adjudicative body before which INS or the Department
of Justice (DOJ) 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, or DOJ, to be relevant to the
litigation: (1) The DOJ, or any DOJ component, or any subdivision
thereof; (2) any DOJ employee in his or her official capacity; (3)
any DOJ employee in his or her individual capacity where the DOJ has
agreed to represent the employee or has authorized a private attorney
to represent him or her; and (4) the United States, where the INS or
the DOJ determines that the litigation is likely to affect it or any
of its subdivisions.
D. To a Federal, State, local or foreign government agency in
response to its request, in connection with the hiring or retention
by such agency of an employee, the issuance of a security clearance,
the reporting of an investigation of such an employee, the letting of
a contract, or the issuance of a license, grant, loan 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.
E. To a Federal, State, local, tribal, or foreign government
agency maintaining civil, criminal or other relevant enforcement
information or other pertinent information, such as current licenses,
if necessary to obtain information relevant to a decision of INS
concerning the hiring or retention of an employee, the issuance of a
security clearance, the reporting of an investigation of an employee,
the letting of a contract, or the issuance of a license, grant or
other benefit.
F. 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.
G. To a Member of Congress or staff acting on 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.
H. To the General Services Administration and the National
Archives and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
I. To an attorney or representative acting on behalf an
individual covered by this system of records in connection with any
proceeding before the INS or the Executive Office for Immigration
Review.
J. 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.
K. Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information will be stored on magnetic disks and/or tape in INS
Headquarters. Paper records will be stored in INS offices, file
drawers, and/or filing cabinets.
Retrievability:
Information will be retrievable by sticker number. Other specific
information reports may be generated for quality control and
verification
[[Page 6675]]
purposes. The reports can be retrieved by date, location, issuing
agent, and/or alien number.
Safeguards:
Most INS offices are located in buildings under security guard,
with access limited to INS and other Federal Government employees and
authorized visitors. All records are stored in spaces which are
locked during non-duty office hours. Many records are stored in
cabinets or machines which are also locked during non-duty office
hours. Access to automated records is controlled by passwords and
name identifications.
Retention and disposal:
The sticker issuance data in the electronic tracking system is
maintained for three years and then destroyed. The sticker issuance
in manifest form is downloaded from the electronic system and
maintained in case of inquiries. It is maintained for three years and
then destroyed. The Form I-90 applications are mailed to the Service
Centers where they are placed in application receipt files,
maintained for ten years, and then destroyed. If a Form I-90
application is denied, it is placed in the alien file. NOTE: Alien
files and the Central Index System (CIS) contain all relevant
information pertaining to the permanent resident status of the
applicant and are maintained for 75 years.
System manager(s) and address:
Associate Commissioner, Field Services Operation, Immigration
Services Division, Immigration and Naturalization Service, 801 I
Street NW, Room 900, Washington, DC 20536.
Notification procedure:
Any inquiries regarding specific sticker issuance information
contained in this system should be addressed in writing to the System
Manager listed above or to the Freedom of Information Act/Privacy Act
(FOIA/PA) officer where the record is located (See System Location).
Record access procedure:
Requests for access to a record from this system shall be in
writing. Clearly mark the envelope and letter ``Privacy Act
Request.'' The requester shall provide his or her full name, the
sticker issuance number, the general nature of the inquiry, and if
possible the date that the application was filed at the INS office
and the location of the INS office where the application was
accepted. The requester also shall provide date and place of birth,
verification of identity [in accordance with 8 CFR 103.21(b) or a
sworn statement under penalty of perjury], his or her notarized
signature, and any other information that may assist in identifying
and locating the record. The requester also should provide a return
address for transmitting the record(s) to be released.
Contesting record procedures:
Direct all requests to contest or amend information to the System
Manager or FOIA/PA officer as indicated above. State clearly and
concisely the information being contested, the reason for contesting
it, and the proposed amendment thereof. Clearly mark the envelope
``Privacy Act Amendment Request.'' The record must be identified in
the same manner as described for making a request for record access
(see above). To facilitate the expeditious handling of the amendment
request, include a copy of the response received to the Privacy Act
Request.
Record source categories:
Information contained in this system of records is obtained from
the applicant during the issuance of an I-551 extension after an
applicant has filed an I-90 to renew and expiring/expired I-551 in
his or her possession.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-999
System name:
INS Appendix: List of principal offices of the Immigration and
Naturalization Service.
Headquarters: Immigration and Naturalization Service; 425 ``I''
Street NW, Washington, DC 20536.
Regional Offices: Eastern Regional Office, 70 Kimball Avenue,
South Burlington, VT 05403-6813.
Centeral Regional Office, 7701 North Stemmons Freeway, Dallas, TX
75247-9998.
Western Regional Office, PO Box 30080, Laguna Niguel, CA 92607-
0080.
Regional Service Centers: Eastern Service Center, 75 Lower Welden
Street, St. Albans, VT 05479-001.
Northern Service Center, PO Box 82521, Lincoln, NE 6850-2521.
Southern Service Center, PO Box 851488, Mesquite, TX 75185-1488.
Western Service Center, 24000 Avila Road, 2nd Floor, Laguna
Niguel, CA 92677.
Administrative Center: Eastern Administrative Center, 70 Kimball
Avenue, South Burlington, VT 05403-6813.
Southern Administrative Center, 7701 North Stemmons Freeway,
Dallas, TX 75247.
Northern Administrative Center, Bishop Henry Whipple Fed. Bldg.,
Room 480, One Federal Drive, Fort Snelling, MN 55111-4007.
Western Administrative Center, 24000 Avila Road, Laguna Niguel,
CA 92677-8080.
District Office in the United States:
Anchorage District Office, Michaelis Building, Suite 102, 621
East 10th Avenue, Anchorage, AK 99501-3708.
Atlanta District Office, 77 Forsyth Street, SW, Room 284,
Atlanta, GA 30303.
Baltimore District Office, Equitable Bank Center, 12th Floor,
Tower One, 100 South Charles Street, Baltimore, MD 21211.
Boston District Office, JFK Federal Building, Government Center,
Boston, MA 02213.
Buffalo District Office, 130 Delaware Avenue, Buffalo, NY 14212.
Chicago District Office, 10 West Jackson Boulevard, Second Floor,
Chicago, IL 60604.
Cleveland District Office, Anthony J. Celebreze Federal Office
Building, 1240 East 9th Street, Room 1917, Cleveland, OH 44199.
Dallas District Office, 8101 North Stemmons Freeway, Dallas, TX
75247.
Denver District Office, 4730 Paris Street, Albrook Center,
Denver, CO 80239-2804.
Detroit District Office, Federal Building, 333 Mt. Elliott St.,
Detroit, MI 48217.
El Paso District Office, 1545 Hawkins Blvd., Suite 170, El Paso,
TX 79925.
Harlingen District Office, 2102 Teege Road, Harlingen, TX 78550.
Helena District Office, 2800 Skyway Drive, Helena, MT 59601.
Honolulu District Office, 595 Ala Moana Boulevard, Honolulu, HI
96813.
Houston District Office, 126 Northpoint, Houston, TX 77060.
Kansas District Office, 9747 N. Connant Avenue, Kansas City, MO
64153.
Los Angeles District Office, 300 North Los Angeles Street, Los
Angeles, CA 90012.
Miami District Office, 7880 Biscayne Boulevard, Miami, FL 33138.
Newark District Office, Federal Building, 970 Broad Street,
Newark, NJ 07102.
New Orleans District Office, Postal Services Bldg., Room T-8005,
701 Loyola Ave., New Orleans, LA 70113.
New York District Office, 26 Federal Plaza, New York, NY 10278.
Omaha District Office, 3736 South 132nd Street, Omaha, NE 68144.
Philadelphia District Office, 1600 Callowhill Street,
Philadelphia, PA 19130.
Phoenix District Office, 2135 North Central Avenue, Phoenix, AZ
85004.
Portland Maine District Office, 176 Gannett Drive, South
Portland, ME 04106-6909.
Portland Oregon District Office, Federal Office Building, 511
NW., Broadway, Portland, OR 97219.
San Antonio District Office, 8940 Four Winds, San Antonio, TX
78239.
San Diego District Office, 880 Front Street, Suite 2233, San
Diego, 92101-8834.
San Francisco District Office, 630 Sansome Street, Appraisers
Building, San Francisco, CA 94111.
San Juan District Office, PO Box 365068, San Juan, PR 00936-5068.
Seattle District Office, 815 Airport Way South, Seattle, WA
98134.
St. Paul District Office, 2901 Metro Drive, Suite 100,
Bloomington, MN 55425.
Washington, DC District Office, 4421 North Fairfax Drive,
Arlington, VA 22213.
Suboffices (Files Control Offices) in the United States:
Agana Office, Pacific News Building, Room 801, 238 Archbishop
Flores Street, Agana, GU 96910.
Albany Office, James T. Foley Federal Courthouse, 445 Broadway,
Room 221, Albany, NY 12217.
Charlotte Office, 6 Woodlawn Green, Suite 138, Charlotte, NC
28217.
Charlotte Amalie Office, Federal District Court Bldg., PO Box
610, Charlotte Amalie, St. Thomas, VI 00801.
Cincinnati Office, J.W. Peck Federal Building, 550 Main Street,
Room 8525, Cincinnati, OH 45212.
El Paso Intelligence Center, SSG Sims Street, Building 11339, EL
Paso, TX 79918-5100.
Hartford Office, Ribicoff Building, 450 Main Street, Hartford, CT
06103-3060.
Indianapolis Office, Gateway Plaza, 950 North Meridian, Suite
400, Indianapolis, IN 46214.
Las Vegas Office, 3373 Pepper Lane, Las Vegas, NV 89121-2739.
Memphis Office, 1341 Sycamore View, Memphis, TN 38134.
Milwaukee Office, Federal Building, Room 186, 517 East Wisconsin
Avenue, Milwaukee, WI 53212.
Norfolk Office, 5280 Henneman Drive, Norfolk, VA 23513.
Oakdale Office, PO Box 5095, Oakdale, LA 71464.
Pittsburgh Office, 314 Federal Building, 1000 Liberty Avenue,
Pittsburgh, PA 15222.
Providence Office, Federal Building U.S. Post Office Exchange
Terrace, Providence, RI 02903.
Reno Office, 1351 Corporate Blvd., Reno, NV 89502.
St. Albans Office, PO Box 328, St. Albans, VT 05478.
St. Louis Office, R.A. Young Federal Building, 1222 Spruce
Street, Room 1.100, St. Louis, MO 63101-2815.
Salt Lake City Office, 230 West 400 South Street, Salt Lake City,
UT 84101.
Spokane Office, U.S. Courthouse Building, Room 691, Spokane, WA
99211.
Border Patrol Sector Headquarters:
Blaine Sector Headquarters, 1590 ``H'' Street, PO Box 3529,
Blaine, WA 98231 Blaine, WA 98230.
Buffalo Sector Headquarters, 231 Grand Island Boulevard,
Tonawanda, NY 14150.
Del Rio Sector Headquarters, Qualia Drive, PO Box 2121, Del Rio,
TX 78841-2121.
Detroit Sector Headquarters, 26000 S. Street, Selfridge, MI
48045.
El Centro Sector Headquarters, 1111 North Imperial Avenue, El
Centro, CA 92243.
El Paso Sector Headquarters, 8901 Montana Avenue, El Paso, TX
79925-1212.
Grand Forks Sector Headquarters, 2321 South Washington Street,
Grand Forks, ND 58211.
Harve Sector Headquarters, 2605 5th Avenue, SE, Harve, MT 59501.
Houlton Sector Headquarters, PO Box 706, Rt. 1 Calais Rd.,
Houlton, ME 04730.
Laredo Sector Headquarters, 217 W. Del Mar Boulevard, Laredo, TX
78041.
Livermore Sector Headquarters, 6102 9th St., Dublin, CA 94268.
Marfa Sector Headquarters, PO Box ``I'', 300 Madrid Street,
Marfa, TX 79843.
Mayaguez Sector Headquarters, Box 467, Ramey, PR 00604.
McAllan Sector Headquarters, PO Box 1179, 2301 South Main Street,
McAllen, TX 78505.
Miami Sector Headquarters, PO Box 8909, 7211 Pembroke Rd.,
Pembroke Pines, FL 33023.
New Orleans Sector Headquarters, PO Box 6218, 3819 Patterson
Drive, New Orleans, LA 70114.
San Diego Sector Headquarters, 3752 Beyer Blvd, PO Box 439022,
San Diego, CA 92173.
Spokane Sector Headquarters, North 10710 Newport Highway, PO Box
18930, Spokane, WA 99218.
Swanton Sector Headquarters, Grand Avenue, Swanton, VT 05488.
Tucson Sector Headquarters, 1970 West Ajo Way, Tucson, AZ 85713.
Yuma Sector Headquarters, 350 First Street, PO Box 2708 Yuma, AZ
85366-2708.
Border Patrol Academy:
DOJ/INS (FLETC) Artesia, 1300 West Richey Avenue, Artesia, NM
88210.
Officer Development and Training Facility, Building 64 FLETC
Glynco, GA 31524.
District Offices in Foreign Countries:
Bangkok District Office, U.S. Immigration and Naturalization
Service, c/o American Embassy, Box 12, 95 Wireless Road, Bangkok,
Thailand 10330.
Mexico District Office, U.S. Immigration and Naturalization
Service, c/o American Embassy, Room 118, PO Box 3087, Laredo, TX
78044.
Rome District Office, U.S. Immigration and Naturalization
Service, c/o American Embassy, Rome, Italy, PSC59 Box 100 APO AE
09624.
Suboffices (Files Control Offices) in Foreign Countries:
Athens Office, U.S. Immigration and Naturalization Service, c/o
American Embassy, Athens, Greece, PSC 108 Box 25 APO AE 09842.
Frankfurt Office, U.S. Immigration and Naturalization Service,
American Consulate General, Frankfurt, Unit 25401 APO AE 09213.
Guadalajara Office, U.S. Immigration and Naturalization Service,
Box 3088, Guadalajara Laredo, TX 70844-3088.
Hong Kong Office, U.S. Immigration and Naturalization Service, c/
o American Consulate General, Hong Kong, PSC 464, Box 30, FPO AP
96522-0002.
London Office, U.S. Immigration and Naturalization Service, c/o
American Embassy, London, England, PSC 801, Box 06, FPO AE 09498-
4006.
Mexico Office, U.S. Immigration and Naturalization Service, c/o
American Embassy, Mexico City, Mexico, PO Box 3087, Room 118, Laredo,
TX 78044.
Monterrey Office, U.S. Immigration and Naturalization Service, c/
o American Consulate, PO Box 3098, Laredo, TX 78044-3098.
Moscow Office, U.S. Immigration and Naturalization Service, c/o
American Embassy, Moscow, USSR, PSC 77, APO AE 09721.
Nairobi Office, U.S. Immigration and Naturalization Service, c/o
American Embassy, Nairobi, Kenya Unit 64100, Box 21, APO AE 09831-
4100.
New Delhi Office, U.S. Immigration and Naturalization Service, c/
o American Embassy, New Delhi, India, Department of State,
Washington, DC 21521-9000.
Rome Office, U.S. Immigration and Naturalization Service, c/o
American Embassy, Rome, Italy, PSC 59 APO AE 09624.
Seoul, Korea Office, U.S. Immigration and Naturalization Service,
c/o American Embassy, Seoul, Korea Unit 15550, APO AP 96215-0001.
Shannon Office, U.S. Immigration and Naturalization Service, c/o
AER-RIANTA, Attn: Port Director, Shannon Airport, Shannon, Co, Clare,
Ireland.
Singapore Office, U.S. Immigration and Naturalization Service, c/
o American Embassy, Singapore, FPO AP 96534.
Tijuana Office, U.S. Immigration and Naturalization Service, c/o
American Consulate General, Tijuana, PO Box 439039, San Diego, CA
92143-9039.
Vienna Office, U.S. Immigration and Naturalization Service, c/o
American Embassy, Vienna, Austria Unit 27937, Box 21, APO AE 9222.
DEPARTMENT OF JUSTICE
INTERPOL-United States National Central Bureau
JUSTICE/INTERPOLol-001
System name:
The INTERPOL-United States National Central Bureau (USNCB)
Records System.
System location:
INTERPOL-U.S. National Central Bureau, Department of Justice,
Washington, DC 20530.
Categories of individuals covered by the system:
Criminal and non-criminal individuals who have been convicted or
are subjects of a criminal investigation with international aspects;
individuals who may be associated with stolen weapons, motor
vehicles, artifacts, or similar items involved in a crime; victims of
humanitarian or criminal investigations; witnesses or confidential
sources in a criminal investigation with international aspects
persons, and person who are unable to identify themselves; and
judicial or law enforcement personnel engaged in the performance of
official duties.
Categories of records in the system:
The program records of the INTERPOL-USNCB consist of criminal and
non-criminal case files. The files contain electronic data and hard
copy records of facsimiles, fingerprints, photographs, criminal
investigative reports, applicant checks, licenses and related data,
radio messages (international), log sheets, notices, bulletins or
posters, investigative notes, computer printouts, letters, memoranda,
and witness statements. These records relate to fugitives, victims,
witnesses, wanted persons, lookouts (temporary and permanent),
missing or abducted persons, persons who are unable to identify
themselves, and deceased persons. Information about individuals
includes names aliases, places and dates of birth, addresses,
physical descriptions, various identification numbers, reason for the
records or lookouts, and details and circumstances surrounding the
actual or suspected violations, humanitarian request or
administrative/operational matter.
Authority for maintenance of the system:
22 U.S.C. 263a.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The following access and disclosure for INTERPOL-USNCB records
are designated as routine except when such designation is a violation
or potential violation of law, rule or order issued pursuant thereto:
In the event a record(s) in this system of records constitutes a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute, or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records may be referred, as a routine
use to the appropriate law enforcement and criminal justice agencies
whether foreign, federal, state, local or tribal, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statutes, or rules,
regulations or orders issued pursuant thereto. A record may be
disclosed to foreign, federal, state, local or tribal agencies or
their bureaus or representatives maintaining civil, criminal or other
information when necessary to a decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license grant or other
benefit. A record may be disclosed to any of the above agencies in
response tot heir request in connection with the hiring or retention
of an employee to the extent that the information is deemed relevant
and necessary by the INTERPOL-USNCB. A record may be disclosed to
appropriate parties engaged in litigation or in preparation of
possible litigation, as well as to potential witnesses for the
purpose of securing their testimony when necessary before courts,
magistrates or administrative tribunals. A record may be disclosed to
individuals seeking information by using established discovery
procedures, whether in connection with civil, criminal, or regulatory
proceedings. A record may be disclosed to foreign governments in
accordance with formal or informal international agreements. Records
may be disclosed to the Treasury Enforcement Communications System
(TECS) (Treasury/CS 00.244) and to the Federal Bureau of
Investigation, National Criminal Information Center (NCIC); to the
International Criminal Police Organization (INTERPOL) General
Secretariat and National Central Bureaus in member countries; to the
INTERPOL Supervisory Board, an international board comprised of three
judges having oversight responsibilities
[[Page 39202]]
regarding the purpose and scope of personal information maintained in
the international archives of INTERPOL. In addition, records may be
disclosed to other third parties during the course of a criminal or
humanitarian investigation to the extent deemed necessary by the
INTERPOL-USNCB to facilitate an investigation and to translators of
foreign languages as necessary.
Records may be referred to any of the aforementioned individuals,
agencies, governments or organizations through various mediums or
means of communication, including but not limited to the Internet and
other law enforcement communication systems.
INTERPOL-USNCB records are accessed by contractors, grantees,
experts, consultants, interns, 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.
TECS, NCIC, and similar outside law enforcement records are accessed
only by the INTERPOL-USNCB staff members granted access by the
appropriate law enforcement agency.
Release of Information to the News Media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available by INTERPOL-
USNCB when it is determined that release of the specific information
in the context of a particular case would not constitute an
unwarranted invasion of personal privacy or violate INTERPOL-USNCB or
law enforcement regulations.
Release of Information to Members of Congress:
Information contained in systems of records maintained by
INTERPOL-USNCB, not otherwise prohibited from release pursuant to 5
U.S.C. 552, may be made available by the Chief or Deputy Chief,
INTERPOL-USNCB, to a Member of Congress or the Member's staff acting
upon the Member's behalf when the Member or staff requests the
information on behalf of and at the written request of the individual
who is the subject of the record, and when the release of the
information is authorized under INTERPOL-USNCB or law enforcement
regulations.
Release of Information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA):
A record from a system of records may be disclosed as a routine
use to NARA and GSA in records management inspections conducted under
the authority of 44 U.S.C. 2904 and 2906.
Release of Information to Former Employees:
Pursuant to subsection (b)(3) of the Privacy Act, 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 personal-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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is stored in file folders and in electronic word
files at the INTERPOL-USNCB and at the Washington Federal Records
Center. Certain limited data, e.g., that which concerns fugitives and
wanted, missing or abducted persons is stored in the Treasury
Enforcement Communications System (TECS) TREASURY/CS 00.244, a system
published by the U.S. Department of Treasury, and in the National
Criminal Information Center (NCIC) for a limited time period, or
until the person(s) is apprehended or located.
Retrievability:
Information is retrieved primarily by name, system identification
number, personal identification number, and by weapon serial number
or motor vehicle identification number.
Safeguards:
Information is safeguarded and protected in accordance with
Department rules and procedures governing the handling of
computerized information. Only those individuals specifically
authorized have access to the INTERPOL-USNCB records. Access to
INTERPOL-USNCB records is given only to those individuals who require
access to perform official duties. In addition, USNCB information
resides in the secured INTERPOL-USNCB offices which are staffed
twenty-four hours a day, seven days a week. Automated data is
password secured.
Retention and disposal:
The hard copy (paper record) will be retained on site at the
INTERPOL-USNCB for two years after closing. At the end of the two
years post closing, the hard copy will be transferred to the
Washington National Records Center for storage. The hard copy (paper
record) of the case file may be destroyed five years after transfer
to the Washington National Records Center, for a total of seven years
post closing, if there has been no case activity. These activities
are in accordance with the records retention schedule approved by the
Archivist of the United States. Information contained in electronic
case files will be stored on a compact disc for a period of seven
years post closure. The compact discs will be destroyed seven years
post closure if there has been no case activity. Automated
information will be flagged as an archived case and maintained on the
LAN server.
System manager(s) and address:
Chief, INTERPOL-United States National Central Bureau, Department
of Justice, Washington, DC 20530. Records Management Officer,
INTERPOL-United States National Central Bureau, Department of
Justice, Washington, DC 20530. Information Resources Manager,
INTERPOL-United States National Central Bureau, Department of
Justice, Washington, DC 20530.
Notification procedure:
Inquiries regarding whether the system contains a record
pertaining to an individual may be addressed to the Chief, INTERPOL-
United States National Central Bureau, Department of Justice,
Washington, DC 20530, or to the Freedom of Information Act (FOIA)
Specialist at the same location. To enable INTERPOL-USNCB personnel
to determine whether the system contains a record relating to him or
her, the requester must submit a written request identifying the
record system, identifying the category and type of records sought,
and providing the individual's full name and at least two items of
secondary information (date of birth, social security number,
employee identification number, or similar identifying information).
Record access procedures:
The Attorney General has exempted the INTERPOL-USNCB system from
the access, contest, and amendment provisions of the Privacy Act.
Some records may be available under the Freedom of Information Act.
Inquiries should be addressed to the FOIA/PA Officer, INTERPOL-United
States National Central Bureau, Department of Justice, Washington, DC
20530. The letter should be clearly marked ``Freedom of Information
Request'' and
[[Page 39203]]
a return address provided for transmitting any information to the
requester.
Contesing record procedures:
See ``Access procedures'' above.
Record source categories:
Sources of information contained in this system include
investigating reports of federal, state, local, and foreign law
enforcement agencies (including investigating reports from a system
of records published by Department of Treasury Enforcement
Communications System (TECS) TREASURY/CS 00.244 or the National Crime
Information Center (NCIC); other non-Department of Justice
investigative agencies; client agencies of the Department of Justice;
statements of witnesses and parties; and the work product of the
staff of the INTERPOL-USNCB working on particular cases. Although the
organization uses the name INTERPOL-USNCB for purposes of public
recognition, the INTERPOL-USNCB is not synonymous with the
International Criminal Police Organization (ICPO-INTERPOL), which is
a private, intergovernmental organization headquartered in Lyon,
France. The Department of Justice USNCB serves as the United States
liaison with the INTERPOL General Secretariat and works in
cooperation with the National Central Bureaus of other member
countries, but is not an agent, legal representative, nor
organization subunit of the International Criminal Police
Organization. The records maintained by the INTERPOL-USNCB are
separate and distinct from records maintained by INTERPOL and
INTERPOL-USNCB does not have custody of, access to, nor control over
the records of the International Criminal Police Organization.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e), (1), (2), and (3), (e)(4)(G) and (H),
(e)(5) and (8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2), and (k)(2) and (k)(5). Rules have been promulgated in
accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and
were published in the Federal Register on October 7, 1982 (47 FR
44255). See 28 CFR 16.103.
DEPARTMENT OF JUSTICE
Justice Management Division
JUSTICE/JMD-001
System name: Background Investigation Check-off Card.
System location:
U.S. Department of Justice, 633 Indiana Avenue, NW, Suite 402,
Washington, DC 20530.
Categories of individuals covered by the system:
All employees of the Offices, Boards, and Divisions except
employees in the U.S. Attorneys Offices, and the Executive Office for
U.S. Attorneys, for whom the U.S. Office of Personnel Management
conducts background investigations.
Categories of records in the system:
The system contains an index card for each employee of the
Offices, Boards, and Divisions, except those excluded in Categories
of Individuals above, on whom a name and fingerprint or background
investigation has been initiated.
Authority for maintenance of the system:
The system is established and maintained in order to fulfill the
requirements of Executive Order 10450.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The index cards are used to annotate and monitor the progress of
the name and fingerprint checks and the full field character
investigations of the employes. The completed cards are used to
develop a variety of workload and timeframe data concerning the
initiation and completion of these investigations to ensure that the
requirements of Executive Order 10450 and Department of Justice Order
2610.2 are being effectively and efficiently met.
Release of Information to the News Media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR part 502 may be made available from systems
of records maintained by the Department of Justice 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.
Release of Information to Members of Congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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 subject to the record.
Release of Information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA):
A record from a system of records may be disclosed as a routine
use to NARA and GSA in records management inspections conducted under
the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is manually stored in the
boxes.
Retrievability:
Information is retrieved manually by reference to the name of the
employee on whom the investigation is being conducted.
Safeguards:
Information contained in the system is unclassified. It is
safeguarded and protected in accordance with Personnel Service
policies and procedures.
Retention and disposal:
When a full-field background investigation or National Agency
Check is initiated, the background investigation check-off card is
forwarded to the Justice Management Division Security Staff where it
is ultimately merged in system Justice/JMD-008, Security Clearance
Information System.
System manager(s) and address:
Assistant Director, Personnel Service, Justice Management
Division, U.S. Department of Justice, Suite 402, IND Building,
Washington, DC.
Notification procedure:
Same as the System Manager.
Record access procedures:
Same as the System Manager.
Contesting record procedures:
Same as the System Manager.
Record source categories:
The sources of information contained in this system are those
Personnel Service employees authorized to annotate these cards.
Information reported is extracted from personnel documents initiating
the various investigations and the resulting reports of completion.
Systems exempted from certain provisions of the act:
None.
JUSTICE/JMD-002
System name:
Controlled Substances Act Nonpubic Records.
System location:
U.S. Department of Justice, Justice Management Division,
Information Management and Security Staff, Washington, DC 20530.
Categories of individuals covered by the system:
Persons found guilty for the first time of violating section 404
of the Controlled Substances Act (21 U.S.C. 844), i.e., persons who
knowingly or intentionally possessed a controlled substance, except
as authorized by the Act, whose cases have been in subject of a
disposition under 18 U.S.C. 3607(a) or an order of expungement under
18 U.S.C. 3607(c).
Categories of records in the system:
Arrest records of law enforcement agencies, which include
personal data, photographs, fingerprints, copies of court orders and
Form OBD-140 (18 U.S.C. 3607).
Authority for maintenance of the system:
This system is established and maintained in accordance with
Public Law 98-473, Chapter II, the sentencing Reform Act of 1984 (18
U.S.C. 3607).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are retained by the Department of Justice and are
available only to a Federal court upon that court's issuance of an
order demanding such records solely for the purpose of use by said
court in determining whether or not a person found guilty of an
offense under section 404 of the Controlled Substances Act (21 U.S.C.
844) qualifies for the disposition provided in 18 U.S.C. 3607(a) or
the expungement provided in 18 U.S.C. 3607(c).
Release of information to the National Archives and Records
Administration:
Subject to approval by the Attorney General or the President
under 44 U.S.C. 2906, a record from this system of records may be
disclosed to the National Archives and Records Administration (NARA)
as part of a records management inspection conducted under the
authority of 44 U.S.C. 2904.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in a locked room.
Retrievability:
Records are indexed by the name of the offender.
Safeguards:
Access to these records is restricted to the Departmental Records
Officer and Assistant Director, Information Security and Records
Management, information Management and Security Staff, Justice
Management Division.
Retention and disposal:
Records are retained in accordance with records retention and
disposal schedules approved by the Archivist of the United States.
System manager(s) and address:
Director, Information Management and Security Staff, Justice
Management Division, U.S. Department of Justice, Washington, DC
20530.
Notification procedure:
Same as the System Manager.
Record access procedures:
Same as the System Manger.
Contesting record procedures:
Same as the system manager.
Record source categories:
Law enforcement agencies and Federal courts.
Exemptions claimed for the system:
The Attorney General has exempted the system from subsection (d)
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. A proposed
rule which update the justification for the exemption is being
published in today's Federal Register.
JUSTICE/JMD-003
System name:
Department of Justice Payroll System, Justice/JMD-003.
System location:
Payroll records in electronic or paper format may be found in the
following locations:
a. Post Conversion Records: \1\ on a computer maintained by the
NFC in New Orleans, Louisiana; and at backup facilities in
Philadelphia. Relevant data may also be stored on Justice Data Center
Computers at the Department of Justice for use in distributing
accounting information to the individual Bureaus. Paper and
electronic payroll information may be kept at various time and
attendance recording and processing stations around the world. Paper
records may be located in the Department's Personnel Staff, in
servicing personnel offices throughout the Department, and in the
offices of employee supervisors and managers.
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\1\ The Department is under contract with the Department of
Agriculture's National Finance Center (NFC) to maintain payroll
information and conduct payroll-related activities for its employees.
Conversion began in July of 1991 and was incrementally completed as
of May of 1993.
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b. Pre-Conversion Historical Records: on magnetic tape at the
Justice Data Center in Rockville, Maryland; on microfiche maintained
by the Department's Finance Staff; and in paper format maintained by
the Department's Finance and Personnel Staffs, servicing personnel
offices, and offices of employee supervisors and managers.
c. Post Conversion Historical Records: On a server at the Justice
Data Center in Rockville, Maryland. Information may include any post
conversion payroll data for which a determination is made that such
data no longer requires storage in a current status. For example, it
may be determined that data for a designated period of time no longer
requires storage on the NFC data base or on the Justice Data Center
computers.
Categories of individuals covered by the system:
Current and former DOJ employees (excluding the FBI).
Categories of records in the system:
Any and all records essential to the conduct of payroll-related
activities. Included may be:
--Personal Identifying/personnel data
--Time and attendance records
--Leave records
--Allotment or deduction information such as bonds,
garnishments, health benefits, life insurance, Thrift Savings Plan
and other savings, retirement, and union dues.
--Travel and Relocation information
--Court orders to initiate garnishments
--Check mailing information
--Tax, withholding, and exemption information
--Accouting and organization funding information
--Salary, severance pay, award, and bonus information; active
retirement records
--Former employee pay records
--Employee death records
--Returned employee check records
--Indebtedeness records, e.g., overpayment of pay or travel
Authority for maintenance of the system: Budget and Accounting Act
of 1950, as amended, 31 U.S.C. 66, 66a, and 20(a).
Purpose(s): This system of records is maintained to enable the
Department to administer the payroll and payroll-related functions,
and any other related financial matters, in accordance with
applicable laws and regulations and the requirements of the General
Accounting Office (GAO) and the Office of Personnel Management (OPM).
It enables the Department to prepare and document payment to all
Department employees entitled to be paid and to effect all authorized
deductions from gross pay; to coordinate pay, leave and allowance
operations with personnel functions and other related activities;
meet internal and external reporting requirements; support
investigations of fraud, the collection of debts, and litigation
activities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Pursuant to Subsection (b)(3) of the Privacy Act, the Department
of Justice (DOJ) may disclose relevant and necessary data as follows:
To contractors, grantees, experts, consultants, detailees, and
other non-DOJ employees 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 sytem of records.
In accordance with an interagency agreement (as provided for in
Office of Management and Budget (OMB) implementing regulations (40 FR
28948)), the DOJ may disclose to the U.S. Department of Agriculture
(USDA), National Finance Center (NFC), in order to effect all
financial transactions on behalf of the DOJ related to employee pay.
Specifically, the NFC may effect employee pay or deposit funds on
behalf of DOJ employees, and/or it may withhold, collect or offset
funds from employee salaries as required by law or as necessary to
correct overpayment or amounts due. For example, the NFC will
routinely make the necessary disclosures to Treasury for the issuance
of checks; to Federal, State, and local authorities and the Social
Security Administration for tax withholdings; and, according to
employee directions, to the appropriate financial institutions,
charitable organizations, unions, health carriers, or other
appropriate entities to effect such pay distributions as savings
bonds, charitable contributions, allotments, alimony, child support,
union dues, and health and life insurance. In addition, the NFC will
use the data to perform related administrative activities such as to
certify payroll vouchers chargeable to DOJ funds; and either to
perform or participate in routine audit/oversight operations of USDA/
DOJ management and/or of GAO, OMB, and OPM; and to meet related
reporting requirements.
In addition, based on such data as the DOJ has input to the NFC
data base for these purposes, the DOJ may subsequently make a paper
request, or an electronic request to the NFC data base, for
information which will allow the DOJ to disclose relevant information
as follows; or, where appropriate or necessary, DOJ may authorize the
NFC to make the disclosure:
To Federal, State, or local housing authorities to enable these
authorities to determine eligibility for low cost housing.
To heirs, executors and legal representatives of beneficiaries
for estate settlement purposes.
To State and local courts of competent jurisdiction for the
enforcement of child support, alimony, or both, pursuant to 41 U.S.C.
659.
To individuals, organizations, or agencies to enable such person,
organization, or agency to determine the identity or location of a
current or former Federal employee to collect debts owed, where
collection of such debts are authorized (either by statute,
implementing regulation, or order issued pursuant thereto) and the
individual, organization, or agency, has provided sufficient evidence
as will reasonably validate such claims, e.g., where a spouse or
creditor seeking to obtain a garnishment of wages for such purposes
as alimony and/or child support has provided a court order to
substantiate the indebtedness. Information relevant to the request
for such garnishment may include informing the individual,
organization, or agency of the unavailability of funds where, for
example, a currently active garnishment precludes the implementation
of a further garnishment.
To the Office of Child Support Enforcement (OCSE), Administration
for Children and Families, Department of Health and Human Services,
any information specifically required by statute or implementing
regulation or otherwise determined to be necessary and proper for
OCSE's use (as outlined more specifically in relevant OCSE published
systems of records) in locating individuals owing child support
obligations, and in establishing and collecting child support
obligations from such individuals, including enforcement action.
Information disclosed may include: name, address, date of birth, date
of hire, duty station, and social security number of the employee;
the wages paid to the employee during the previous quarter; and the
appropriate address and Federal Employer Identification Number of the
Department of Justice.
To the appropriate Federal, State, or local agencies, e.g., to
State unemployment agencies and/or the Department of Labor, to assist
these agencies in performing their lawful responsibilities in
connection with administering unemployment, workers' compensation, or
other benefit programs; and similarly, to such agencies to obtain
information that may assist the Department of Justice in performing
its lawful responsibilities as they relate to such benefit programs.
To labor organizations recognized under 5 U.S.C., Chapter 71, the
home addresses or designated mailing addresses of bargaining unit
members.
In the event that a record(s), either on its face or in
conjunction with other information, indicates a violation or a
potential violation of law, whether civil, criminal or regulatory in
nature, to the agency charged with enforcing or implementing such
law.
To the Internal Revenue Service (IRS) to obtain taxpayer mailing
addresses for the purpose of locating such taxpayer to collect or
compromise a Federal claim against the taxpayer.
To a person or organization with whom the head of the agency has
contracted for collection services to recover indebtedness owed to
the United States. Addresses of taxpayers obtained from the IRS will
also be disclosed, but only where necessary to locate such taxpayer
to collect or compromise a Federal claim.
To a Federal, State, local, or foreign agency or to an individual
or organization if there is reason to believe that such agency,
individual, or organization possesses information relating to the
debt, the identity or location of the debtor, the debtor's ability to
pay, or relating to any other matter which is relevant and necessary
to the settlement, effective litigation and enforced collection of
the debt, or relating to the civil action trial or hearing, and the
disclosure is reasonably necessary to elicit such information or to
obtain the cooperation of a witness or an agency.
To employers to effect salary or administrative offsets to
satisfy a debt owed the United States by that person; or when other
collection efforts have failed, to the IRS to effect an offset
against an income tax refund otherwise due.
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.
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.
To the National Archives and Records Administration and the
General Services Administration for use in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
In a proceeding before a court or adjudicative body before which
the Department 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 the Department to be arguably relevant to the
litigation: The Department, or any of the Department's components or
their subdivisions; any Department employee in his/her official
capacity, or in his/her individual capacity where the Department of
Justice agrees to represent the employee; or the United States where
the Department determines that the litigation is likely to affect it
or any of the Department's components or their subdivisions.
Consistent with the foregoing routine use provisions, the
Department may disclose records from this system of records for use
in a computer matching program (as defined in the Privacy Act, 5
U.S.C. 552a(8)). In accordance with the requirements of the Privacy
Act, the public will be given advance notice in the Federal Register
of the Department's participation in any such computer matching
program(s).
In addition to the above routine use disclosures under subsection
(b)(3) of the Privacy Act, the DOJ may retrieve from the NFC data
base information which will enable the DOJ to make relevant and
necessary disclosures pursuant to any of the other relevant and
appropriate Privacy Act disclosure provisions.
Finally, 31 U.S.C. 3711 requires that the notice required by
section 552(e)(4) of title 5 must indicate that information in the
system may be disclosed to a consumer reporting agency pursuant to
subsection (b)(12). Such notice is provided as follows:
Notice of Disclosure to Consumer Reporting Agencies Under
Subsection (b)(12) of the Privacy Act: Records relating to the
identity of debtors and the history of claims may be disseminated to
consumer reporting agencies to encourage payment of the past-due
debt. Such disclosures will be made only when a claim is overdue and
only after due process steps have been taken to notify the debtor and
give him or her a chance to meet the terms of the debt.
(Any disclosures that may be made for debt collection purposes,
whether made pursuant to subsection (b)(3) or (b)(12), would be made
only when all the relevant due process or procedural steps
established by the relevant statutes and implementing regulations
have been taken.)
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are stored on computer disks, magnetic tapes, microfiche,
paper and compact disk.
Retrievability:
Records are retrieved by name and social security number.
Safeguards:
Access to premises where records are stored is restricted via
building passes and security guards. Access to all records is
supervised and restricted to those employees with a need to know. In
addition, access to computerized records is protected by encryption,
password and appropriate user ID's.
Retention and disposal:
Records are disposed of in accordance with General Records
Schedule No. 2 as promulgated by the General Services Administration.
System manager(s) and address:
Director, Personnel Staff, Justice Management Division,
Department of Justice, National Place Building, Room 1110, 1331
Pennsylvania Avenue, NW., Washington, DC 20530.
Notification procedure:
The individual may address inquires to the servicing personnel
office of the Department component(s) by which he/she is or was
employed. Addresses of Department components may be found in Appendix
I., to part 16 of the Code of Federal Regulations. The individual may
also address his/her request to the system manager named above.
Record access procedure:
Same as above.
Contesting record procedure:
Same as above.
Record source categories:
Individuals covered by the system; personnel offices; time and
attendance clerks; supervisors, administrative officers, other
officials; financial institutions or employee organizations; previous
federal employers; consumer reporting agencies; debt collection
agencies; and the courts.
Systems exempted from certain provisions of the act:
None.
JUSTICE/JMD-005
System name: Grievance Records.
System location:
Records relating to grievances originating in an office, board or
division (defined in 28 CFR 0.1) except for the Executive Office for
United States Attorneys, are located in the Office of the Assistant
Director for Personnel Service. Records relating to grievances
originating in the Executive Office for United States Attorneys or in
a United States Attorney's office are located in the office of the
Personnel Officer, Executive Office for United States Attorneys.
Records relating to grievances originating in a particular bureau
(defined in 28 CFR 0.1) are located in the central personnel office
of the bureau where the grievance originated, except for the Federal
Bureau of Investigation (FBI) which is excluded from coverage of the
Agency Administrative Grievance System by 5 CFR 771.206(a). (See
caption ``System managers and addresses.'')
Categories of individuals covered by the system:
Current or former Department of Justice employees, except for
employees of the FBI, who have submitted grievances in accordance
with 5 CFR part 771 (Office of Personnel Management (OPM)
regulations) and the Department's grievance procedures, or in
accordance with a negotiated grievance procedure.
Categories of records in the system:
The system contains records relating to grievances filed by the
agency employees under 5 CFR part 771 and the Department's grievance
procedures, or under a negotiated grievance procedure. These case
files contain all documents related to the grievance, including
statements of witnesses, reports of interviews and hearings,
examiner's findings and recommendations, or arbitration award, and a
copy of any original and final decision and related correspondence
and exhibits.
Authority for maintenance of the system:
5 U.S.C. 552a(f); 5 CFR part 771; 5 U.S.C. 1032, 3301, 3302; E.O.
10577; 3 CFR 1954-1958 Comp., p. 218.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose pertinent information to another appropriate
Federal, State, or local agency, responsible for investigating,
prosecuting, enforcing, or implementing a statute, rule, regulation,
or order, where the Department becomes aware of an indication of a
violation or potential violation of civil or criminal law or
regulation.
b. To disclose information to any source from which additional
information is requested in the course of processing a grievance to
the extent necessary to identify the individual, inform the source of
the purpose(s) of the request, and identify the type of information
requested.
c. To disclose information to another Federal agency (in response
to its request) for its use in the hiring or retention of an
employee, the issuance of a security clearance, the conducting of a
security and/or suitability investigation of an individual, the
classifying of jobs, the letting of a contract, or the issuance of a
license, grant, or other benefit to the extent that the information
is relevant and necessary to its decision on the matter.
d. To provide information 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.
e. To disclose information to another Federal agency or to a
court when the Government is party to a judicial proceeding before
the court.
f. By the National Archives and Records Administration and the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2908.
g. By the Department or OPM in the production of summary
descriptive statistics, if available, and analytical studies in
support of the function for which the records are collected and
maintained, or for related work force studies. While published
statistics and studies do not contain individual identifiers, in some
instances the selection of data elements included in the study may be
structured in such a way as to make the data individually
identifiable by inference.
h. To disclose information to officials of the Merit Systems
Protection Board; the Special Counsel; the Federal Labor Relations
Authority and its General Counsel; the Equal Employment Opportunity
Commission; or, the OPM when requested to perform their authorized
duties.
i. To disclose in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
j. To provide information to labor organization officials
recognized under the Civil Service Reform Act when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting work conditions.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the names of the individuals on
whom they are maintained.
Safeguards:
These records are maintained in lockable metal filing cabinets to
which only authorized personnel have access.
Retention and disposal:
These records are disposed of three years after closing of the
case. Disposal is by shredding or burning.
System manager(s) and address:
a. Offices, Boards and Divisions, Assistant Director for
Personnel Service, U.S. Department of Justice, 633 Indiana Avenue,
NW, Washington, DC 20530.
b. Bureau of Prisons, Personnel Director, Bureau of Prisons, HOLC
Building, 320 First Street, NW, Washington, DC 20534.
c. Drug Enforcement Administration, Deputy Assistant
Administrator for Personnel, Drug Enforcement Administration, 1405 I
Street, NW, Washington, DC 20537.
d. Immigration and Naturalization Service, Assistant Commissioner
for Personnel and Training, Immigration and Naturalization Service,
CAB Building, 425 I Street, NW, Washington, DC 20530.
e. Office of Justice Programs, Director, Office of Personnel,
Office of Justice Programs, 633 Indiana Avenue, NW, Washington, DC
20530.
f. United States Marshals Service, Personnel Officer, U.S.
Marshals Service, 600 Army-Navy Dr., Arlington, VA 22202.
g. Executive Officer for United States Attorneys, Personnel
Officer, 601 D Street, NW, Patrick Henry Building, Washington, DC
20530.
Notification procedure:
Individuals who have filed grievances may contact the appropriate
personnel office (named under the caption ``System managers'' and
addresses'' above) where the action was processed regarding the
existence of such records on them. They must furnish the following
information for the records to be located and identified:
a. Name.
b. Approximate date of closing of the case and the subject matter
of the grievance.
c. Organization component involved.
Record access procedures:
Individuals who have filed grievances may request access to the
official copy of the grievance file by contacting the appropriate
personnel office (named under the caption ``System managers and
addresses'' above) where the action was processed. Individuals must
provide the information listed under the caption ``Notification
procedures'' for their records to be located and identified.
Individuals requesting access must also follow the Department's
Privacy Act regulations (28 CFR 16.41) regarding access to records
and verification of identity.
Contesting record procedures:
Review of requests from individuals seeking amendment of their
records which have been the subject of a judicial or quasi-judicial
action will be limited in scope. Review of amendment requests of
these records will be restricted to determining if the record
accurately documents the action of the agency ruling on the case and
will not include a review of the merits of the action, determination,
or finding.
Individuals wishing to request amendment to the records to
correct factual errors should contact the personnel office (named
under the caption ``System managers and addresses'' above) where the
grievance was processed. Individuals must furnish the information
listed under the caption ``Notification procedures'' for their
records to be located and identified.
Individuals requesting amendment must also follow the office's
Privacy Act regulations (28 CFR 16.41) regarding amendment to records
and verifications of identity.
Record source categories:
Information in this system of records is provided:
a. By the individual on whom the record is maintained.
b. By testimony of witnesses.
c. By Department officials.
d. From related correspondence from organizations or persons.
Systems exempted from certain provisions of the act:
None.
JUSTICE/JMD-006
System name: Debt Collection Management System, JUSTICE/JMD-006
System location:
Department of Justice, Justice Management Division (JMD), Central
Intake Facility (CIF), 1110 Bonifant Street, Suite 220, Silver
Spring, Maryland.
Categories of individuals covered by the system:
Persons indebted to the United States who have allowed their
debts to become delinquent and whose debts have been sent by client
Federal agencies to the Department of Justice for settlement or
enforced collection through litigation.
Categories of records in the system:
This system of records contains records for all 94 judicial
districts of the United States. It contains records relating to the
negotiation, compromise, settlement, and litigation of debts owed the
United States. Records will consist of an automated support data base
and temporary custody of case files. Case files are assigned promptly
to a U.S. Attorney (USA) or, where the Department has contracted for
their services, to private counsel to undertake enforced debt
collection action.\1\ This system describes case files during the
period when they are in the possession of the JMD, CIF. Upon
assignment of a case file to a USA or contract private counsel, the
case is covered by the Debt Collection Enforcement System, JUSTICE/
USA-0l5.
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\1\Private counsel are employed under a statutorily-authorized
pilot program in specific judicial districts. Pub. L. 102-58
(November 10, 1992) authorized a four-year extension of the pilot
program through September 30, 1996, and expanded the number of
judicial districts from 10 to 15. Ten of these districts have been
identified as: Central District of CA; Northern District of CA;
Eastern District of NY; Southern District of FL; Eastern District of
MI; Southern District of TX; District of Columbia; Middle District of
FL; Western District of LA; and the District of NJ.
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The client agency case file includes such documents as the Claims
Collection Litigation Report; Certificate of Indebtedness; any
partial payment records, status reports, correspondence, and any
other documentation developed during the negotiation of the debts.
An automated data base provides litigation/administrative support
to private counsel and USAs in the pilot districts \2\ and creates an
inventory of cases assigned to the 94 judicial districts. The data
base contains data extracted from the case file and any data
generated or developed to support the administrative operations of
the debt collection program. Information may include personal data,
e.g., name, social security number, date of birth, and locator
information; claim information, e.g., type of claim such as benefit
overpayment, loan default, bankruptcy, etc.; payment demand
information, compromise offered, etc.; account information, e.g.,
debtor payments including principal, penalties, interests, and
balances, etc.; information regarding debtor's employment, ability to
pay, property liens, etc.; value of claim, name of source agency
which provided the loan or benefit; information on the status and
disposition of cases at various intervals of time; and any other
information related to the negotiation; compromise, settlement, or
litigation of debts owed the United States, or to the administrative
management of the debt collection program.
---------------------------------------------------------------------------
\2\ The ultimate goal is to provide fully automated debt collection
litigation support to all 94 USAs. While moving toward this goal, the
Department envisions a system that will maintain summary level data
for all 94 USA's until all districts can be provided, seriatim, full
administrative and litigation support.
---------------------------------------------------------------------------
(When a case is closed or a judgment is obtained, the USAs in
both pilot and non-pilot districts notify the CIF as to the final
disposition of the case on a monthly basis.)
Authority for maintenance of the system:
31 U.S.C. 3711 and 3718, and 28 U.S.C. 3201
Purpose(s):
Title 31 U.S.C. 3711 authorizes the Attorney General to conduct
litigation to collect delinquent debts due the United States; 31
U.S.C. 3718(b) authorizes the Attorney General to contract with
private counsel to assist the Department (specifically, the USAs) in
collecting consumer and commercial debts owed the United States on a
pilot project basis; and Chapter 176 of Title 28, United States Code
(``Federal Debt Collection Procedure''), authorizes the Attorney
General to obtain both prejudgment and postjudgment remedies against
delinquent debtors, and section 3201(e) of that Chapter states that a
judgment against such a debtor creates a lien on all real property of
the debtor and renders that debtor ``ineligible'' for any grant or
loan made, insured, financed or guaranteed by the Federal Government.
Accordingly, this system of records is maintained by JMD under
contract by means of the CIF to assist the Attorney General in
conducting this debt litigation through the USAs in all 94 judicial
districts (for an indefinite period) and, where appropriate, through
contract private counsel under a pilot program (for periods specified
by legislation). The CIF receives debt collection files from client
Federal agencies for assignment to private counsel in any selected
pilot judicial districts where the Department has contracted for
their services and/or to the USAs in all 94 judicial districts.\3\
The CIF furnishes automated litigation/administrative support to such
counsel and to USAs in the pilot districts,\4\ and creates an
inventory of all debts referred by USAs and by client Federal
agencies to the Department (and subsequently referred/assigned by the
CIF to such counsel, and to USAs in all 94 judicial districts) for
enforced collection via litigation. The inventory enables the
Department to provide statistical data to the Congress and the Office
of Management and Budget on debt collection activities as required by
31 U.S.C. 3718(c).
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\3\ A separate system of records entitled ``Debt Collection
Enforcement System, Justice/USA-015,'' covers the records as
maintained by the USAs and such counsel, and identifies the relevant
judicial districts.
\4\ See note 2, supra.
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Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In the course of its collection and enforcement activities, the
Department may release client Federal agency case files to the CIF to
conduct the administrative operations of the debt collection program.
Through the administrative operations of the CIF, the Department will
release the case files and any related records or information created
by the CIF to the contract private counsel to negotiate, settle, and
litigate debts owned the United States.
The Department may also disclose relevant records or information
from this system as follows:
(a) To client agencies who have referred debt collection cases to
the Department for settlement or litigation and enforced collection
to notify such agencies of the status of the case 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.
(b) To a Federal agency in response to its request and in
connection with hiring or retention of an employee, the issuance of
the required security clearance, the reporting of an investigation of
an employee, the letting of a contract, or the issuance of a license
grant or other benefit by the requesting agency, to the extent that
the information relates to the requesting agency's decision on the
matter.
(c) In a proceeding before a court or adjudicative body before
which the Department or contract private counsel who are authorized
to appear when any of the following is a party to litigation or has
an interest in ligation and such records are determined by the
Department or contract private counsel to be arguably relevant to the
litigation: (1) The Department, or any subdivision thereof, or
contract private counsel, or (2) any employee of the Department or
contract private counsel in his or her official capacity or (3) any
employee of the Department or contract private counsel in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (4) the United States, where the
Department or contract private counsel determines that the litigation
is likely to affect the Department or any of its subdivisions.
(d) To volunteer student workers and students working under a
college work-study program as is necessary to enable them to perform
their function;
(e) To employees or to contract personnel to access the records
for Privacy Act training purposes.
(f) To (1) a Federal, state, local or foreign agency, an
organization or individual to elicit information to assist the
Department in the settlement or effective litigation and enforced
collection of the overdue debt; and (2) the Internal Revenue Service
to obtain the mailing address of a taxpayer to collect or to
compromise a debt owed by the taxpayer to the United States.
(g) 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.
(h) 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.
(i) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
(k) To the Department of Housing and Urban Development (HUD) for
its use in evaluating the credit worthiness of Federal loan
applicants. Ultimately, this information may be accessed by other
entities to determine credit worthiness; that is, HUD may permit
access to its data base (possibly through a computer matching
program) by authorized employees of Federal agencies and private
lenders (i.e., private lenders of Federally insured or guaranteed
loans) to determine the credit worthiness of Federal loan applicants.
Specifically, HUD operates an automated telephonic prescreening
system (the Credit Alert Interactive Voice Response System) through
which relevant information may be provided to assist such lenders and
agencies in identifying whether there are any outstanding judgments
against the applicant for other Federal debts, the amount of the
debt, the status thereof, and any other information that may assist
the lender/agency in making a decision on whether to approve or not
approve an application for a loan. (See 28 U.S.C. 3201(e).)
Disclosure to consumer reporting agencies: Disclosure to consumer
reporting agencies under subsection (b)(12) of the Privacy Act:
Disclosure to consumer reporting agencies in accordance with section
3711(f) of Title 31 (as authorized under subsection (b)(12) of the
Privacy Act): Relevant records may be disclosed to a consumer
reporting agency as defined in the Fair Credit Reporting Act (15
U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31
U.S.C. 3701(a)(3)) where such information is directly related to the
identity of debtors and the history of claims contained in this
system of records and for the purpose of encouraging repayment of
overdue debts. Such disclosure may be made only when a claim is
overdue and only after due process steps have been taken to notify
the debtor and give him or her a chance to meet the terms of the
debt. Addresses of taxpayers obtained from the Department of the
Treasury may be disclosed to consumer reporting agencies only for the
purpose of allowing such agencies to prepare a commercial credit
report on the taxpayer for use by the Department. Prior to such
disclosure, satisfactory assurances will be obtained from such
consumer reporting agency concerning compliance by that agency with
the Fair Credit Reporting Act (15 U.S.C. 1681 et seq.) and any other
Federal law governing the provision of consumer credit information.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disclosing of records in the system:
Storage:
Case files are stored in locked rooms; automated data is stored
on magnetic tape.
Retrievability:
Data is retrieved by name of debtor.
Safeguards:
Access to records is restricted to those personnel who must have
access to perform their duties and is limited to those cases
assigned. Case files are maintained separately in locked rooms during
non-duty hours. Access to automated data requires the use of the
proper password and user identification code.
Retention and disposal:
Paper records in this system will be returned to client Federal
agencies for disposition; automated information will be erased ten
years after the related case files reported in the Debt Collection
Enforcement System, JUSTICE/USA-015 have been closed.
System manager(s) and address:
Deputy Assistant Attorney General, Debt Collection Management,
Justice Management Division, Department of Justice, Washington, DC
20530.
Notification procedure:
Address inquiries to Deputy Assistant Attorney General, Debt
Collection Management, Justice Management Division, Department of
Justice, Washington, DC 20530.
Record access procedures:
Address requests for access to Deputy Assistant Attorney General,
Debt Collection Management, Justice Management Division, Department
of Justice, Washington, DC 20530. Clearly mark the envelope ``Privacy
Access Request.'' Include in the request the debtor's name, date of
birth, address, and any other identifying information which may be of
assistance in locating the record, e.g., name of the case or Federal
agency to whom the debtor is indebted. In addition, include notarized
signature of the debtor as well as the name and address of the
individual to receive the information if other than the debtor.
Contesting records procedures:
Address requests to Deputy Assistant Attorney General, Debt
Collection Management, Justice Management Division, Department of
Justice, Washington, DC 20530. State clearly and concisely the
information being contested, the reasons for contesting it, and the
proposed amendment to the information.
Record source categories:
The individuals covered by the system; client agencies of the
Department to whom the individual is indebted; an attorney or other
representative for the debtor and/or payor; any Federal, State,
local, foreign, private organization or individual who may have
information relating to the debt, the debtor's ability to pay or any
other information relevant and necessary to assist in the settlement
or effective litigation and enforced collection of the debt.
Systems exempted from certain provisions of the act:
None.
JUSTICE/JMD-007
System name: Accounting System for the Offices, Boards and
Divisions and the United States Marshals Service.
System location:
United States Department of Justice, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
All individuals on whom vouchers are submitted requesting payment
for goods or services rendered (except payroll vouchers for
Department of Justice employees,) including vendors, contractors,
experts, witnesses, court reporters, travelers, and employees.
Categories of records in the system:
All vouchers processed, i.e., all documents required to reserve,
obligate, process and effect collection or payment of funds.
(Excluded from the system are payroll vouchers.)
Authority for maintenance of the system:
The system is established and maintained in accordance with 31
U.S.C. 3512.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
After processing the vouchers, the records are used to maintain
individual financial accountability; to furnish statistical data (not
identified by personal identifiers) to meet both internal and
external audit and reporting requirements; and to provide
Administrative Officers from the Officers, Boards and Divisions and
the United States Marshals Service with information on vouchers by
name and social security number.
Release of information to the news media. Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from system of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice not otherwise required to be released pursuant to 5 U.S.C.
552 may be made available 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 request of the individual who is the
subject of the record.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Release of taxpayer mailing address information. Information
contained in the system or records may be disclosed to the Internal
Revenue Service (IRS) to obtain taxpayer mailing addresses for the
purpose of locating such taxpayer to collect or compromise a Federal
claim against the taxpayer.
Release of information to consumer reporting agencies.
Information directly related to the identity of debtors and the
history of claims contained in the system or records may be disclosed
to consumer reporting agencies for the purpose of encouraging
repayment of overdue debts. Such disclosures will be made only when a
claim is overdue and only after due process steps have been taken to
notify the debtor and give him or her a chance to meet the terms of
the debt. Addresses of taxpayers obtained from the Department of the
Treasury will be disclosed to consumer reporting agencies only for
the purpose of allowing such agencies to prepare a commercial credit
report on the taxpayer for use by the Department.
Release of information about debtors. Information contained in
the system of records may be disclosed in order to effect salary or
administrative offsets to satisfy a debt owed the United States by
that person. Such disclosures will be made only when all procedural
steps established by the Debt Collection act have been taken.
Release of information to debt collection agencies. Information
contained in the system of records may be disclosed to a person or
organization with whom the head of the agency has contracted for
collection services to recover indebtedness owed to the United
States. Addresses of taxpayers obtained from the Department of the
Treasury will also be disclosed, but only where necessary to locate
such taxpayer to collect or compromise a Federal claim.
Release of information to United States Attorneys. Information
contained in the system of records may be disclosed to United States
Attorneys' offices for litigation and enforced collection.
Release of information in a proceeding before a court or
adjudicative body. Records within this system or any facts derived
therefrom, may be disseminated before a court or adjudicative body
before which the Justice Management Division is authorized to appear
when i. the Justice Management Division, or any subdivision thereof,
or ii. any employee of the Justice Management Division in his or her
official capacity, or iii. any employee of the Justice Management
Division in his or her individual capacity where the Department of
Justice has agreed to represent the employee, or iv. the United
States, where the Justice Management Division determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the Justice Management Division to be arguably
relevant to the ligitation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Magnetic disks, magnetic tapes, microfilm, and file folders.
Retrievability:
Records on magnetic tapes and disks are primarily retrieved by
social security number or digital identifiers. Records covering all
fiscal years prior to Fiscal Year 1983 are maintained in paper form;
as of Fiscal Year 1983 paper records have been converted to
microfilm. Records in paper form and on microfilm are retrieved by
batch and controlled by schedule on which paid.
Safeguards:
Information contained in the system is unclassified. Operational
access to information maintained on magnetic disks is controlled by
the convention of the operating system utilized. This is normally by
password key. These passwords are issued only to employees who have a
need to know in order to perform job functions relating to financial
management and accountability. Records are also safeguarded in
accordance with organizational rules and procedures. Access is
limited to personnel of the Department of Justice who have a need for
the records in the performance of their official duties.
Retention and disposal:
Magnetic disks, magnetic tapes, microfilm, and paper documents
are retained for a period of six years and three months and
subsequently destroyed in accordance with regulations prescribed by
the General Accounting Office and promulgated by the General Services
Administration.
System manager(s) and address:
Directors, Finance Staff, Office of the Comptroller, Justice
Management Division, U.S. Department of Justice, 10th & Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure:
Same as the System Manager.
Record access procedures:
Same as the System Manager.
Contesting record procedures:
Same as the System Manager.
Record source categories:
Submitted by operating accounting personnel or individual of
record.
Systems exempted from certain provisions of the act:
None.
JUSTICE/JMD-008
System name: Security Clearance Information System (SCIS).
System location:
U.S. Department of Justice, 10th and Constitution Avenue NW,
Washington, DC 20530.
Categories of individuals covered by the system:
Individuals who have been investigated and cleared for employment
and/or for access to data classified for national security reasons,
i.e.,
A. Current employees, excluding the Federal Bureau of
Investigation (FBI), and the Drug Enforcement Administration (DEA),
B. Former employees, excluding the FBI and DEA,
C. Contractors with whom contracts (or other agreements) are,
have been, or are offered to be entered into by the Department of
Justice, including the FBI and DEA, and
D. Persons associated with and/or acting for the defense or for
the courts in a criminal proceeding which involves classified
information.
Categories of records in the system:
The system contains two subsystems: (a) A Clearance Index
Reference Record which is an automated system for identifying the
individuals in Categories of Individuals above listing the status and
types of investigations, the dates of clearance and level of
clearances and (b) a Character File including one or more of the
following: (1) Standard form 86 (Office of Personnel Management),
Security Investigation Data For Sensitive Position; (2) Copies of
investigative reports from the Office of Personnel Management, the
FBI, and/or other Federal investigative agencies; (3) Correspondence
related to the request for the investigations, results of the
investigation, and clearance approvals for access to classified
national security information and waivers; and (4) Other information
relating to the trustworthiness of the employee.
Authority for maintenance of the system:
The system is established and maintained in accordance with
Presidential Executive Orders 10450 (clearance for Federal
employment) and 12356 (access to data classified for National
Security reasons), and the Classified Information Procedures Act of
1980.
Purpose(s):
Records in this system are used to determine the suitability,
eligibility and/or qualifications of employees for initial or
continued employment in the Department of Justice (excluding the FBI
and DEA), and for employment in sensitive positions involving access
to classified information. The records are also used to make similar
suitability determinations regarding the employment of contractors to
perform a service for the Department (including the FBI and DEA), and
to establish the trustworthiness for access to classified information
of persons associated with and/or acting for the court or the defense
during criminal proceedings.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records or information in these records may be disclosed
to:
(a) Designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government and the District of Columbia
Government, when it has been determined by the Department of Justice,
or by such agency, office, or establishment, that such agency, office
or establishment having an interest in either the initial or
continued employment of an individual, needs such records or
information from this system in order to evaluate qualifications,
suitability and loyalty to the United States Government, or
trustworthiness to access classified information or restricted areas,
and/or for the purpose of either granting, renewing, suspending, or
revoking a security clearance.
(b) Designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government, and the District of Columbia
Government, when it has been determined by the Department of Justice,
or by such agency, office or establishment needs records or
information from this system either because it has conducted or is
conducting an investigation of the individual in order to evaluate
qualifications, suitability, or loyalty to the United States
Government, or trustworthiness to access classified information or
restricted areas, and/or for the purpose of either granting,
renewing, suspending, or revoking a security clearance.
(c) Designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government, and the District of Columbia
Government, when it has been determined by the Department of Justice,
or by such agency, office, or establishment, that such agency, office
or establishment having an interest in either the initial or
continued employment of a contractor, needs such records or
information from this system in order to evaluate qualifications,
suitability, and loyalty to the United States Government, or
trustworthiness to access classified information or restricted areas,
and/or the purpose of either granting, renewing, suspending, or
revoking a security clearance.
(d) Designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government, and the District of Columbia
government, when it has been determined by the Department of Justice,
or by such agency, office or establishment, that such agency, office
or establishment, needs records or information from this system
either because it has conducted or is conducting an investigation of
the contractor in order to evaluate qualifications, suitability, or
loyalty to the United States Government, or trustworthiness to access
classified information or restricted areas, and/or for the purposes
of either granting, renewing, suspending or revoking a security
clearance.
(e) Security officials and investigators of other Government
Agencies or Departments for liaison purposes involving access to
classified material during meetings, conferences or training courses.
(f) 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.
(g) 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.
(h) The National Archives and Records Administration and the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
(i) A court or adjudicative body before the Department of Justice
is authorized to appear, when the Department of Justice or any
subdivision thereof, or any employee of the Department of Justice in
his or her official capacity, or any employee of the Department of
Justice in his or her individual capacity where the Department of
Justice has agreed to represent the employee, or the United States
where the Department of Justice determines that the litigation is
likely to affect it or any of its subdivisions, is a party to
litigation or has an interest in litigation and such records are
determined by the Department of Justice to be arguably relevant to
the litigation, or to the protection of such records which have been
classified in the interest of national security.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Automated data is stored on a main frame computer in the
Department of Justice Uniform Personnel System. Paper files are
maintained in a secure file room.
Retrievability:
All data is retrieved by searching under the employee's name and
social security account number.
Safeguards:
Information contained in the system includes some classified
National Security Information. It is safeguarded and protected in
accordance with Departmental rules and procedures governing the
protection of this material.
Safeguards include the assignment to authorized users of
passwords to access the automated data, and of combination formulas
to access manual records in locked safes.
Retention and disposal:
Records are retained and disposed of in accordance with items 22
and 23 of the General Records Schedule 18 as approved by the
Archivist of the United States.
System manager(s) and address:
Director, Security and Emergency Planning Staff, Justice
Management Division, U.S. Department of Justice, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Same as the System Manager.
Record access procedures:
A request for access to a record from this system shall be made
in writing to the System Manager with the envelope and the letter
clearly marked. ``Privacy Access Request.'' Include in the request
the name, title and organization of the employee, a notarized
signature, and the general subject matter of the inquiry. The
requestor will also provide a return address for transmitting a
reply. Requests for copies of investigative reports must be directed
to the Office of Personnel Management, the Federal Bureau of
Investigation, or other Federal investigative agencies, as
appropriate.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in this system are (a)
individuals covered by the system and (b) those individuals
(informants) contacted by the Federal investigators who furnished
information in the background investigation.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsection (d)
of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). Rules have been
promulgated in accordance with the requirements of 5 U.S.C. 533 (b),
(c) and (e) and have been published in the Federal Register.
JUSTICE/JMD-009
System name:
Debt Collection Offset Payment System, Justice/JMD-009.
System location:
Department of Justice (DOJ), Justice Data Center, 1151D Seven
Locks Road, Rockville, Md.
Categories of individuals covered by the system:
Federal debtors. Federal debtors include (but may not be limited
to) those who have received overpayments through direct financial
assistance, those who owe debts of restitution based on civil or
criminal judgments entered by Federal courts, and those who have
obtained insured or guaranteed loans from Federal agencies, and (a)
whose delinquent debts have been sent by client Federal agencies to
the DOJ for enforced collection through litigation or (b) whose
delinquent debts are owed directly to the DOJ.
Categories of records in the system:
Automated records include a data base on delinquent debts by
debtor name, taxpayer address and Taxpayer Identification Number
(TIN), type of government claim involved, and the Federal agency
entitled to notice of funds collected. (Such debts are referred by
United States Attorneys (USAs) from client Federal agencies), and by
other DOJ components). The data base also includes (1) information
identifying those delinquent debtors who are present or former
Federal employees, or members of the Armed Forces and whose salaries
or other Federal benefit payments may be eligible for administrative
offset by their respective employers (and whose debts may be referred
to such agencies for such offsets), (2) voluntary payments made to
the DOJ Jockbox, and (3) debt amounts offset by the Internal Revenue
Service (IRS) against income tax refunds. Manual records include
computer-generated reports that list all delinquent debtors by name.
TIN, tax year, and the USA or other DOJ component (and/or other
Federal agency) that referred the delinquent debt for collection, the
referring agency's claim number, the status of the account, and the
balance owed.
Authority for maintenance of the system:
Pub. L. 97-365, the Debt Collection Act of 1982; sec. 3 of Pub.
L. 102-589, the Cash Management Improvement Act Amendments of 1992;
and Pub. L. 104-134, the Debt Collection Improvement Act of 1996.
Purpose(s):
This system of records is used first to determine whether
administrative offset of the delinquent debts can be made by Federal
agencies against compensation due delinquent debtors who are present
or former employees of such agencies, or present or former members of
the Armed Forces. Second, it is used to refer delinquent debts to the
IRS for offset against any income tax refunds that may be due the
debtors under the IRS Federal Income Tax Refund Offset Program, to
record data on any offsets made, and to maintain historical data on
delinquent debtor payments through the Program.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
DOJ may disclose relevant information from this system as
follows:
(a) To the IRS to obtain the mailing address of a taxpayer for
the purpose of locating such taxpayer to collect or to compromise a
debt owed by the taxpayer to the United States.
(b) To the Department of Defense (DOD) and United States Postal
Service (USPS) to conduct computer matching programs to identify and
locate debtors who receive Federal salaries, and/or pension, annuity
or other Federal benefit payments. Except where such debts are paid
voluntarily, the debts of those individuals who have been so
identified will be returned to the DOJ component, or to the USA for
referral to the appropriate Federal agency, for collection by
administrative salary, or other procedure to offset Federal payments.
(c) To the IRS to conduct computer matching programs to identify
individuals entitled to refunds against which tax refund offsets
would be appropriate and to enable the IRS to offset the taxpayer's
tax refund. (A tax refund offset may be initiated where the debt
cannot be offset against the payment of Federal benefits such as
Federal salaries, annuities, pensions, etc.)
(d) These records pertaining to delinquent debts, and any
information in the records, may be disclosed to Treasury pursuant to
the Debt Collection Improvement Act of 1966, Pub. L. 104-134, for the
purpose of locating the debtor and/or effecting administrative offset
against monies payable by the Government to the debtor, or held by
the Government for the debtor, to recover such delinquent debts.
(e) To notify client agencies as to the status of payments and to
make inquiries and reports as necessary during the processing of debt
collection payments, whether such payments are made voluntarily or
whether they are collected through the tax refund offset procedure.
(f) To contractor employees operating the Nationwide Central
Intake Facility to account for debtor payments that have been
received. (See the ``Debt Collection Management System, Justice/JMD-
006'' which describes debtor records maintained by the Nationwide
Central Intake Facility.)
(g) In a proceeding before a court or adjudicative body before
which DOJ or contract private counsel are 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 DOJ or contract private
counsel to arguably relevant to the litigation: (1) DOJ, or any
component thereof, or contract private counsel, or (2) any employee
of DOJ or contract private counsel in his or her official capacity or
(3) any employee of DOJ or contract private counsel in his or her
individual capacity where DOJ has agreed to represent the employee,
or (4) the United States, where DOJ or contract private counsel
determines that the litigation is likely to affect DOJ or any of its
components.
(h) To volunteer student workers and students working under a
college work-study program as is necessary to enable them to perform
their duties.
(i) To employees or to contract personnel to access the records
for Privacy Act training purposes.
(j) 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.
(k) 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.
(l) To the National Archives and Records Administration (NARA)
and to the General Services Administration in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Periodic reports are stored in binders; automated data is stored
on magnetic tape.
Retrievability:
Records are retrieved by debtor's name or TIN.
Safeguards:
Access to the facility where the records are maintained requires
identification clearance by a security officer or guard. Paper
records are maintained in a locked room during non-duty hours. Access
to automated data requires the use of the proper passwords and user
identification codes by personnel with security clearances. Finally,
only those personnel who require access to perform their duties may
access these records.
Retention and disposal:
Paper records are shredded after five years; automated
information will be erased ten years after the related case files
reported in the Debt Collection Enforcement System, Justice/USA-015,
have been closed. (Pending approval of the NARA).
System manager(s) and address:
Deputy Assistant Attorney General, Debt Collection Management,
Justice Management Division, Department of Justice, Washington, DC
20530.
Notification procedure:
Address requests to the system manager identified above.
Record access procedures:
Address requests for access to the system manager identified
above. Clearly mark the envelope ``Privacy Access Request.'' Include
in the request the debtor's name, TIN, address, and any other
identifying information which may be assistance in locating the
record, e.g., name of the case or Federal agency to whom the debtor
is indebted. In addition, include the notarized signature of the
debtor as well as the name and address of the individual to receive
the information if other than the debtor.
Contesting record procedures:
Address requests to contest to the system manager identified
above. State clearly and concisely the information being contested,
the reasons for contesting it, and the proposed amendment to the
information.
Record source categories:
USAs on behalf of Federal agencies; DOJ components; DOD, USPS,
IRS, and the debtor.
Systems exempted from certain provisions of the act:
None.
JUSTICE/JMD-012
System name:
Department of Justice (DOJ) Call Detail Records, Justice/JMD-012.
System location:
Telecommunications Services Staff, Justice Management Division,
Department of Justice, Washington, DC 20530. (Most of the records are
electronic, and the scope of such electronic records includes calls
made to or from DOJ telephones serviced by the Washington Area Switch
Program.)
Categories of individuals covered by the system:
Individuals originating calls from DOJ telephones and individuals
receiving such calls; individuals placing calls to and/or charging
calls to, DOJ telephones; and individuals receiving such calls, and/
or accepting any charges therefor. The primary record subjects are
former and current DOJ employees, as well as individuals employed
under any employment arrangement such as a contract or cooperative
agreement; grantees; or other persons performing a service on behalf
of DOJ. Incidental to the coverage of the primary record subjects are
non-employees who may be identified by telephone number during an
inquiry or investigation relating to a potential improper or
unofficial use of Government telephones or other illegal or improper
activity by the primary record subject.
Categories of records in the system:
Records in this system of records relate to telephone calls
placed to and from DOJ telephones.
Records may include such information as the number called from,
the number called, time and date of call, duration, disposition and
cost of the call and/or charges accepted, origination and destination
of the call, and the DOJ component to which the relevant telephone
numbers are assigned. Call activity, e.g., ``no answer'' may also be
recorded. In addition, the system may include copies of related
records, e.g., any periodic summaries which may have been compiled to
reflect the total number of long distance calls made.
The database(s) from which telephone numbers are retrieved will
not contain names or similar personal identifiers such as the social
security number. However, because of the evolution of the technology
which permits the electronic recording of the origination and
destination of telephone calls, a name may be associated with the
telephone number.
Authority for maintenance of the system:
This system of records is maintained pursuant to 44 U.S.C. 3101,
which authorizes agencies to create and preserve records documenting
agency organizations, functions, procedures, and transactions; 31
U.S.C. 1348(b) which authorizes the use of appropriated funds to pay
for long distance calls only if required for official business or
necessary in the interests of the Government; and 41 CFR subpart 201-
21.6 (FIRMR) and section 128-1.5006-4 (JPMR) which authorizes certain
uses of Government telephone systems.
Purpose(s):
Information in this system of records is used by DOJ managers and
employees to plan and manage telephone services in an efficient and
economical manner and to otherwise perform their official duties.
Such use may include access by auditors and investigators such as
that authorized by the Inspector General Act of 1978. DOJ managers
may use the records in this system to assign responsibility for long
distance telephone calls; to certify that long distance telephone
calls made by DOJ employees were made to conduct Government business
or were otherwise authorized; to initiate action to recover the cost
of improper and/or unofficial long distance calls; where appropriate,
to initiate disciplinary or other such action; and/or where the
record(s) may appear to indicate a violation or potential violation
of law, refer such record(s) to the appropriate investigative arm of
DOJ, or other law enforcement agency for investigation.
Routine uses of records maintained in the system, including
categories of users and the purpose of such use:
The Department does not normally disclose records from this
system of records. However, in the event it is appropriate,
disclosure of relevant information may be made in accordance with the
disclosure provisions cited below.
1. To members of Congress or staff to respond to inquiries made
on behalf of individual constituents that are record subjects.
2. To representatives of the General Services Administration and/
or the National Archives and Records Administration who are
conducting records management inspections under the authority of 44
U.S.C. 2904 and 2906.
3. To the news media and the public pursuant to 28 CFR 50.2
unless it is determined that the release of the specific information
in the context of a particular case would constitute an unwarranted
invasion of personal privacy.
4. To respond to a Federal agency's request made in connection
with: The hiring or retention of an employee; the issuance of a
security clearance; the conduct of a security or suitability
investigation or pursuit of other appropriate personnel matter; the
reporting of an investigation on an employee; the letting of a
contract; or the issuance of a grant, license, or other benefit to an
employee by the requesting agency, but only to the extent that the
information disclosed is relevant and necessary to the requesting
agency's decision on the matter.
5. To a telecommunications company or other provider of services
to permit servicing of the account or communications equipment; or
otherwise to such contractors, grantees, or volunteers as are
performing a service or working under a related contract, grant,
cooperative agreement, or other employment arrangement.
6. To provide call detail or call detail related information to
individuals covered by the system or to any person(s) who may assist
in identifying and determining their own or other individual's
responsibility for telephone calls.
7. In response to a request for discovery or for the appearance
of a witness, to the extent that what is disclosed is relevant and
necessary to the subject matter involved in a pending judicial or
administrative proceeding.
8. 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, or informal discovery proceedings.
9. In the event that material in this system of records appears
to indicate a violation or potential violation of law, whether civil,
criminal, or regulatory in nature, and whether arising by general
statute, or by regulation, rule, or order issued pursuant thereto,
the relevant records may be disclosed to the appropriate agency,
whether Federal, State, local, or foreign, charged with the
responsibility therefor.
10. In a proceeding before a court or adjudicative body before
which the DOJ (including any component of DOJ) 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 the DOJ to
be arguably relevant to the litigation: The DOJ; any employee of the
DOJ in his or her official capacity; or any employee of the DOJ in
his or her individual capacity where the DOJ has agreed to represent
the employee; or, the United States, where the DOJ determines that
the litigation is likely to affect it or any of its subdivisions.
11. In producing summary descriptive statistics and analytical
studies in support of the function for which the records are
collected and maintained, or for related workforce studies. While
published studies do not contain individual identifiers such as a
name and social security number, in some instances the selection of
certain data elements included in the study may make it possible for
one to identify the individual by inference.
12. To an official of another Federal agency, the information he
or she needs to know in the performance of his or her official duties
in performing data analyses or otherwise reconciling or
reconstructing data files in support of the functions for which the
records were collected and are maintained.
13. To the current employer to effect salary or administrative
offsets to satisfy an indebtedness incurred for unofficial telephone
calls; to Federal agencies to identify and locate former employees
for the purpose of collecting such indebtedness, including collection
through administrative or salary offsets, or tax refund offsets.
Identifying and locating former employees, and the subsequent
referral to such agencies for offset purposes, may be accomplished
through authorized computer matching programs. Disclosures will be
made only when all procedural steps established by the Debt
Collection Act of 1982 and/or the Computer Matching and Privacy
Protection Act of 1988, as appropriate, have been taken.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in electronic form and on paper.
Retrievability:
Records are retrieved by billing account code and by originating
and destination telephone number.
Safeguards:
Access is limited to those who have a need to know. Specifically,
only telecommunications managers and operations support and
maintenance personnel (including those employed for such purposes
under interagency agreements or other employment arrangements) have
access to automated records and magnetic storage media. These records
are kept in a locked room with controlled entry. The use of password
protection identification features and other automated data
processing system protection methods restrict access.
Similarly, appropriate security measures are taken to protect
authorized access to the paper records. Only DOJ component heads and
their designated representatives; managers; and, as necessary and
appropriate, the employees assigned the respective telephone numbers;
and telecommunications managers (including those employed under
interagency or other employment arrangements) may have access.
Records will be transmitted with a protective cover which will
include instructions regarding the security precautions which must be
taken during the handling and disposition thereof.
All records, both paper and automated, are located in buildings
with restricted access.
Retention and disposal:
Destroyed after three years, or after audit by the General
Accounting Office, which is sooner.
System manager(s) and address:
Director, Telecommunications Services Staff, Justice Management
Division, Department of Justice, 600 E. Street, NW., Room 3036,
Washington, DC 20530.
Notification procedure:
To determine whether the system may contain records relating to
you, write to the System Manager identified above.
Record access procedure:
Same as ``Notification Procedure'' above. Provide name, assigned
telephone number, and a description of information being sought,
including the time frame during which the record(s) may have been
generated. Provide verification of identity as instructed in 28 CFR,
Sec. 16.41(d).
Contesting record procedure:
See ``Notification Procedure'' and ``Record Access Procedure''
above. Identify the information being contested, the reason for
contesting it, and the correction requested.
Record source categories:
Most records are generated internally, i.e., telephone assignment
records; billing statements; call detail listings; individuals
covered by the system; and management officials.
Systems exempted from certain provisions of the act:
None.
JUSTICE/JMD-013
System name: Employee Locator File.
System location:
U.S. Department of Justice, 10th and Constitution Avenue NW,
Washington, DC 20530.
Categories of individuals covered by the system:
All employees of the U.S. Department of Justice, with the
exception of individuals employed by the Federal Bureau of
Investigation.
Categories of records in the system:
The system contains information relating to each employee's home
and business address, home and business telephone number, information
as to next of kin, and personal physician preferred in case of
medical emergency.
Authority for maintenance of the system:
The system is maintained pursuant to 5 U.S.C. 301, 5 U.S.C. 7901,
26 U.S.C. 6011, 26 U.S.C. 6109, 5 U.S.C. 5516, 5 U.S.C. 5517 and 5
U.S.C. 5520.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The locator system is used to provide address data to federal,
state and local tax authorities in accordance with the reporting
requirements of their income tax withholding programs. The locator
system is also used to contact employees of the Department at their
official place of business or their residence regarding matters of an
official nature relating to their employment with the Department of
Justice. It is also used in medical emergencies to contact an
employee's personal physician if he or she has an indicated
preference, and to notify next of kin. Use of the file for these
purposes is limited to supervisors of the employees concerned or
individuals having the permission of a supervisor of the employee
concerned.
Release of information to the news media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of information to members of Congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and the General Services Administration (GSA):
A record from a system of records may be disclosed as a routine
use to NARA and GSA in records management inspections conducted under
the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on magnetic tape and magnetic disc.
Retrievability:
Records are retrieved by name or any other date item by means of
cathode-ray tubes.
Safeguards:
Access to terminals is limited to persons with terminal
identification numbers. These numbers are issued only to employees
who have a need to know in order to perform job functions relating to
income tax reporting or personnel matters.
Retention and disposal:
Records are retained for the duration of an individual's
employment with the Department. They are destroyed upon his or her
separation.
System manager(s) and address:
Director, Finance Staff, Office of the Comptroller, Justice
Management Division, U.S. Department of Justice, 10th and
Constitution Avenue NW, Washington, DC 20530.
Notification procedure:
Same as System Manager.
Record access procedures:
Same as Notification.
Contesting record procedures:
Same as Notification.
Record source categories:
Information is supplied by the individual to whom the record
pertains.
Systems exempted from certain provisions of the act:
None.
JUSTICE/JMD-014
System name:
Security Access Control System (SACS).
System location:
U.S. Department of Justice, Main Building, Room 6538, 950
Pennsylvania Ave. NW, Washington, DC 20530-0001
Categories of individuals covered by the system:
Department of Justice (DOJ) employees, contractors, or other
individuals who have been granted access to the Main Building, and/or
to such other DOJ satellite buildings as are served by this system
i.e., those buildings which are served by a direct terminal from the
Main Building.
Categories of records in the system:
Employee name, badge number, picture of badge containing picture
ID and signature, social security number, division (company name),
home telephone number, office telephone number, office room number
and building, date, time, and location of entry into or exit from the
Main Building or such other DOJ satellite buildings as are served by
this system. Letters of request from individuals, e.g., contractors,
for issuance of badges are also included.
Authority for maintenance of the system:
The maintenance of the system is authorized by Executive Order
12958, the Privacy Act of 1974 (5 U.S.C. 552a(e)(10)), and Pub. L.
90-620, as amended (44 U.S.C. Chapters 21 and 23), 5 U.S.C. 301, and
40 U.S.C. 486(c), as implemented by 41 CFR 101-20.3 and 41 CFR 101-
20.103. The Executive Order and Statutes address the security of
records maintained by Federal agencies, Public Buildings, Property
and Works to include Conduct on Federal Property and Physical
Protection and Building Security.
Purpose(s):
The purpose of the system is to enhance the safety of DOJ
employees, and the security of Federal records and property by
effectively restricting access to authorized personnel and by
detecting unauthorized entry into the Main Building (and to such
other DOJ satellite buildings as are served by a direct terminal from
the Main Building). Specifically, access badges, or other similar
devices, must be inserted into a reader to gain entry into such DOJ
buildings. Similarly, access badges, etc., may be required to exit
from such buildings. Management officials and selected staff
personnel (on a need-to-know basis) may use the information to
determine the status of individuals entering DOJ buildings, and to
maintain control of access badges issued.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Relevant information 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 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; (c) to a court or adjudicative body before which the DOJ 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 the DOJ to be arguably relevant to the litigation: (i)
The DOJ, or any component or subdivision thereof, or (ii) any
employee of the DOJ in his or her official capacity, or (iii) any
employee of the DOJ in his or her individual capacity where the DOJ
has agreed to represent the employee, or (iv) the United States,
where the DOJ determines that the litigation is likely to affect it
or any of its components or subdivisions; (d) to the National
Archives and Records Administration and the General Services
Administration in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2006; and (e) to private contractors
and/or maintenance personnel but only to the extent that access is
needed to perform their duties such as maintenance or similar
administrative support operations.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Automated records are stored on a hard drive Winchester disk,
magnetic tape reels, and on floppy disks. Letters of requests are
stored in file folders and file cabinets.
Retrievability:
Records are retrieved by name and by badge number.
Safeguards:
Access to the Main Building is controlled by guards and the SACS.
Access to the room housing the system is protected by a three way
combination lock, key in knob, and a simplex lock. Software
safeguards include a password required to access the system, and
restrictions on screens or files permitted to be accessed. Paper
records are stored in locked cabinets.
Retention and disposal:
Records generated by inserting the badge for entry and exit,
e.g., badge number, date, time, and location of entry into or exit
from the DOJ buildings, are maintained for a period of twelve months
and are destroyed by overwriting with new information. Other records
are retained until such time as the record subject has no need to
enter the DOJ buildings, except that letters of request are retained
for three months.
System manager(s) and address:
Director, Security and Emergency Planning Staff, Department of
Justice, Room 6525, 950 Pennsylvania Avenue, NW, Washington, DC
20530-0001.
Notification procedure:
Inquiries concerning this system should be in writing and made to
the system manager identified above.
Record access procedures:
Make all requests for access in writing to the System Manager at
the address identified above. Clearly mark the envelope and letter
``Privacy Act Request.'' Provide full name and date of birth, with a
notarized signature of the individual who is the subject of the
record, and a return address.
Contesting record procedures:
Direct all requests to contest or amend information in the record
to the System Manager at the address identified above. State clearly
and concisely the information being contested, the reason for
contesting it, and the proposed amendment thereof. Clearly mark the
envelope ``Privacy Act Request.'' The record must be identified in
the same manner as described for making a request for access.
Record source procedures:
Individuals covered by the system.
Systems exempted from certain provisions of the act:
None.
JUSTICE/JMD-016
System name:
Employee Assistance Program (EAP) Counseling and Referral
Records, Justice/JMD-016.
System location:
Records are maintained by the JMD EAP staff. Interested parties
wishing to correspond regarding records should direct their inquiries
to the EAP System Manager, DOJ EAP and Worklife Group Assistant
Director, Justice Management Division, U.S. Department of Justice,
950 Pennsylvania Ave. NW, Washington, DC 20530, or call (202) 514-
1846.
Categories of individuals covered by the system:
Current and former employees of the Offices, Boards, Divisions
and occasionally Bureaus of the Department (as listed at 28 CFR 0.1),
including the Office of the Inspector General, the Executive Office
of the U.S. Trustees, the Executive Office for Immigration Review and
the Office of Justice Programs, who have sought counseling or have
been referred for counseling or treatment through the EAP. To the
limited degree that counseling and referral may be provided to family
members of these employees, these individuals are covered by the EAP
System. The remainder of this notice will refer to all persons
covered by the System as ``EAP client(s).''
Categories of records in the system:
Records include any record, written or electronic, which may
assist in diagnosing, evaluating, counseling and/or treating an EAP
client, or resolving an EAP client's complaint or management's
concerns (management consultation) regarding the EAP client's
performance, attendance, or conduct problems. Included are the EAP
counselor's intake/termination and outcome documents; case notes;
pertinent psychosocial, medical and employment histories; medical
tests or screenings, including drug and alcohol tests and information
on positive drug tests generated by the staff of the Drug Free
Workplace Program or treatment facilities from which the EAP client
may be receiving treatment; treatment and rehabilitation plans;
behavioral improvement plans; and records of referrals. Referrals
include those to community treatment resources and social service
agencies that provide legal, financial or other assistance not
related to mental health or general medical services. Where clinical
referrals have been made, records may include relevant information
related to counseling, diagnosis, prognosis, treatment and
evaluation, together with follow-up data that may be generated by the
community program providing the relevant services. Other records
included in the system are the written consent forms used to permit
the disclosure of information outside the EAP. Records may also
include account information, such as contractor billings and
government payments, when EAP services are provided by an EAP
contractor.
Authority for maintenance of the system:
42 U.S.C. sec. 290dd-2; 42 CFR part 2; 5 U.S.C. 3301, 7361, 7362,
7901 and 7904; 44 U.S.C. 3101; Executive Order 12564; and Pub. L.
100-71, 101 Stat. 391, sec. 503 (July 11, 1987).
Purpose(s):
Records are maintained to document the work performed by the EAP
on behalf of the EAP client and to allow for the tracking of the EAP
client's progress and participation in the EAP or community programs.
These records may also be used to track compliance with Abeyance or
Last Change Agreements that include treatment options, in which the
EAP is an integral part of establishing and/or monitoring treatment
compliance as directed by the EAP client. Routine uses of records
maintained in the system, including categories of users and purposes
of such uses:
In addition to those disclosures permitted by the Privacy Act
itself, 5 U.S.C. 552a(b), relevant information may be disclosed from
this system of records without EAP client consent as follows: \1\
1. To appropriate State or local authorities to report, where
required under State law, incidents of suspected child, elder or
domestic abuse or neglect.
2. To any person or entity to the extent necessary to prevent an
imminent crime which directly threatens loss of life or serious
bodily injury.
3. To JMD contractors that provide counseling and other services
through referrals from the EAP staff to the extent that it is
appropriate, relevant, and necessary to enable the contractor to
perform his or her counseling, treatment, rehabilitation, and
evaluation responsibilities.
4. To any person who is responsible for the care of an EAP client
when the EAP client to whom the records pertain is mentally
incompetent or under legal disability.
5. To any person or entity to the extent necessary to meet a bona
fide medical emergency.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in this system is maintained on paper and computer
discs which are stored in locked GSA-approved security containers.
Retrievability:
Records are indexed and retrieved by identifying number or
symbol, cross-indexed to EAP client names.
Safeguards:
Paper records and computer discs are kept in locked GSA-approved
security containers, and the computer discs are password protected.
Only EAP staff will have access to the records. Records may be
reviewed by any EAP staff member as may be needed to provide EAP
services. No record may be released by the DOJ EAP staff without
prior approval of the DOJ EAP System Manager.
Retention and disposal:
Records are retained for three years after the EAP client ceases
contact with the counselor (in accordance with General Records
Schedule No. 1, Item No. 26) unless a longer retention period is
necessary because of administrative or judicial proceedings. In such
cases, the records are retained for six months after the conclusion
of the proceedings. Paper records are destroyed by shredding, which
must be performed by an EAP staff member. Computer discs are erased,
degaussed or physically destroyed by an EAP staff member.
System manager(s) and address:
DOJ EAP and Worklife Group Assistant Director, Justice Management
Division, U.S. Department of Justice 950 Pennsylvania Ave. NW,
Washington, DC 20530, (202) 514-1846.
Notification procedure:
Some as Record Access Procedures.
Record access procedures:
Make all requests for access in writing to the EAP System Manager
identified above. Clearly mark the envelope and letter ``Freedom of
Information Act/Privacy Act Request.'' Provide the full name and
notarized signature of the individual who is the subject of the
record, the dates during which the individual was in counseling , any
other information which may assist in identifying and locating the
record, and a return address.
Contesting record procedures:
Director all requests to contest or amend information to the EAP
System Manager identified above. The request should follow the Record
Access Procedures, listed above, and should state clearly and
concisely the information being contested, the reason for contesting
it, and the proposed amendment thereof. Clearly mark the envelope and
letter ``Freedom of Information Act/Privacy Act Request.''
Record source categories:
Records are generated by EAP personnel, referral counseling and
treatment programs or individuals, the EAP client who is the subject
of the record, the personnel office and the EAP client's supervisor.
In the case of drug abuse counseling, records may also be generated
by the staff of the Drug-Free Workplace Program and the Medical
Review Officer.
Exemptions claimed for this system:
None.
JUSTICE/JMD-017
System name:
Department of Justice (DOJ) Employee Transportation Management
System, Justice/JMD-017.
System location:
Records are located in the offices of the Employee Transportation
Coordinator of the respective DOJ components as listed in Appendix I
of Part 16, 28 CFR. Records may also be maintained at individual DOJ
facilities or regional offices.
Categories of individuals covered by the system:
Covered are any individuals who may apply for or participate in
the ridesharing, parking, or transportation benefit programs of the
DOJ. The term ``transportation benefits'' include the transit subsidy
program and the transportation fringe benefits (tax exclusion)
program. Individuals include: (1) DOJ employees and other federal and
non-federal agency employee applicants for, and/or recipients of
ridesharing information; (2) DOJ applicants for and/or recipients of
parking privileges; (3) DOJ and other federal and non-federal agency
employees, who may participate as riders in the parking program with
DOJ employees who have applied for or who have been granted parking
privileges; (4) DOJ applicants for, and/or recipients of,
transportation benefits and authorized use of home-to-work
transportation.
DOJ employee applicants and recipients may include former DOJ
employees; non-federal employees may include private sector and other
state and local government employees.
Categories of records in the system:
Records in the system include any records necessary to carry out
the responsibilities authorized by law related to parking,
ridesharing, and transportation benefit programs.
Paper records may include DOJ car/vanpool parking space
applications and written requests for executive, unusual and
handicapped parking assignments; ridesharing applications which
provide or request application information related to availability
for car/vanpools, and/or which provide or request similar information
related to potential car/vanpool members; transportation benefit
program applications and certifications; correspondence to
applications; documentation of usage; tax information related to
participation in the transportation benefit programs; Clean Air Act
information and paperwork documenting compliance with state
requirements; and administrative reports--including status reports
and reports of disbursements to transportation benefit program
participants.
Paper records may also include the notifications described under
``Routine Uses of Records Maintained in the System, * * *.''
Computer records may include data from the employee applications
and/or from personnel records. Data from personnel records may
include any data needed to process an application--such as that
needed to verify employment, e.g., federal service computation data,
organization code, or that needed to identify parking assignments or
fare subsidies that are no longer valid, e.g., separation date.
Authority for maintenance of the system:
5 U.S.C. 301; Executive Order 12191 of February 1, 1980, on the
Federal Facility Ridesharing Program; the Federal Employees Clean Air
Incentives Act (5 U.S.C. 7905), effective January 1, 1994; Treatment
of Employer-Provided Transportation Benefits (26 U.S.C. 132 et seq.),
effective December 31, 1992; the Clean Air Act (42 U.S.C. 7418)
regarding employee-owned vehicles operated on federal facilities; and
transportation benefit programs required by Executive Order 13150.
Purpose(s):
Information in the system will be used to assign, manage, and
control the use of vehicle parking spaces and the issuance of
transportation benefits; to assist employees and the public in
forming car/vanpools; to ensure compliance with the clean Air Act;
and to ensure the integrity of the parking and transportation benefit
programs of the Department of Justice and other federal agencies by
validating parking assignments and transportation benefit program
requests.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Relevant records may be disclosed:
(1) As is necessary to respond to congressional inquiries on
behalf of constituents;
(2) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of Title 44 U.S.C. 2904 and 2906;
(3) To DOJ employees to enable them to contact other individuals
covered by this system of records for the purpose of forming or
participating in car/vanpool.
(4) To federal agencies and/or to the Metropolitan Council of
Governments, and similar organizations, to enable such
organizations--through coordinating efforts with other federal
agencies--to provide information to any person for the purpose of
contacting any individuals covered by this system of records in order
to form or participate in a car/vanpool. Disclosure may include a
list of program participants or, where appropriate, it may relate to
only one or multiple individuals.
(5) To state transportation organizations, in summary form, in
compliance with Clean Air Act requirements and Departmental
guidelines.
(6) To federal agencies and DOJ parking and transportation
benefit program managers. Parking spaces may be assigned according to
a variety of established priorities among federal agencies and, in
some instances, according to specific criteria, e.g., carpools with
the greatest number of participants (except in a tie). Therefore,
these disclosures would enable other federal agencies and DOJ to
review the validity of parking space assignments, identify and take
appropriate action with respect to those who violate parking
assignment policies (as set forth in published agency operating
procedures and policies), and thus allocate spaces fairly. In
addition, because transportation benefits are offered to encourage
the use of public transportation for those not allocated parking
privileges, such disclosures would also enable other federal agencies
and DOJ to ensure that both parking privileges and transportation
benefits are not provided to the same employee(s), unless otherwise
authorized.
(7) To federal agencies, DOJ may also provide information as
follows:
DOJ Employee Information:
(a) Upon request, either a list of DOJ employees, or an
affirmative, negative or ``non-DOJ employee'' response as to whether
or not a DOJ employee(s) (or name represented to be a DOJ employee)--
is listed as a participant (or as an applicant) in DOJ's parking or
transportation benefit programs; or is authorized to use a DOJ
vehicle for home-to-work transportation (or has requested such
authorization). Disclosure is made to enable that federal agency to
determine or validate a DOJ employee's eligibility to participate in
its parking program.
(b) Upon DOJ initiative, either a DOJ employee name(s) or a list
on which DOJ employees are named as participants (or as applicants)
in DOJ's parking or transportation benefit programs, or as employees
authorized to use a DOJ vehicle for home-to-work transportation (or
as employees who have requested such authorization). Disclosure is
made to elicit an affirmative or negative response as to whether such
DOJ employee(s) participate with another federal agency employee in
that agency's parking program (or have requested such participation),
and thus enable DOJ to determine or validate DOJ employee eligibility
for any form of DOJ parking privileges, or for DOJ transportation
benefits.
Other Federal Agency Employee Information:
(c) Upon request, either a list of another federal agency's
employees or an affirmative or negative response as to whether or not
such employee(s) participate (or have requested participation) in
DOJ's parking program. Disclosure is made to enable that agency to
determine or validate eligibility for any form of parking privileges,
or transportation benefits, for its employees.
(d) Upon DOJ initiative, either a federal agency employee name(s)
or a list on which such agency's employee(s) are named as
participating in DOJ's parking program (or has requested such
participation). Disclosure is made to elicit from that agency an
affirmative, negative, or ``non-employee'' response as to whether
such employee(s) participate (or have requested participation) in
that agency's parking or transportation benefit programs, or are
authorized to use a vehicle for home-to-work transportation (or have
requested such authorization), and thus enable DOJ to determine or
validate other federal agency employee eligibility to participate in
DOJ's parking program.
(e) To the Internal Revenue Service any document which provides
information related to tax matters.
Non-Federal Employee Information:
(f) Upon request, either the name(s) or non-federal employees, a
list of names, or a list which includes their name(s). Disclosure is
made to enable to the agency to determine whether a non-federal
employee may also be listed as a rider in DOJ's parking program and,
as a result, enable the agency to determine or validate parking
permit eligibility for its employees.
(g) Upon DOJ initiative, either the name(s) of non-federal
employees, a list of names, or a list which includes their name(s).
Disclosure is made to enable the DOJ to determine whether a non-
federal employees may also be listed as a rider in that agency's
parking program and, as a result, enable the DOJ to determine or
validate parking permit eligibility for DOJ employees.
(8) 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
[[Page 20685]]
accomplish an agency function related to this system of records.
(9) Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in hard copy from and/or electronically.
Retrievability:
Records may be retrieved by individual name, social security
number, residential zip code, vehicle tag number, vehicle type, or
other information from the application or personnel records. Records
may be retrieved by name or other identifier directly and/or by
asking the system to segregate a list, by name, of those who work for
a particular DOJ component. Former DOJ employee names are retrieved
by asking the system to segregate a list, by name, of those parking
participants who have separated from employment with DOJ. Other
federal agency employee names are retrieved by asking the system to
segregate a list, by name, of those parking participants who are
identified as employees of a particular federal agency. Non-federal
agency employee names may be similarly segregated.
Safeguards:
These files are stored in locked file cabinets in secured
facilities, and access is restricted to personnel having an official
need. Automated records are protected through computer password
security.
Retention and disposal:
Automated data is deleted from a data base within 180 days after
any recordkeeping documents have been produced when the individual
covered by the system no longer participates in the Employee
Transportation Management program, e.g., when the employee is no
longer on the ridesharing listing; is no longer a member of a car/
vanpool; or, no longer receives a transportation benefit. Parking
permit credentials shall be destroyed three months after the parking
permits have either expired or been returned (General Records
Schedule 11). Documents relating to the administration of the transit
subsidy program and the transportation fringe benefit program shall
be destroyed after the documents are three years old (General Records
Schedule 9). The Department has requested an exemption to the General
Records Schedule for documents supporting the transportation fringe
benefit program. If approved, the new Schedule item will be
incorporated in future revisions to this system of records.
System manager(s) and address:
Director, Facilities and Administrative Services Staff, Justice
Management Division, NPB Suite 1070, Department of Justice,
Washington, DC 20530.
Notification procedure:
Individuals wanting to know whether information about them is
maintained in this system of records may review their own
ridesharing, parking, transportation benefit, or other personal data
upon presentation of a picture identification card at the appropriate
address indicated under ``Records Access Procedures.''
Record access procedures:
Except as otherwise noted, employees of the Offices, Boards, and
Divisions (listed in appendix I of part 16, 28 CFR) may appear in
person or address their requests for access to: Employee
Transportation Coordinator, Facilities Administrative Services Staff,
Justice Management Division, NPB Suite 1070, Department of Justice,
Washington, DC 20530.
Except as otherwise noted, employees of the bureaus (listed in
appendix I of Part 16, 28 CFR) may appear in person or address their
requests for access to the following bureau officials, attention
Employee Transportation Coordinator:
Director, Bureau of Prisons, HOLC Building, 320 First Street,
NW., Washington, DC 20534
Administrator, Drug Enforcement Administration, 700 Army Navy
Drive, Arlington, VA 22202
Director, Federal Bureau of Investigation, J. Edgar Hoover
Building, 935 Pennsylvania Avenue, NW., Washington, DC 20535-0001
Commissioner, Immigration and Naturalization Service, 425 Eye
Street, NW., Washington, DC 20536
Director, U.S. Marshals Service, 600 Army Navy Drive, Arlington,
VA 22202.
In those cases where parking or transportation benefit records
are maintained at an individual DOJ facility or regional office, the
parking or transportation coordinator at that facility or office
should be contacted first.
Individuals who park in a DOJ building (or DOJ-leased space)
other than the one in which they work, may review their parking
record by presenting the required identification to the Employee
Transportation Coordinator at the appropriate building address.
Contesting record procedures:
Individuals may request changes to their own record by submitting
the proposed changes in writing at the appropriate address indicated
under ``Records Access Procedures.'' Individuals who submit proposed
changes to information provided by third parties should be prepared
to provide information supporting their contention that such third-
party information is erroneous.
Record source categories:
DOJ and other federal agency applicants; DOJ personnel records;
state transportation organizations; participating Department
components and other federal agencies.
System exempted from certain provisions of the act:
None.
JUSTICE/JMD-019
System name: Freedom of Information Act-Privacy Act (FOIA-PA)
Records System.
System location:
U.S. Department of Justice, Justice Management Division, 10th and
Constitution Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons who have made a request to access any Justice Management
Division (JMD) record relating to JMD functional responsibilities and
activities; individuals who have made a request to access or correct
records pertaining to themselves which they believed to be in JMD
systems of records; and persons who, on behalf of another individual,
have made a request to access or correct that individual's records
which they believed to be in JMD systems of records. Such requests
were made pursuant to the Freedom of Information Act, the Privacy
Act, or both.
Categories of records in the system:
Manual records contain Freedom of Information Act and Privacy Act
requests for JMD records, responses thereto, and where applicable, a
copy of the records requested and any other correspondence or
internal memoranda related to the processing of these requests.
Automated records (stored on disks) contain summary data such as the
date of request, name of requester, addressee, subject of request,
date request was received, JMD staff to which request were assigned,
date request was assigned, date response was due, control number, and
date of response.
Authority for maintenance of the system:
This system is established and maintained pursuant to 44 U.S.C.
3101 and is maintained to implement the provision of 5 U.S.C. 552 and
552a and the provision of 28 CFR 16.1 et. seq, and 28 CFR 16.40 et
seq.
Purpose(s):
To assist the Justice Management Division in carrying out its
responsibilities under the Freedom of Information Act and the Privacy
Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in the system may be disseminated as a a
routine use of such record as follows: (1) A record may be
disseminated to a Federal agency which furnished the record for the
purpose of permitting a decision as to access or correction to be
made by that agency, or for the purpose of consulting with that
agency as to the propriety of access or correction; (2) a record may
be disseminated to any appropriate federal, state, local, or foreign
agency for the purpose of verifying the accuracy of information
submitted by an individual who has requested amendment or correction
of records, contained in a system of records maintained by the
Justice Management Division.
Release of information to the news media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems or
records maintained by the Department of Justice 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.
Release of information to members of congress:
Information contained in systems of records maintained by the
Department of Justice, nor otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available to a Member of Congress or
staff acting upon the Members' 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.
Release of information to the National Archives and Records
Administration (NARA) and the General Service Administration (GSA):
A record from a system of records may be disclosed as a routine
use to NARA and GSA in records management inspections conducted under
the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual requests records are stored in locked safes. Automated
requests records are stored on disks.
Retrievability:
Requests records are filed and retrieved under the names of those
persons and individuals identified under the caption ``Categories of
individuals covered by the system. These records are retrieved by
Department personnel to perform their duties, e.g., when subsequent
requests are made by the public for copies of their previous requests
and responses thereto, or when the requester submits a supplemental
request to information clarifying a previous request.
Safeguards:
Access to requests records is limited to Department of Justice
personnel who have need for the records to perform their duties.
Request files (manual records) are stored in locked safes. All
records are stored in an office which is occupied during the day and
locked at night.
Retention and disposal:
Records are disposed of in accordance with items 16 through 18
and 25 through 28 of General Records Schedule 14.
System manager(s) and address:
Assistant Attorney General for Administration, U.S. Department of
Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Same as the System Manager.
Record access procedures:
A request to access a record in this system shall be made in
writing to the system manager named above with the envelope and
letter clearly marked ``Freedom of Information Act request'' or
``Privacy Act request.'' The requester shall include the full name of
the person who made a request, date of that request, name of official
to whom the request was addressed, and subject of the request. Where
applicable (Title 28 of the Code of Federal Regulations section
16.41(b) (2) and (3)), the requester shall also include the current
address, date and place of birth, and notarized signature of the
individual requesting a copy of his/her previous request and response
thereto. Where applicable (Title 5 of the United States Code, section
552a(b)), the requester shall also include a written statement
authorizing the Department to release these records to a third party.
In addition, the requester shall provide his return address.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the system manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
The sources of information contained in this system are the
individuals and persons making requests, the systems of records
searched in the process of responding to requests, and other agencies
referring requests for access to or correction of records originating
in the Justice Management Division.
Systems exempted from certain provisions of the act:
The Attorney General has exempted certain categories of records
in this system from subsections (c)(3) and (d) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(2). That is, the exemptions apply only
to the extent that other correspondence or internal memoranda
retained with the request file contain investigatory material for law
enforcement purposes. 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.
JUSTICE/JMD-021
System name:
Department of Justice (DOJ) Staffing and Classification System,
Justice/JMD-021.
System location:
The primary location of the system's server is at a DOJ
contractor site in Tacoma, Washington; sub-systems are located in
various offices within the Department of Justice (DOJ).
Categories of individuals covered by the system:
Non-Federal applicants applying for Federal employment; current
and former Federal employees.
Categories of records in the system:
Records in this system include: Applicant's name, social security
number, residence address, phone number, employment history, and
other personal information provided by the applicant in connection
with applying for Federal employment.
Authority for maintenance of the system:
This system is established and maintained under the authority of
sections 1104, 1302, 3301, 3304, 3320, and 3361, of Title 5 of the
United States Code; and Executive Order 9397.
Purpose(s):
This system is being established to evaluate applicants'
qualifications and to facilitate selection of positions, through a
subscription service to an internet based electronic recruitment
system. Supervisors and managers will review a list of eligible
applicants to fill position vacancies. Under the Paperwork Reduction
Act of 1995, (44 U.S.C. Chapter 35), Federal agencies are required by
October 21, 2003, to provide the public with alternate ways for
submitting and disclosing paperwork, such as, electronically, when
practicable. This streamlined process will be used primarily by Human
Resource offices to produce lists of eligibles for position
vacancies.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Pursuant to subsection (b)(3) of the Privacy Act, relevant and
necessary information may be disclosed from this system as follows:
A. In an appropriate proceeding before a court, grand jury, or
administrative or regulatory body when records are determined by DOJ
to be arguably relevant to the proceeding.
B. 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.
C. To the Office of Personnel Management for internal audits of
case files under the authority of 5 CFR 5.2(b).
D. 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.
E. To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff requests the information on behalf of
an individual who is the subject of the record.
F. To the 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.
G. Where a record, either on its face or in conjunction with
other information, indicates a violation or potential violation of
law, to any civil or criminal law enforcement authority or other
appropriate agency, whether Federal, State, local, foreign, or
tribal, charged with the responsibility of investigating or
prosecuting such a violation or enforcing or implementing a statute,
rule, regulation, or order.
H. To a Federal agency or entity that requires information
relevant to a decision concerning the hiring, appointment, or
retention of an employee, the issuance of a security clearance, the
conduct of a security or suitability investigation, or pursuit of
other appropriate personnel matter.
I. To a Federal, State, local, or tribal agency or entity that
requires information relevant to a decision concerning the letting of
a license or permit, the issuance of a grant or benefit, or other
need for the information in performance of official duties.
J. 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.
K. 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.
L. To such recipients and under such circumstances and procedures
as are mandated by federal statute or treaty.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records will be stored electronically at a DOJ contract site in
Tacoma, Washington, and a back-up tape will be stored at each DOJ
office site.
Retrievability:
Records are retrieved by the applicant name, social security
number, or other unique identifier.
Safeguards:
The electronic records are secured with state-of-the art security
management and firewall technology and are protected on a twenty-four
hours a day basis with intrusion detection monitoring using Internet
Security Systems (ISS) Real Secure. Data is protected by encryption.
Access is restricted to those who have a user identification,
password, certificate of authentication, and permissions created and
maintained by the JMD Personnel Staff.
Retention and disposal:
Records are to be retained and disposed of in accordance with the
agency retention plan; the National Archives and Records
Administration, General Records Schedule 1; and Part 293 of Title 5,
Code of Federal Regulations.
System manager(s) and address:
Director of Human Resources, JMD Personnel Staff, U.S. Department
of Justice, 950 Pennsylvania Ave, NW., Washington, DC 20530.
Notification procedure:
To determine whether the system may contain records relating to
you, write to the Director of Human Resources, JMD Personnel Staff,
identified above.
Record access procedures:
Address access requests to the Director of Human Resources, JMD
[[Page 54783]]
Personnel Staff, at the address provided above. Include the name or
number of the system of records; your full name and address and other
information as instructed in 28 CFR 16.41(d); a description of
information being sought; and a time frame during which the records
may have been generated.
Contesting record procedures:
Individuals contesting or amending information should direct
their request to the Director of Human Resources, JMD Personnel
Staff, listed above, stating clearly and concisely what information
is being contested, the reason for contesting it, and the proposed
amendment to the information sought.
Record source categories:
Information contained within the Department of Justice
Classification and Staffing System is obtained from applicants or
current/former employees.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
Environment and Natural Resources Division
JUSTICE/ENRD--001
System name:
Appraisers, Approved Attorneys, Abstractors and Title Companies
Files Database System.
Security classification:
Unclassified.
System location:
U.S. Department of Justice, Environment and Natural Resources
Division, Land Acquisition Section, 601 Pennsylvania Avenue, NW,
Washington, DC 20004.
Categories of individuals covered by the system:
(1) Appraisers who have prepared real property appraisals, whose
work has been reviewed by the Appraisal Unit, Environment and Natural
Resources Division, in conjunction with anticipated or pending
litigation. (2) Attorneys, title abstractors, and title insurance
companies that have applied and been deemed qualified to prepare
title evidence for land acquisitions by the United States.
Categories of records in the system:
This system includes automated records relating to (1) the
qualifications of appraisers who have provided real estate appraisals
to the Appraisal Unit, Environment and Natural Resources Division, in
conjunction with anticipated or pending litigation; and (2) records
relating to title evidence providers, including applications,
supporting information, and information relating to qualifications
received by the Environment and Natural Resources Division.
Authority for maintenance of the system:
Authority to establish and maintain this system is contained in
28 U.S.C. 509 and 510, 28 CFR part O, subpart M, and 40 U.S.C. 257 et
seq., which authorize the Attorney General to conduct litigation,
particularly proceedings for condemnation of property, and 5 U.S.C.
301 and 44 U.S.C. 3101, which authorize the Attorney General to
create and maintain federal records of agency activities.
Purpose(s):
(1) Appraisal information is maintained so that an appraiser's
credentials, experience, and performance can be referenced and
evaluated when the Division seeks an appraiser for work in
anticipated or pending litigation. (2) Title evidence information is
maintained so that a provider's performance can be referenced when
the Division seeks a qualified provider for work being reviewed.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
(1) Records may be disclosed to the National Archives and Records
Administration in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
(2) Records relating to attorneys, abstractors, or title
companies may be disclosed to other Federal agencies to help them
hire such professionals.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is kept on a computer database.
Retrievability:
Information is retrieved by name of the subject, Department of
Justice case number, appraisal review number, or land unit number.
Safeguards:
Only employees of the Land Acquisition Section with access to the
Division computer system have access to the system of records.
Retention and disposal:
Records are retained during their useful life subject to National
Achieves and Records administration record retention schedules.
System manager(s) and address:
Chief, Land Acquisition Section, Environment and Natural
Resources Division, U.S. Department of Justice, 601 Pennsylvania
Avenue, NW., Washington, DC 20004.
Notification procedure:
Address inquiries to the FOIA/Privacy Act Coordinator;
Environment and Natural Resources Division; Policy, Legislation and
Special Litigation Section; PO Box 4390; Ben Franklin Station;
Washington, DC 20044-4390.
Record access procedures:
Submit in writing all requests for access, and clearly mark the
envelope and letter, ``Privacy Act Access Request.'' Include in the
request you full name, data and place of birth, case caption, or
other information which may assist in locating the records you seek.
Also include your notarized signature and a return address. Direct
all access requests to the the FOIA/Privacy Act Coordinator;
Environment and Natural resources Division; Policy, Legislation and
Special Litigation Section; PO Box 4390, Ben Franklin Station,
Washington, DC 20044-4390.
Contesting record procedures:
If you wish to contest or amend information maintained in the
system, Direct your request to the FOIA/PA Coordinator Stating
Clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information you seek.
Record source categories:
The record subject is the principal record source. The sources
may be supplemented by others having knowledge of the subject's
professional qualifications.
Exemptions claimed for the system:
None.
JUSTICE/ENRD-003
System name: Environment and Natural Resources Division Case
and Related Files System.
Security classification: Unclassified.
System location: Environment and Natural Resources Division, U.S.
Department of Justice, 950 Pennsylvania Ave., NW, Washington, DC
20530; DC offices (601 D Street, NW, Washington, DC 20004; 601
Pennsylvania Ave., NW, Washington, DC 20004; 1425 New York Ave., NW,
Washington, DC 20005; 801 Pennsylvania Ave., NW, Washington, DC
20004); field offices (in Anchorage, AK; Sacramento, CA; San
Francisco, CA; Denver, CO; Newton Corner, MA; and Seattle, WA); and
Federal Records Center, Suitland, MD 20409.
Categories of individuals covered by the system: (a) Individuals
being investigated in anticipation of civil or criminal suits; (b)
Individuals involved in civil or criminal suits; (c) Defense or
plaintiff's counsel(s); (d) Information sources; (e) Individuals
relevant to the development of civil or criminal suits, including
expert and other witnesses; (f) Individual plaintiffs or defendants;
and (g) Attorneys, paralegals, and other employees of the Environment
and Natural Resources Division directly involved in these cases or
matters.
Categories of records in the system: (1) Records in this system
are established and maintained for litigation and related activities
by the Environment and Natural Resources Division, including, but not
limited to, the protection, use and development of natural resources
and public lands, wildlife protection, Indian rights and claims,
cleanup of hazardous waste sites, acquisition of private property for
federal use, prosecution of environmental crimes, enforcement of
environmental laws, and defense of environmental challenges to
government programs and activities. The case files contain court
records (such as briefs, motions, and orders), inter-agency and
intra-agency correspondence, legal research, and other related
documents. These records may include civil investigatory and/or
criminal law enforcement information and information classified
pursuant to Executive Order to protect national security interests.
(2) Summary information of these cases or matters (such as names of
principal parties or subjects, court docket numbers, status, and
attorney assignments) is maintained in an automated case management
system (CMS). (3) A timekeeping function for attorneys, paralegals,
and other employees of the Environment and Natural Resources Division
supplements the automated case management system.
Authority for maintenance of the system: Authority to establish
and maintain this system is contained in 5 U.S.C. 301 and 44 U.S.C.
3101, which authorize the Attorney General to create and maintain
federal records of agency activities.
Purpose(s): Case records are maintained to litigate or otherwise
resolve civil or criminal cases or matters handled by the Environment
and Natural Resources Division. The automated case tracking and
timekeeping system are maintained to manage and evaluate the
Division's litigation and related activities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(a) In any case in which there is an indication of a violation or
potential violation of law (civil, criminal, or regulatory in
nature), the record may be disseminated to the appropriate federal,
state, local, tribal, or foreign agency charged with the
responsibility of investigating, defending or pursuing such
violation, civil or criminal claim or remedy, or charged with
enforcing, defending or implementing such law;
(b) In the course of investigating a potential or actual
violation of any law, or during the course of (or in preparation for)
a trial or hearing for such a violation, a record may be disseminated
to an individual, agency or organization, if there is reason to
believe that such individual, agency or organization possesses
relevant information relating to the investigation (or trial or
hearing) and the dissemination is reasonably necessary to elicit
information or to obtain the cooperation of a witness or an agency;
(c) A record relating to a case or matter may be disseminated in
a federal, state, local, or tribal administrative or regulatory
proceeding or hearing in accordance with the procedures governing
such proceeding or hearing;
(d) A record relating to a case or matter may be disseminated to
an actual or potential party of his or her attorney, or a third party
neutral, for the purpose of negotiation or discussion on such matters
as settlement of the case or discussion on such matters as settlement
of the case or matter, and for formal or informal discovery
proceedings;
(e) A record relating to a case or matter that has been referred
by an agency for investigation, civil or criminal action, enforcement
or defense, 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;
(f) A record relating to a case or matter may be disseminated to
a foreign country, through the United States Department of State or
directly to the representative of such country, pursuant to an
international treaty or convention entered into and ratified by the
United States or to an executive agreement;
(g) A record may be disseminated to a foreign country, through
the Department of Justice Civil Division, United States Department of
State, or directly to the representative of such country, to the
extent necessary to assist such country in general crime prevention,
the pursuit of civil or criminal judicial actions or general civil
regulatory or administrative actions, or to provide investigative
leads to such country, or assist in the location and/or returning of
witnesses and other evidence;
(h) A record, or facts derived from it, may be disclosed in a
grand jury proceeding or in a proceeding before a court or
adjudicative body before which the Environment and Natural Resources
Division is authorized to appear when the United States, or any of
its agencies or subdivisions, is a party to litigation, and the
Environment and Natural Resources Division has determined that such
records are arguably relevant to the litigation;
(i) Information permitted to be released to the news media and
the public pursuant to 28 CFR 50.2 (Department of Justice regulations
setting forth guidelines for disclosure of information to the media)
may be made available from this system of records 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;
(j) A record may be disseminated to a federal, state, or local
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant, or other benefit by
the requesting agency, to the extent that the information relates to
the requesting agency's decision on the matter;
(k) Pursuant to Subsection b(12) of the Privacy Act, records
relating to an individual who owes an overdue debt to the United
States may be disseminated to a federal agency which employs the
individual; a consumer reporting agency; a federal, state, local or
foreign agency; or the Internal Revenue Service (IRS);
(l) Information contained in this system of records may be made
available to a Member of Congress or staff acting upon the Member's
behalf when the Member or staff requests the information on the
behalf of and at the request of the individual who is the subject of
the records, even if the information would not otherwise be available
under the Freedom of Information Act, 5 U.S.C. 552.
(m) Records may be disclosed to the National Archives and Records
Administration in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
(n) Information may be released to complainants or victims to the
extent necessary to provide such persons with information and
explanations concerning the progress or results of the investigation
or case arising from their complaint or involvement as a victim.
(o) Timekeeping records may be disclosed to opposing parties and
to courts in litigation regarding litigation costs.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Disclosure to consumer reporting agencies: See Routine Use (k) listed
above.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records of the system:
Storage: All information, except that specified in this paragraph,
is recorded on computer files or basic paper/cardboard material that
is stored in file folders, file cabinets, shelves, or safes. Some
material is recorded and stored on other data processing storage
forms.
Retrievability: Information is retrieved primarily by name of the
case or person, case number, complaint number or court docket number.
Information within this system of records may be accessed by
Environment and Natural Resources Division employees by means of the
Case Management System (CMS) or successor systems.
Safeguards: Information in the system is both confidential and
nonconfidential and located in file cabinets in the Environment and
Natural Resources Division offices in Washington, D.C., and field
office locations. Information also is located in litigation support
contract document centers and off-site storage locations.
Confidential materials are in locked file drawers and safes, and
nonconfidential materials are in unlocked file drawers. Offices are
secured by either Federal Protective Service or private building
guards. Information that is retrievable by Environment and Natural
Resources Division personnel trained to access the Case Management
System (CMS) or the time-keeping system or successor systems within
various Environment and Natural Resources Division offices is
password protected and required access to the Department's secure
Justice Consolidated Office Automation Network (JCON).
Retention and disposal: Records are retained or disposed of after
a case is closed in accordance with a retention and disposal schedule
approved by the National Archives and Records Administration. The
time period that records are maintained ranges from 10 years after a
matter is closed to permanently.
System manager(s) and address: The System Manager is the Assistant
Director, Office of Information Technology, in coordination with the
Office of Planning and Management's Records Management Unit.
Notification procedure: Address inquiries to the FOIA/Privacy Act
Coordinator; Environment and Natural Resources Division; Policy,
Legislation and Special Litigation Section; PO Box 4390; Ben Franklin
Station; Washington, DC 20044-4390.
Record Access Procedures: Portions of this system are exempt from
disclosure and contest by 5 U.S.C. 552a(j)(2), (k)(1) and/or (k)(2).
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. Submit in writing all requests for
access, and clearly mark the envelope and letter, ``Privacy Act
Access Request.'' Include in the request your full name, date and
place of birth, case caption, or other information which may assist
in locating the records you seek. Also include your notarized
signature and a return address. Direct all access requests to the
FOIA/Privacy Act Coordinator; Environment and Natural Resources
Division; Policy, Legislation and Special Litigation Section; PO Box
4390, Ben Franklin Station, Washington, DC 20044-4390.
Contesting record procedures: Portions of this system are exempt
from this requirement under 5 U.S.C. 552a(j)(2), (k)(1) and/or
(k)(2). An individual may contest those records that are not subject
to exemption. A determination whether a record is exempt from contest
shall be made at the time a request for contest is received. If you
wish to contest or amend information maintained in the system, direct
your request to FOIA/PA Coordinator stating clearly and concisely
what information is being contested, the reasons for contesting it,
and the proposed amendment to the information you seek.
Record source categories: Sources of information contained in this
system include, but are not limited to investigative reports of
client agencies of the Department of Justice; discovery materials;
other than non-Department of Justice forensic reports; statements of
witnesses and parties; verbatim transcripts of depositions and court
proceedings; data, public reports, memoranda and reports from the
court and agencies thereof; and the work product of Environment and
Natural Resources Division Attorneys, Department of Justice
attorneys, investigators, staff, and legal assistants working on
particular cases or matters.
Exemptions claimed for the system: The Privacy Act authorizes an
agency to promulgate rules to exempt any system of records (or part
of a system of records) from certain Privacy Act requirements, if the
system of records is maintained by an agency which performs as its
principal function any activity pertaining to the enforcement of
criminal laws (5 U.S.C. 552a(j)(2)); it is investigatory material
compiled for law enforcement purposes (5 U.S.C. 552a(k)(2)); or it is
required by Executive Order to be kept secret in the interest of
national defense or foreign policy (5 U.S.C. 552a(k)(1).
Under these authorities, the Attorney General has promulgated
rules to exempt those records in this system that pertain to the
enforcement of criminal laws, that are investigatory materials
compiled for law enforcement purposes, or that are classified secret
by an Executive Order, from the following Privacy Act requirements:
(1) The requirement under (c)(3) to make available to the individual
named in the record an accounting of the circumstances under which
records about the individual were disclosed; (2) the requirement
under (e)(1) to maintain only such information about an individual
that is relevant and necessary to accomplish a purpose of the agency;
and (3) the requirement under (f) to establish agency procedures to
respond to an individual's request for information about himself. The
Attorney General also has promulgated a rule to exempt records in
this system compiled for criminal enforcement purposes from these
additional requirements: (1) The requirement under (c)(4) to inform
any party or agency that received an individual's records about any
subsequent corrections made to the record; (2) the requirement under
(e)(2) to collect information to the greatest extent practicable
directly from the individual when the information may result in
adverse determinations about an individual's rights, benefits and
privileges under Federal programs; (3) the requirement under (e)(3)
to inform each individual from whom information is collected of the
authority for the information the principal purposes for the
information, the routine uses, and the effects, if any, of not
providing the information; (4) the requirement under (e)(5) to
maintain all records with such accuracy, relevance, timeliness and
completeness as is reasonably necessary to assure fairness to the
individual, (5) the requirement under (e)(8) to make reasonable
efforts to serve notice on an individual when any record on the
individual is made available to any person under compulsory legal
process when that process becomes a matter of public record; and (6)
the authority under (g) providing that individuals may bring a civil
action against the agency for violations of the Privacy Act.
JUSTICE/LDN-006
System name: Citizens' Mail File.
System location: U.S. Department of Justice, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system: All private
persons whose correspondence is directly or indirectly routed to the
Land and Natural Resources Division for action or response.
Categories of records in the system: Alphabetized file, by last
name of correspondent, containing his/her correspondence and any
reply thereto; annual docket which identifies all mail received and
disposition thereof.
Authority for maintenance of the system: This file is maintained
pursuant to requirements for maintenance of records by Federal
agencies (see 44 U.S.C. 3101 et seq.).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: This file is
routinely consulted by personnel of the Land and Natural Resources
Division to determine past action on specific matters and to expedite
action on additional correspondence received from the individual file
subject.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use of the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information is stored in file folders in form received,
or in photostatic copies if additional referral for response has
become necessary.
Retrievability: Information is retrieved by alphabetized name of
the subject.
Safeguards: Information contained in the system is unclassified.
It is safeguarded in accordance with Departmental rules and
procedures governing Justice records.
Retention and disposal: Records are retained in the alphabetical
file for a year. At the end of that time, they are transferred to the
File Unit, Land and Natural Resources Division, where they are
segregated and refiled according to Department of Justice file number
and date. Records are subject to destruction 15 years after the
pertinent subject has ceased to be in an active status.
System manager(s) and address: Division Control Officer, Land and
Natural Resources Division, U.S. Department of Justice, PO Box 7415,
Washington, DC 20044.
Notification procedure: Address inquiries to the Assistant
Attorney General, Land and Natural Resources Division, U.S.
Department of Justice, PO Box 7415, Washington, DC 20044.
Record access procedures: A request for access to a record from
this system shall be made in writing to the system manager with the
envelope and the letter clearly marked ``Privacy Access Request.''
The request shall identify the system and sufficiently describe the
record sought.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to the System Manager listed above, stating clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Record source categories: Sources of information contained in this
system are the individual subjects with whom correspondence is
conducted, and in appropriate cases, those agencies furnishing
information to assist in responding to the subjects.
Systems exempted from certain provisions of the act: None.
DEPARTMENT OF JUSTICE
National Drug Intelligence Center
JUSTICE/NDIC-001
System name: National Drug Intelligence Center Data Base
(JUSTICE/NDIC-001).
System location:
The primary location of the system will be the National Drug
Intelligence Center, 319 Washington Street, 5th Floor, Johnstown, PA
15907. In addition, information in the NDIC Data Base will be
retrieved at the NDIC Washington area office, located at Suite 1001,
8201 Greensboro Drive, McLean, VA 22102.
Categories of individuals covered by the system:
1. Individuals suspected of, charged with, or convicted of,
illicit narcotic trafficking or activities related thereto.
2. Non-implicated persons with pertinent knowledge of some
circumstances or aspect of a case or record subject; such persons may
include witnesses or associates of record subjects.
Categories of records in the system:
Records may contain any information, including but not limited to
personal identification data, which may assist the National Drug
Intelligence Center (NDIC) in fulfilling its responsibilities to
collect, consolidate, analyze, and coordinate multi-source drug
intelligence data from all national security and law enforcement
agencies; to produce information regarding the structure, finances,
communications and activities of drug trafficking organizations and
their memberships; and to make such information available, as
appropriate, to domestic and foreign law enforcement agencies and to
agencies of the U.S. foreign intelligence community. Information will
include any data that may assist law enforcement agencies and
agencies of the U.S. foreign intelligence community in executing
their responsibilities with respect to counterdrug enforcement,
including identification, location, arrest and prosecution of persons
for narcotics trafficking and related activities and civil
proceedings related to such enforcement activities. Such information
may be derived from investigative and intelligence reports prepared
by law enforcement agencies and agencies of the U.S. foreign
intelligence community, from documents or other record media seized
by law enforcement agencies and made available to NDIC for
exploitation, and publicly available information such as media
reports and commercially acquired data bases. Records may also
include information on persons not implicated in narcotics
trafficking or related activities, but with pertinent knowledge of
some circumstance of a case or record subject. Such records may
contain any information, including but not limited to personal
identification data, which may assist NDIC in discharging its
responsibilities generally, e.g., information which may assist in
identifying and locating such persons.
Authority for maintenance of the system:
Sec. 9078, Pub. L. 102-396.
Purpose(s):
This system of records will allow the NDIC to collect and
consolidate information from multiple sources, including law
enforcement agencies and agencies of the U.S. foreign intelligence
community, in order to be able to produce a more complete picture of
the activities of drug trafficking organizations and their
memberships than any one such agency can produce by itself. The
system will enable NDIC to provide the results of its analyses and
other relevant information acquired by it, to Federal, State, and
local law enforcement and regulatory agencies, to certain foreign law
enforcement agencies, and to agencies of the U.S. foreign
intelligence community, to assist them in fulfilling their
responsibilities with respect to enforcement of law related to drug
trafficking, including civil proceedings related to enforcement of
such laws.
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:
1. To the appropriate Federal, State, local, or foreign agency
responsible for investigating, enforcing, or implementing a statute,
rule, regulation, or order, to the extent that the information is
relevant to the recipient's law enforcement function.
2. To the Department of Defense, and components thereof, to
support its role in the detection and monitoring of the
transportation of illegal drugs into the United States or such other
roles in support of counterdrug law enforcement as may be permitted
by law.
3. To individuals or organizations, including Federal, State,
local or foreign agencies, in the course of counterdrug law
enforcement efforts, to the extent necessary to elicit information
pertinent to counterdrug law enforcement.
4. To the news media, to the extent releasable in accordance with
28 CFR 50.2, and provided, in each case, that release of the specific
information in that situation would not constitute an unwarranted
invasion of personal privacy.
5. To the Department of State, and to agencies of the U.S.
foreign intelligence community, to further the efforts of those
agencies with respect to the national security and foreign affairs
aspects of international drug trafficking.
6. To Members of Congress, or their staffs acting upon the
Members' behalf, when they request the information on behalf of and
at the request of the individuals who are the subjects of the
respective records.
7. To the National Archives and Records Administration and the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on computer at NDIC's headquarters in
Johnstown, Pennsylvania and retrieved both there and at NDIC's
Washington area office. Some information, including investigative
files and information incorporated into analytical products, may be
retained in hard copy format in file folders.
Retrievability:
Access to individual records is gained by use of data retrieval
capabilities of computer software acquired and developed for
processing of information in the NDIC Data Base. Data will be
retrieved through a number of criteria, including personal
identifying information such as name.
Safeguards:
The NDIC Data Base is protected by both physical security methods
and dissemination and access controls. Fundamental in all cases is
that all access to information is limited by a system of password and
access control to those NDIC personnel or representatives of other
agencies with a demonstrated and lawful need to know the information
in order to perform assigned functions. All NDIC personnel capable of
accessing the NDIC Data Base will have successfully passed a
background investigation, and access by such persons will be limited
to those having a ``need to know.'' All accesses to the data base,
both internal and external, will be electronically recorded, and such
records will be reviewed periodically to ensure against inappropriate
access. The NDIC Data Base will be retained within a 24-hour guarded
facility which is secured by intruder alarms and other appropriate
physical security devices.
Retention and disposal:
A schedule for the retention and disposal of these records is
under review and development.
System manager(s) and address:
Director, National Drug Intelligence Center, 319 Washington
Street, 5th Floor, Johnstown, PA 15907.
Notification procedures
Inquires should be addressed to: Chief, Administration Branch,
National Drug Intelligence Center, 319 Washington Street, 5th Floor,
Johnstown, PA 15907.
Record access procedures:
Same as above.
Contesting record procedures
Same as above.
Record source categories:
Information provided by Federal, State, local and foreign law
enforcement agencies; agencies of the U.S. foreign intelligence
community; and open sources, such as broadcast and print media and
publicly available data bases.
Systems exempted from certain provisions of the act
The Attorney General has exempted this system from subsections
(c)(3) and (4); (d); (e)(1), (2) and (3); (e)(4)(I); (e)(5) and (8);
and (g) pursuant to 5 U.S.C. 552a(j)(2). In addition, the Attorney
General has exempted the system from subsections (c)(3), (d), (e)(1)
and (e)(4)(I) pursuant to 5 U.S.C. 552a(k) (1) and (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.
DEPARTMENT OF JUSTICE
Office of Intelligence Policy and Review
JUSTICE/OIPR-001
System name:
Policy and Operational Records System.
System location:
U.S. Department of Justice, 10 Street and Constitution Avenue,
NW, Washington, DC 20530.
Categoriesof individuals covered by the system:
Individuals whose activities are the subject of a properly
authorized foreign intelligence, foreign counterintelligence or
terrorism investigation, or when an individual's activities form the
crux of a foreign or counterintelligence policy or operational
question.
Categories of records in the system:
The system of records contains notes, memoranda, legal opinions
and reports acquired or produced by OIPR in the course of executing
its assigned functions. Included in this system are recommendations
to the Attorney General concerning Attorney General authorizations
for physical searches, pursuant to Executive Order 12333, and
electronic surveillance abroad of United States persons, also
pursuant to E.O. 12333, that are requested by entities within the
Intelligence Community. In addition, this system will contain
requests, manuscripts, reports and memoranda pertaining to the
prepublication review, for national security information, of
Department of Justice employee materials.
Authority for maintenance of the system:44 U.S.C. 3101, 3103, 3105;
28 CFR 0.33a-0.33c.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records is routinely used
by OIPR attorneys in responding to intelligence policy questions and
in performing the duties ascribed to OIPR. A record or information
from a record maintained in this system of records may also be
disseminated as a routine use of such records as follows: (1) To any
federal, state or local court, department, officer, agency,
regulatory body or other authority, or to any party or representative
of a party to a proceeding in the above forums in accordance with the
Federal Rules of Civil Procedure or the Federal Rules of Criminal
Procedure where appropriate; (2) to a federal agency or agencies that
submit policy or operational questions to OIPR, but only to persons
within those agencies who hold appropriate security clearances; (3)
to the National Archives and Records Administration (NARA) in records
management inspections conducted under 44 U.S.C. 2904 and 2906; (4)
to the news media and the public pursuant to 28 CFR 50.2, unless it
is determined that release of the information in the context of a
particular case would constitute an unwarranted invasion of personal
privacy; and (5) for information not otherwise required to be
released pursuant to 5 U.S.C. 552, to a Member of Congress or staff
acting upon the Member's behalf when the Member or staff requests the
information on behalf of, or at the request of, the individual who is
the subject of the record.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Information is stored manually in file jackets.
Retrievability:
Information is retrieved through the use of a subject matter
index that includes the names of a few individuals.
Safeguards:
The informaiton is stored in combination safes in a limited
access area and is maintained according to applicable Department of
Justice security regulations.
Retention and disposal:
Records in this sytem will be retained and disposed of in
accordance with a record disposition schedule currently under
development, which will be submitted to NARA for approval.
System manager(s) and address:
Counsel for Intelligence Policy, US Department of Justice, 10th
Street and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Address any inquiries to the System Manager listed above.
Record access procedure:
The major part of this system is exempted from this requirement
under 5 U.S.c. 5523a(j)(2), (k)(1) 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 exemption shall be made at
the time a request for access is received. A request for access to
records contained in this sytem shall be made in writing, with the
envelope and letter clearly marked Privacy Act
Request. The request should include the full name of the
individual involved, the individual's current address, date and place
of birth, and his or her signature which shall be notarized or made
pursuant to 28 U.S.c. 1746 as an unsworn declaration, along with any
other information which may be of assistance in locating and
identifying the record. The requester will also provide a return
address for transmitting the information. Access requests will be
directed to the System manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in this system include
investigative reports of federal law enforcement and intelligence
agencies that are client agencies of the Department of Justice,
occasional information from state, local or foreign governments, and
the work products of Department of Justice and federal attorneys.
Systems exempted from certain provisions of the Act:
The Attorney General has proposed exemption of this system from 5
U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)H),
(e)(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a(J)(2), (k)(1) and (k)(2). Rules have been promulgated in
accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and
are codified in the Code of Federal Regulations.
JUSTICE/OIPR-002
System name:
Foreign Intelligence and Constitution Avenue, NW, Washington, DC
20530.
System location:
US Department of Justice, 10th Street and Constitution Avenue,
NW, Washington, DC 20530.
Categories of individuals covered by the system:
Individuals who are the subject of applications for electronic
surveillance docketed by the Foreign Intelligence Surveillance Court
(FISC).
Categories of records in the system:
This system of records consists of folders containing FISA
applications, supporting documentation, and FISC orders or Attorney
General certifications, as appropriate.
Authority for maintenance of the system:
44 U.S.C. 3101, 3103, 3105; 28 CFR 0.33a-0.33c.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record or information from a record maintained in this system
of records may be disseminated as a routine use of such record as
follows: (1) To any court, department, officer, agency, regulatory
body or other authority of theUnited States, a state or a political
subdivision thereof, or to any aggrieved person or representatives of
an aggrieved person, during the course of a trial, heaaring or other
proceeding in accordance with FISA, 50 U.S.C. 1801, et seq.; (2) to
the Administrative Office of the United States Court and to Congress
in accordance with FISA; (3) to the extent information in this system
of records is not subject to FISA, to any federal, state or local
court, department officer, agency, regulatory body or other
authority, dor to any other party or representative of a party to
aproceeding in the above forums in accordance with the Federal Rules
of Civil Procedure or the Federal Rules of Criminal Procedure where
appropriate; (4) to the National Archives and Records Administration
(NARA) in records management inspections conducted under 44 U.S.C.
2904 and 2906; (5) to the news media and the public pursuant to 28
CFR 50.2, unless it is determined that release of the information in
the context of a particular case would constitute an unwarranted
invasion of personal privacy; and (6) for information not otherwise
required to be released pursuant to 5 U.S.C. 552, to a Member of
Congress or staff acting upon the Member's behalf when the Member or
staff requests the information on behalf of, or at the request of,
the individual who is the subject of the record.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Information is stored manually in file jackets.
Retrievability:
Information is retrieved by the name of the actual or proposed
target of the electronic surveillance.
Safeguards:
The information is stored in combination safes in a limited
access area and is maintained according to FISC and Department of
Justice security regulations.
Retention and disposal:
Records in this system will be retained and disposed of in
accordance with a record disposition schedule currently under
development, which will be submitted to NARA for approval.
System manager(s) and address:
Counsel for Intelligence Policy, US Department of Justice, 10th
Street and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Address any inquiries to the System Manager listed above.
Record access procedure:
The major part of this system is exempted from this requirement
under 5 U.S.c. 5523a(j)(2), (k)(1) 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 exemption shall be made at
the time a request is received. request for access to records
contained in this system shall be made in writing, with the envelope
and letter clearly marked Privacy Act
Request.The request should include the full name of the
individual involved, the individual's current address, date and place
of birth, and his or her signature which shall be notarized or made
pursuant to 28 U.S.C. 1746 as an unsworn declaration, along with any
other information which may be of assistance in locating and
identifying the record. The requester will also provide a return
address for transmitting the information. Access requests will be
directed to the System manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in this system include
investigative reports of federal law enforcement and intelligence
agencies that are client agencies of the Department of Justice,
information from state, local or foreign governments, and the work
products of Department of Justice attorneys.
Systems exempted from certain provisions of the Act:
The Attorney General has proposed exemption of this system from 5
U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)H),
(e)(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2), (k)(1) and (k)(2). Rules have been promulgated in
accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and
are codified in the Code of Federal Regulations.
JUSTICE/OIPR-003
System name:
Litigation Records System.
System location:
US Department of Justice, 10th Street and Constitution Avenue,
NW, Washington, DC 20530.
Categories of individuals covered by the system:
Individuals who have been overheard on a foreign intelligence
electronic surveillance conducted by the United States pursuant to
the Foreign Intelligence Surveillance Act of 1978, 50 U.S.C. 1801 et
seq. (FISA) and who are now involved in litigation in which an issue
has been raised concerning this surveillance.
Authority for maintenance of the system:
44 U.S.C. 3101, 3103, 3105; 28 CFR 0.33a-0.33c.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record or information from a record maintained in this system
of records may be disseminated as a routine use of such record as
follows: (1) To any court, department, officer, agency, regulatory
body or other authority of the United States, a state or a political
subdivision thereof, or to any aggrieved person or representatives of
an aggrieved person, during the course of a trial, heaaring or other
proceeding in accordance with FISA; (2) to the extent information in
this system of records is not subject to FISA, to any federal, state
or local court, department, officer, agency, regulatory body or other
authority, or to any other party or representative of a party to a
proceeding in the above forums in accordance with the Federal Rules
of Civil Procedure or the Federal Rules of Criminal Procedure where
approproate; (3) to the National Archives and Records Administration
(NARA) in records management inspections conducted under 44 U.S.C.
2904 and 2906; (4) to the news media and the public pursuant to 28
CFR 50.2, unless it is determined that release of the information in
the context of a particular case would constitute an unwarranted
invasion of personal privacy; and (5) for information not otherwise
required to be released pursuant to 5 U.S.C. 552, to a Member of
Congress or staff acting upon the Member's behalf when the Member or
staff requests the information on behalf of, or at the request of,
the individual who is the subject of the record.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Information is stored manually in file jackets.
Retrievability:
Information is retrieved by the caption of the litigation, which
caption often includes a personal identifier listing the parties to
the court action.
Safeguards:
The information is stored in combination safes in a limited
access area and is maintained according to applicable Department of
Justice and Foreign Intelligence Surveillance Court (FISC) security
regulations.
Retention and disposal:
Records in this system will be retained and disposed of in
accordance with a record disposition schedule currently under
development, which will be submitted to NARA for approval.
System manager(s) and address:
Counsel for Intelligence Policy, US Department of Justice, 10th
Street and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Address any inquiries to the System Manager listed above.
Record access procedure:
The major part of this system is exempted from this requirement
under 5 U.S.C. 5523a(j)(2), (k)(1) 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 exemption shall be made at
the time a request is received. request for access to records
contained in this system shall be made in writing, with the envelope
and letter clearly marked Privacy Act
Request.The request should include the full name of the
individual involved, the individual's current address, date and place
of birth, and his or her signature which shall be notarized or made
pursuant to 28 U.S.C. 1746 as an unsworn declaration, along with any
other information which may be of assistance in locating and
identifying the record. The requester will also provide a return
address for transmitting the information. Access requests will be
directed to the System manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in this system include
applications to the FISC and supporting documents that include
information from federal law enforcement agencies and occasionally,
information from state, local or foreign governments, information
from courts and the work product of Justice and other attorneys.
Systems exempted from certain provisions of the Act:
The Attorney General has proposed exemption of this system from 5
U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)H),
(e)(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2), (k)(1) and (k)(2). Rules have been promulgated in
accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and
are codified in the Code of Federal Regulations.
DEPARTMENT OF JUSTICE
Office of Justice Programs
JUSTICE/OJP-001
System name: Equipment Inventory.
System location:
Office of Justice Programs, 633 Indiana Avenue NW, Washington, DC
20531.
Categories of individuals covered by the system:
Employees who have filed the following forms in the Office of the
Comptroller: Property Sign-out, OJARS Administrative Form 1820/1;
Equipment Control Records, OJARS Administrative Form 1820/2.
Categories of records in the system:
Property Sign-out, OJARS Administrative Form 1820/1; Equipment
Control Records, OJARS Administrative form 1820/2.
Authority for maintenance of the system:
The system is established and maintained in accordance with 5
U.S.C. 301, 1302.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The property data is used for inventory control.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in system is stored on index cards.
Retrievability:
Information is retrieved by name of employee and type of
equipment.
Safeguards:
Data is maintained in a locked room.
Retention and disposal:
Documents relating to equipment control are closed when employee
leaves agency. Records are destroyed three years thereafter.
Operating files are destroyed when an individual resigns, transfers,
or is separated from Federal service.
System manager(s) and address:
Comptroller, Office of the Comptroller, Office of Justice
Programs, 633 Indiana Avenue NW, Washington, DC 20531.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from the system shall be in
writing, with the envelope and letter clearly marked ``Privacy Access
Request.'' Access requests will be directed to the System Manager
listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Individual to whom record pertains, employee's supervisors.
Systems exempted from certain provisions of the act:
None.
JUSTICE/OJP-002
System name: Law Enforcement Education System.
System location: Law Enforcement Assistance Administration, 633
Indiana Avenue NW, Washington, DC 20531.
Categories of individuals covered by the system: Recipients of LEAA
Law Enforcement Education Loans and Grants.
Categories of records in the system: LEEP Master Computer File;
LEEP Promissory Note File; LEEA Form 03.
Authority for maintenance of the system: The system is established
and maintained pursuant to 42 U.S.C. 3775
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: To contractors for
categories and statistical analysis, educational institutions for
record reconcillation, IRS and references listed on application for
address verification, references in bankruptcy for claim action,
State and local agencies to verify eligibility.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice unless it is determined that release of the
specific information in the context of a particular case would
consitute an unwarranted invasion of personal privacy.
Release of information to Members of Congress, Information
contained in systems of records maintained by the Department of
Justice not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available to a Member of Congress or staff acting
upon the Member's behalf when the Members or staff requests the
information on behalf of and at the requests of the individual who is
the subject of the record.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information maintained in the system is stored on computer
magnetic tape and folders.
Retrievability: Information is retrievable by name of recipient and
social security number.
Safeguards: Computerized information is safeguarded and protected
by computer password key and limited access. Noncomputerized data is
safeguard in file room which is locked after business hours. Access
is limited to LEAA authorized personnel.
Retention and disposal: Computerized records are kept indefinitely.
Uncollected loans/grants are transferred to GAO as soon as determined
uncollectable. Cancelled or repaid loan/grants are closed at end of
fiscal year, held three years, sent to Federal Records Center and
destroyed in accordance with instructions from GAO.
System manager(s) and address: Comptroller, Office of Justice
Assistance Research, and Statistics; 633 Indiana Avenue NW,
Washington, DC.
Notification procedure: Same as above.
Record access procedures: A request for access to a record from
this system shall be made in writing, with the envelope and the
letter clearly marked ``Privacy Access Request.'' Include in the
request the name and personal identifer number. Access requests will
be directed to the System Manager listed above.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to System Manager listed above, stating clearly and concisely
what information is being contested, the reasons for contesting it,
and the proposed amendment to the information sought.
Record source categories: Sources of information are the recipients
of loans/grants and their educational institutions.
Systems exempted from certain provisions of the act: None.
JUSTICE/OJP-004
System name: Grants Management Information System (PROFILE).
System location:
Office of Justice Programs, 633 Indiana Avenue, NW, Washington,
DC 20531
Categories of individuals covered by the system:
Included are recipients (grantees) of OJP funds. These include
grantees of the National Institute of Justice, the Bureau of Justice
Statistics, the Bureau of Justice Assistance, the Office of Juvenile
Justice and Delinquency Prevention, the Office of Victims of Crime,
and the now defunct Office of Justice Assistance, Research, and
Statistics, and the Law Enforcement Assistance Administration. Also
included are project monitors and project directors of these grants.
Categories of records in the system:
Grantee and Project Audit File, Financial and Programmatic
Compliance Records of the Grantee, Grant Applications, and Grant/
Contract Award Computer Data File.
Authority for maintenance of the system:
The system is established and maintained in accordance with
U.S.C. 301, 44 U.S.C. 3101, and 31 U.S.C. 3512.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records from this system of records may be disclosed for the
purpose of technical review and fiscal or program evaluation to
experts in particular subject areas related to the substantive or
fiscal components of the program.
Release of Information in an Adjudicative Proceeding:
It shall be a routine use of records within this system or any
facts derived therefrom, to disseminate them in a proceeding before a
court or adjudicative body before which the OJP is authorized to
appear, when
i. The OJP, or any subdivision thereof, or
ii. Any employee of the OJP in his or her official capacity, or
iii. Any employee of the OJP in his or her individual capacity,
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the OJP determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the OJP to be arguably relevant to the litigation.
Release of Information to the News Media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of Information to Members of Congress:
Information contained in systems of records maintained by the
Department of Justice not otherwise required to be released pursuant
to 5 U.S.C. 522, may be disclosed as a routine use 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
individuals who are the subject of the record.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA). A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is stored on computer disc
for use in a computer environment.
Retrievability:
Data is retrievable by name of individual covered by the system.
Safeguards:
Information in the system is safeguarded and protected by
computer password key. Direct access is limited to computer
personnel.
Retention and disposal:
Data is maintained for current fiscal year and previous fiscal
years in master file. Data is not destroyed, but maintained for
historical purposes.
System manager(s) and address:
Comptroller, Office of Justice Programs, 633 Indiana Avenue, NW,
Washington, DC 20531.
Notification procedure:
Same as above.
Record access procedures:
A request for access to a record from this system shall be made
in writing with the envelope and letter clearly marked ``Privacy
Access Request.'' Include in the request the name and grant/contract
number. Access requests will be directed to the System Manager listed
above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their requests to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in the system are grantees,
applicants for award, and OJP project monitors.
Systems exempted from certain provisions of the act:
None.
JUSTICE/OJP-005
System name: Financial Management System.
System location:
Office of Justice Program (OJP), 633 Indiana Avenue, NW,
Washington, DC 20531.
Categories of individuals covered by the system:
Recipients of OJP, OJARS, LEAA, NIL, BIS, and OJJDP funds;
Employees.
This system contains information concerning (a) current and past
recipients of OJP funds, including those from the National Institute
of Justice, the Bureau of Justice Assistance, the Bureau of Justice
Statistics, the Office of Juvenile Justice and Delinquency
Prevention, the Office for Victims of Crime, and the now defunct
Office of Justice Assistance, Research and Statistics, and Law
Enforcement Assistance Administration; (b) OJP employees; and (c) all
individuals on whom vouchers are submitted requesting payment for
goods or services rendered (except payroll vouchers for Department of
Justice employees), including vendors, contractors, travelers, and
employees.
Categories of records in the system:
Employee Travel Files; Time and Attendance Files: Government
Travel System and Government Charge Cards; Government Transportation
Request; Paid Vendor Documents File, all vouchers processed, i.e.,
all documents required to reserve, obligate, process and effect
collection or payment of funds. (Excluded from the system are payroll
vouchers.)
Authority for maintenance of the system:
5 U.S.C. 301, 31 U.S.C. 3512, and 44 U.S.C. 3101.
Purpose(s):
After processing the vouchers, OJP and the Justice Management
Division use the records to maintain individual financial
accountability; to furnish statistical data (not identified by
personal identifiers); to meet both internal and external audit and
reporting requirements; and to provide Administrative Officers from
the Offices, Boards, and Divisions and the OJP with information on
vouchers by name and social security number for agency financial
management.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Release of information in an adjudicative proceeding:
It shall be a routine use of records within this system or any
facts derived therefrom, to disseminate them in a proceeding before a
court or adjudicative body before which the OJP is authorized to
appear, when
i. The OJP, or any subdivision thereof, or
ii. Any employee of the OJP in his or her official capacity, or
iii. Any employee of the OJP in his or her individual capacity,
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the OJP determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the OJP to be arguably relevant to the litigation.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Service Administration
(GSA). A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computerized discs, filed folders.
Retrievability:
Name, social security numbers, digital identifiers assigned by
accounting office.
Safeguards:
Information contained in the system is unclassified and
maintained in accordance with OJP procedures. Manual information in
the system is safeguarded in locked file cabinets. Operational access
to information maintained on computer discs is controlled by password
key. These keys are issued only to employees who have a need to know
to perform job functions relating to financial management and
accountability. Access to manual files is also limited to employees
who have a need for the records in the performance of their official
duties.
Retention and disposal:
Employee travel files, time and attendance files and Government
transportation files are closed at end of fiscal year, held three
years thereafter.
Payment documents are retained for three fiscal years (current
and two years). The payment documents and the aforementioned files
are then shipped to a General Services Administration's Federal
Records Center for storage and subsequent destruction in accordance
with instructions of the General Accounting Office. Computerized
discs are retained indefinitely.
System manager(s) and address:
Comptroller, Officer of Justice Programs, 633 Indiana Avenue,
NW., Washington, DC 20531.
Notification procedure:
Same as above.
Record access procedures:
A request for access to a record from this system shall be made
in writing with the envelope and letter clearly marked ``Privacy
Access Request.'' Access requests will be directed to the System
Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendments
to the information sought.
Record source categories:
Sources of information contained in the system are the
individuals to whom the information pertains.
Systems exempted from certain provisions of the act:
None.
JUSTICE/OJP-006
System name: Congressional and Public Affairs System.
System location:
Office of Justice Programs (OJP), 633 Indiana Avenue, NW,
Washington, DC 20531.
Categories of individuals covered by the system:
Members of Congress, and other public figures.
Categories of records in the system:
Correspondence with Congressional Committees, members of
Congress, and the general public. The file also contains biographical
data, speeches, press releases, and photograph files relating to
public figures.
Authority for maintenance of the system:
The system is established and maintained in accordance with 5
U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in this system is used or may be used in response to
inquiries from the general public or member of Congress.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is indexed on a correspondence control log and stored
in file folders.
Retrievability:
Information is retrieved by name of the member of Congress who is
the correspondent, or by the name of the public figure.
Safeguards:
Records are maintained in file cabinets. Entrance to the building
is controlled by required employee identification or security
clearance procedures. Records are used by employees on a need to know
basis only.
Retention and disposal:
Records are retained for two years, then retired to Federal
Records Center. Six years thereafter records are destroyed.
System manager(s) and address:
Director, Office of Congressional and Public Affairs, Office of
Justice Programs, 633 Indiana Avenue NW, Washington, DC 20531.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from the system shall be in
writing, with the envelope and letter clearly marked ``Privacy Access
Request.'' Access requests will be directed to the System Manager
listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information are Congressional members.
Systems exempted from certain provisions of the act:
None.
JUSTICE/OJP-007
System name: Public Information System.
System location: Office of Justice Assistance, Research and
Statistics, 633 Indiana Avenue NW, Washington, DC 20531.
Categories of individuals covered by the system: Public figures.
Categories of records in the system: Biographical, Morgue, and
Speech files, Photograph files.
Authority for maintenance of the system: The system is maintained
and established in accordance with 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Available to the
public under the Freedom of Information Act.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information maintained in system is stored in file
folders.
Retrievability: Information is retrieved by name of person to whom
information pertains.
Safeguards: This information is of a nonconfidential nature and
maintained pursuant to LEAA Handbook Instruction HB 1330.2.
Retention and disposal: Records are retained for four years,
retired to Federal Records Center, and destroyed pursuant to Disposal
Instructions in LEAA Handbook Instruction HB 1330.2.
System manager(s) and address: Director, Office of Public
Information, Office of Justice Assistance, Research and Statistics,
633 Indiana Avenue NW, Washington, DC 20531.
Notification procedure: Same as the above.
Record access procedures: A request for access to a record from the
system shall be in writing, with the envelope and letter clearly
marked ``Privacy Access Request.'' Access requests will be directed
to the System Manager listed above.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to the System Manager listed above, stating clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Record source categories: Newspaper, magazine and press service
teletype clippings as well as individual to whom information
pertains.
Systems exempted from certain provisions of the act: None.
JUSTICE/OJP-008
System name: Civil Rights Investigative System.
System location:
Office of Justice Programs (OJP).
Categories of individuals covered by the system:
Individuals affected by any OJP project for which the agency has
compliance responsibility, including grantees, subgrantees,
contractors, subcontractors, employees, and applicants, who have made
complaints of discrimination. OJP includes the National Institute of
Justice, the Bureau of Justice Statistics, the Bureau of Justice
Assistance, the Office of Juvenile Justice and Delinquency
Prevention, and the Office for Victims of Crime. Also included are
individuals who are the subjects of civil rights compliance records
of the now defunct Office of Justice Assistance, Research, and
Statistics, and the Law Enforcement Assistance Administration.
Categories of records in the system:
Civil Rights Complaint Control Files: Civil Rights Litigation
Reference Files.
Authority for maintenance of the system:
42 U.S.C. 3789d, 42 U.S.C. 10604(e), 29 U.S.C. 794, 42 U.S.C.
2000d, 20 U.S.C. 1681, 42 U.S.C. 5601, and 42 U.S.C. 1601.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
OJP uses information in this system to investigate complaints and
to obtain compliance with civil rights laws. Other such users of the
information are appropriate State agencies, Civil Rights Division of
the Justice Department, State Governors and Attorneys General, Office
of Federal Contract Compliance, Equal Employment Opportunity
Commission, Office of Federal Revenue Sharing, and the United States
Commission on Civil Rights, Department of Health and Human Services,
Department of Education and OJP. OJP may also use this information
for agency project evaluation, technical assistance, and training.
Release of information in an adjudicative proceeding:
It shall be a routine use of records within this system or any
facts derived therefrom, to disseminate them in a proceeding before a
court or adjudicative body before which the OJP is authorized to
appear, when
i. The OJP, or any subdivision thereof, or
ii. Any employee of the OJP in his or her official capacity, or
iii. Any employee of the OJP in his or her individual capacity,
where the Department of Justice has agreed to represent the employee,
or
iv. The United States, where the OJP determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the OJP to be arguably relevant to the litigation.
Release of information to the news media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of information to members of congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA):
A record from a system of records may be disclosed as a routine
use to NARA and GSA in records management inspections conducted under
the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in the system is stored in file folders and on index
cards.
Retrievability:
Information is retrieved by name of the individual or
organization against whom the complaint is made.
Complaint case files are not retrievable by information
indentifiable to the individual complainant.
Safeguards:
Information is kept in locked file cabinets and combination safe.
Access is limited to investigative personnel.
Retention and disposal:
All investigative information is destroyed ten years after the
investigation is completed.
System manager(s) and address:
Office of Civil Rights Compliance, Office of Justice Programs,
633 Indiana Avenue NW, Washington, DC 20531.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record containing civil rights
investigatory material shall be made in writing with the envelope and
letter clearly marked ``Privacy Access Request'' to the Civil Rights
System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
The information contained in this system was received from
individual complainants, witnesses, grant files, respondents,
official State and Federal records.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsection (d)
of the Privacy Act 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.
JUSTICE/OJP-009
System name: Federal Advisory Committee Membership Files.
System location:
Office of Justice Programs (OJP), 633 Indiana Avenue NW,
Washington, DC, 20531.
Categories of individuals covered by the system:
Individuals who have been or are presently members of or are
being considered for membership on advisory committees within the
jurisdiction of the OJP.
OJP includes the former Office of Justice Assistance, Research,
and Statistics, the former Law Enforcement Assistance Administration,
National Institute of Justice, Bureau of Justice Assistance, Office
of Juvenile Justice and Delinquency Prevention, and the Office of
Victims of Crime.
Categories of records in the system:
Correspondence, documents relating to committee members,
biographical data, and Committee membership forms.
Authority for maintenance of the system:
Federal Advisory Committee Act, 5 U.S.C. App. I et seq.; 5 U.S.C.
301; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Annual Report to the President; administrative reports to OMB and
other federal agencies.
Release of information to the news media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of Information to the National Archives and Records
Administration (NARA) and the General Services Administration (GSA).
A record from a system of records may be disclosed as a routine
use to NARA and GSA in records management inspections conducted under
the authority of 44 U.S.C. 2904 and 2906.
Release of Information to Congress.
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in system is stored in file folders.
Retrievability:
Information is retrieved by name of individual.
Safeguards:
Data is maintained in file cabinets. The entrance to the building
requires building pass or security sign-in.
Retention and disposal:
The data is placed in an inactive file upon discontinuance of
membership, held for two years and then retired to the Federal
Records Center.
System manager(s) and address:
Federal Advisory Committee Officer, Office of General Counsel,
Office of Justice Programs, 633 Indiana Avenue, NW, Washington, DC
20531.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from this system shall be made
in writing, with the envelope and the letter clearly marked ``Privacy
Access Request.'' Access requests will be directed to the System
Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information are supplied directly by individuals about
whom the record pertains, references, recommendations, program
personnel, and biographical reference books.
Systems exempted from certain provisions of the act:
None.
JUSTICE/OJP-010
System name: Technical Assistance Resource Files.
System location:
Office of Juvenile Justice and Delinquency Prevention, 633
Indiana Avenue NW, Washington, DC 20531.
Categories of individuals covered by the system:
Consultants with expertise in criminal justice systems.
Categories of records in the system:
The system consists of resumes and other documents related to
technical assistance requests.
Authority for maintenance of the system:
The system is maintained under authority of 44 U.S.C. 3101 and 42
U.S.C. 5614(b)(6).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The system is used to determine the qualifications and
availability of individuals for technical assistance assignments.
Users are State Criminal Justice Councils, and the Office of Juvenile
Justice and Delinquency Prevention.
Release of information to the new medias:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of information to members of Congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and the General Services Administration:
A record from a system of records may be disclosed as a routine
use to NARA and GSA in records management inspections conducted under
the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information contained in the system is on hard copy and stored in
file cabinets.
Retrievability:
Information is manually retrieved by the name of the individual.
Safeguards:
Records are stored in file cabinets. Admittance to the building
in which they are stored requires a building pass or an individual
signature at the main entrance to the building.
Retention and disposal:
Records are placed in an inactive file at the end of the fiscal
year in which final use was made. They are held two years in the
inactive file; then transferred to the Federal Records Center.
Records are destroyed after six years.
System manager(s) and address:
Technical Assistance Coordinator; Division Director of Program
area in which records are sought in the Office of Juvenile Justice
and Delinquency Prevention, Office of Justice Programs, 633 Indiana
Avenue NW, Washington, DC 20531.
Notification procedure:
Address inquiries to the system manager(s) at the above address.
Record access procedures:
A request for access to a record contained in this system shall
be made in writing with the envelope and letter clearly marked
``PRIVACY ACCESS REQUEST.'' Include in the request the name and
grant/contract number for the record desired. Access requests will be
directed to the system manager(s) listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their requests to the system manager(s)
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in this system are those
individuals to whom the information pertain.
Systems exempted from certain provisions of the act:
None.
JUSTICE/OJP-011
System name: Register Users File--National Criminal Justice
Reference Service (NCJRS).
System location:
National Criminal Justice Reference Service, 1600 Research Blvd.,
Rockville, MD 20850
Categories of individuals covered by the system:
The system contains information on those individuals engaged in
criminal justice activities, citizen groups and academicians.
Categories of records in the system:
The system provides a record of registrants who request reference
services and products from NCIRS.
Authority for maintenance of the system:
The system is maintained and established in accordance with 42
U.S.C. 3721.
Purpose(s):
Information in this system is used as a mailing list to supply
registrants requesting services from NCJRS with information or
products.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information permitted to be released to the news media and the
public pursuant to 29 CFR 50.2 may be made available 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.
Information, not otherwise required to be released pursuant to 5
U.S.C. 552, may be made available 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.
A record may be disclosed as a routine use to the National
Archives and Records Administration and the General Services
Administration in records management inspection conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is stored on magnetic disc pack for use in a computer
environment.
Retrievability:
Information is retrieved by the name and user identity number of
the individual or organization requesting information.
Safeguards:
Information is maintained in the NCJRS Data Services Center which
is a secured area. Special identity cards are required for admittance
to the area.
Retention and disposal:
Information is retained until the individual no longer wishes to
utilize the service. Upon notification by an individual that he no
longer wishes to use the service, or by lack of response of user to
Annual Renewals, his record is electronically purged from the film.
System manager(s) and address:
User Services Coordinator, National Criminal Justice Reference
Service, PO Box 6000, Rockville, MD 20850.
Notification procedure:
Address inquires to the system manager(s) at the above address.
Record access procedure:
A request for access to a record contained in this system shall
be made in writing with the envelope and letter clearly marked:
`PRIVACY ACCESS REQUEST.' Access requests will be directed to the
system manager(s) at the above address.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their requests to the system manager(s)
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources for the information contained in this system are those
individuals covered by the system.
Systems exempted from certain provisions of the act:
None.
JUSTICE/OJP-012
System name:
Public Safety Officers Benefits System.
System location:
Bureau of Justice Assistance, Office of Justice Programs, (OJP),
810 Seventh Street, NW, Washington, DC 20531.
Categories of individuals covered by the system:
Public Safety Officers who are permanently and totally disabled
by a traumatic injury in the line of duty and the surviving
beneficiaries of public safety officers who died while in the line of
duty.
Categories of records in the system:
This system contains an index by claimant survivor and deceased
or permanently and disabled Public Safety Officers; case files of
eligibility documentation; and benefit payment records.
Authority for maintenance of the system:
Authority for maintaining this system exists under 42 U.S.C. 3796
and 44 U.S.C. 3103.
Purpose(s):
Information contained in this system is used or may be used to
determine and record eligibility of Public Safety Officers under the
Public Safety Officers Benefits Act and the Federal Law Enforcement
Dependents Assistance Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records, or any information derived therefrom, may be disclosed
as follows: To State and local agencies to verify and certify
eligibility for benefits; to researchers for the purpose of
researching the cause and prevention of public safety officer line of
duty deaths; to appropriate Federal agencies to coordinate benefits
paid under similar programs; in a proceeding before a court or
adjudicative body before which the OJP is authorized the appear, when
i. The OJP, or any subdivision thereof, or ii. Any employee of the
OJP in his or her official capacity, or iii. Any employee of the OJP
in his or her individual capacity, where the Department of Justice
has agreed to represent the employee, or iv. The United States, where
the OJP determines that the litigation is likely to affect it or any
of its subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by the OJP to be arguably
relevant to the litigation; to the news media and the public pursuant
to 28 CFR 50.2 may be made available from systems of records
maintained by the Department of Justice 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; to
the National Archives and Records Administration (NARA) and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906; 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.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in this system is maintained on a master index, in
folders and in an automated information system.
Retrievability:
Information is retrieved by name of claimant, name of deceased or
disabled Public Safety Officer, and case file number.
Safeguards:
Computerized information is safeguarded and protected by computer
password key and limited access. Noncomputerized data is safeguarded
in locked cabinets. All files are maintained in a guarded building.
Retention and disposal:
Files are retained in the Public Safety Officer Benefits (PSOB)
Office on hard copy and on a computer network. Files will be disposed
of pursuant to OJP Handbook 1330.2A.
System manager(s) and address:
PSOB Program Officer, Bureau of Justice Assistance, Office of
Justice Programs, 810 Seventh Street, NW, Washington, DC 20531.
Notification procedure:
Same as above.
Record access procedures:
Request for access to a record from this system should be made in
writing with the envelope and the letter clearly marked ``Privacy
Access Request.'' Access requests will be directed to the System
Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above and state clearly and concisely what information is
being contested, the reason for contesting it and the proposed
amendment to the information sought.
Record source categories:
Public agencies including employing agency, beneficiaries,
educational institutions, physicians, hospitals, official state and
Federal Documents.
Systems exempted from certain provisions of the act:
None.
JUSTICE/OJP-13
System name:
Denial of Federal Benefits Clearinghouse System (DEBAR).
System location:
Office of Justice Programs; Denial of Federal Benefits Program
(DFBP), 810 Seventh Street NW, Washington, DC 20531.
Categories of individuals covered by the system:
Any individual convicted of a Federal or State offense involving
drug trafficking or possession of a controlled substance who has been
denied Federal benefits by Federal or State courts and any individual
convicted of defense-contract related felonies.
Categories of records in the system:
Records include any which are necessary to identify a person who
is convicted of drug trafficking or possession of a controlled
substance and sentenced by a State or Federal judge to a denial of
Federal benefits pursuant to 21 U.S.C. 862; convicted of a defense
contract-related felony and sentenced by a Federal judge to a denial
of Federal benefits pursuant to 10 U.S.C. 2408; and any records which
may be relevant to consideration of employment or other Federal
benefits. For example, included are current and prior offense and
arrest data such as type of offense for which the individual is being
placed on a list of ineligibles to receive benefits; court and
sentencing data, including community service sentencing, if any;
identification of benefits to be denied and status thereof, including
period of denial; and treatment data. Records also include court
orders, notices from U.S. Attorneys concerning convictions, Federal
agency benefit listings, and a log of groups or individuals
requesting information about an offender's denials.
Authority for maintenance of the system:
The system is established and maintained in accordance with 21
U.S.C. 862 and 10 U.S.C. 2408(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records, or any information derived therefrom, may be disclosed
as follows: to the General Services Administration (GSA) for
inclusion in the publication, ``Lists of Parties Excluded from
Federal Procurement and Nonprocurement Programs,'' more commonly
known as the ``Debarment List;'' to Federal agencies, certain private
entities, certain defense-related contractors and first-tier
subcontractors that require access to such records in order to verify
disqualifying convictions prior to awarding a Federal benefit, as
defined under 21 U.S.C. 862, or employment under 10 U.S.C. 2408(a);
to the sentencing court for verification purposes; in a proceeding
before a court or adjudicative body before which the OJP is
authorized to appear, when: i. The OJP, or any subdivision thereof;
or ii. Any employee of the OJP in his or her official capacity; or
iii. Any employee of the OJP in his or her individual capacity, where
the Department of Justice has agreed to represent the employee; or
iv. The United States, where the OJP determines that the litigation
is likely to affect it or any of its subdivisions, is a party to
litigation or has an interest in litigation and such records are
determined by the OJP to be arguably relevant to the litigation; to
the news media and the public pursuant to 28 CFR 50.2 may be made
available from systems of records maintained by the Department of
Justice, unless it is determined that release of the specific
information in a particular case would constitute an unwarranted
invasion of personal privacy; to a Member of Congress or a staff
person acting on the Member's behalf, when the Member or staff
officially requests the information on behalf of, and at the request
of, the individual who is the subject of the record; to the National
Archives and Records Administration (NARA) and the General Services
Administration (GSA) in records management inspections conducted
under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is stored in a database on a
secured computer network, as well as in manual file folders.
Retrievability:
Data is retrievable by name of individual, social security
number, and case number.
Safeguards:
Information contained in the system is maintained in accordance
with DFBP procedures. Manual information in the system is safeguarded
in locked file cabinets within a limited access room in a limited
access building. Access to manual files is limited to personnel who
have a need for files to perform official duties. Operational access
to information maintained on a dedicated computer system, is
controlled by levels of security provided by password keys to prevent
unauthorized entry, and an audit trail of accessed information.
Access is also limited to personnel who have a need to know to
perform official duties.
Retention and disposal:
Data is maintained for current and prior years in a master file.
Data is not destroyed, but maintained for historical purposes.
System manager(s) and address:
Director, DFBP, Office of Justice Programs, 810 Seventh Street,
NW, Washington, DC 20531.
Notification procedure:
Same as above.
Record access procedures:
A request for access to a record from the system shall be in
writing, with the envelope and letter marked ``Privacy Access
Request.'' Direct the access request to the System Manager listed
above. Identification of individuals requesting access to their
records will include fingerprinting (28 CFR 20.34).
Contesting records procedures:
An individual desiring to contest or amend information maintained
in the system should direct the request to the System Manager listed
above. The request should state clearly and concisely the information
being contested, the reasons for contesting the information, and the
proposed information amendment(s) sought.
Record source categories:
Sources of information contained in the system are Federal and
State courts, individuals convicted of certain drug offenses,
individuals convicted of defense-contract related felonies, United
States Attorneys, and Federal agencies.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
Office of Legal Counsel
JUSTICE/OLC-001
System name: Attorney Assignment Reports.
System location:
Office of Legal Counsel, U.S. Department of Justice, 10th and
Constitution Avenue, NW, Washington, DC.
Categories of individuals covered by the system:
Attorneys employed in the Office of Legal Counsel, U.S.
Department of Justice at the time each report was filed.
Categories of records in the system:
The system consists of memoranda addressed to the Assistant
Attorney General by each staff attorney at periodic intervals listing
current assignments. Some reports also list completed assignments,
projected workload and anticipated leave.
Authority for maintenance of the system:
These records are kept for administrative convenience pursuant to
5 U.S.C. 301 and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from the system is not used outside the Department
except to advise Executive Branch agencies as to the identity of the
attorney working on a specific assignment, when inquiry is made.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The Assistant Attorney General, each of his Deputies, the
Administrative Officer and the attorney who filed the report each
have copies. Some are retained chronologically in file folders, some
alphabetically in note books.
Retrievability:
Information may be retrieved by name, alphabetically, or
chronologically.
Safeguards:
Information is maintained in offices occupied during the day and
locked at night.
Retention and disposal:
The Assistant Attorney General's file is chronological and is
maintained for three months. Attorneys may retain their copies
indefinitely, others are kept for about two years and disposed of.
System manager(s) and address:
Assistant Attorney General, Office of Legal Counsel, U.S.
Department of Justice, 10th and Constitution Avenue, NW, Washington,
DC 20530.
Notification procedure:
Address inquiries to the System Manager, the Administrative
Officer or the two Deputies at the above address.
Record access procedures:
A request for access to a record from this system may be made in
person or in writing, specifying the name of the attorney and the
dates of reports requested.
Contesting record procedures:
Any requests for correction should be addressed to the System
Manager.
Record source categories:
Information is supplied by the attorneys employed by the Office
of Legal Counsel on the date the report is filed.
Systems exempted from certain provisions of the act:
None.
JUSTICE/OLC-002
System name: Office of Legal Counsel Central File.
System location:
U.S. Department of Justice, Office of Legal Counsel, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
The system will permit retrieval of information concerning
persons mentioned in the legal opinions, memoranda, correspondence,
testimony and other writings of the Office of Legal Counsel. These
will include:
(A) Addresses, authors and employees of the Office of Legal
Counsel whose name appears in memoranda, opinions, correspondence,
testimony and other writings of the Office;
(B) Individuals who are the subject of opinions, particularly on
such subjects as conflict of interest, employee standards of conduct,
and immigration;
(C) Attendees at meetings described in a memorandum included in
the file;
(D) Litigants and judges identified in connection with reported
court decisions and pending cases described in memoranda; and
(E) Other individuals identified in connection with questions
presented to the Office of Legal Counsel for resolution or comment.
Categories of records in the system:
The system consists of memoranda, correspondence, testimony and
other writings of the Office of Legal Counsel from 1945 to the
present.
Authority for maintenance of the system:
The system is maintained pursuant to the responsibilities of the
Office of Legal Counsel set forth in 28 CFR 0.25.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information contained in this system is provided to the following
categories of users for the purposes stated:
(A) Access to the computerized files of the Office of Legal
Counsel will be confined to employees of the Office of Legal Counsel
and other employees of the Department of Justice with specific
permission.
(B) With the approval of the agency that requested the opinion,
selected recent opinions of the Office of Legal Counsel will be
published for general use, but personal information about individuals
will be deleted if release of that information would constitute a
clearly unwarranted invasion of personal privacy;
(C) Unpublished opinions of the Office of Legal Counsel are
ordinarily made available upon request to third parties consistent
with the Freedom of Information Act.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The indices are maintained on 5 x 7 cards in a master subject-
matter index on all Office of Legal Counsel memoranda, opinions,
correspondence, testimony and other writings. In addition, to
facilitate Freedom of Information Act/Privacy Act searches, an
alphabetical assortment of cards has been established within the
immigration and conflict of interest opinion indices which contain
the names of individuals who are the subjects of these opinions.
These are, in effect, cross-indices to a small portion of the Office
of Legal Counsel's overall opinions that are otherwise indexed and
retrieved according to subject matter. These indices are maintained
to assist in the retrieval of opinions and memoranda from
chronological files. However, because the system is undergoing
gradual conversion to a computerized system to facilitate legal
research, some opinions are also now stored on magnetic disks. Even
though the software design creates the capability for name retrieval,
the purpose of the design is to facilitate retrieval by legal subject
matter and the Office of Legal Counsel will continue to utilize the
system in this manner.
Retrievability:
The alphabetical card index on conflict of interest and
immigration opinions will be retrieved by name. In addition, while
that information which has been entered into the computer to date may
be retrieved by name, all information, except that on conflict of
interest and immigration opinions, will ordinarily continue to be
retrieved by legal subject matter since the Office seldom has need to
focus on a name in legal research.
Safeguards:
Index cards and chronological files are kept in locked offices
when unattended. Access is restricted to those personnel with a need
to know.
The compilation of Office of Legal Counsel opinions available on
magnetic tape is subject to two access limitations designed to insure
that only authorized personnel of the Office of Legal Counsel have
access. First, the opinions in the computer system can be retrieved
only by those persons having a specified identification number, and
numbers are assigned only to personnel of the Office of Legal
Counsel. Second, there is an access code word in addition to the
identification number required for access to the opinions, and the
code word is made known only to the Office of Legal Counsel
personnel.
During the period in which new opinions are being computerized an
exception to these access restrictions is made so that the
contracting assistant in the Justice Management Division who is
overseeing the computerization also has access to the opinions.
Retention and disposal:
The records will be maintained indefinitely.
System manager(s) and address:
Administrative Officer, Office of Legal Counsel, U.S. Department
of Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Inquiries should be addressed to the Assistant Attorney General,
Office of Legal Counsel, at the address above.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
General legal research sources and individuals and agencies
requesting opinions from the Office of Legal Counsel.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
Office of Legal Policy
JUSTICE/OLP-002
System name: United States Judges Records System.
System location:
Office of the Legal Policy, United States Department of Justice,
10th and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
The system encompasses every United States Judge except those
appointed to the United States Court of Military Appeals and Tax
Court.
Categories of records in the system:
This system of records consists of records folders which may
contain up to five sections. The personnel section contains general,
personnel-type information and includes such items as biographical
sketches, oaths of office, copies of commissions, nomination letter,
qualifications statements, letters of recommendation, and copies of
notifications of appointment. The character section contains
completed or portions of on-going background investigations and
matters related thereto. The Congressional section contains
Congressional and other political type recommendations regarding
appointment. The complaint section contains correspondence from
individuals or groups complaining about office holders. The protest
section contains correspondence, if any exists, protesting the
appointment of candidates.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Generally, these records are used only for internal Department of
Justice purposes. Prior to appointment, routine uses would include
those specified for the Presidential Appointee Candidate Record
System.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of information to the Judicial Branch of the Federal
Government: Information may be disclosed to members of the Judicial
Branch of the Federal Government in response to a specific request
where disclosure appears relevant to the authorized function of the
recipient judicial office of the court.
Release of information to civil or criminal law enforcement
agencies: Information may be disclosed to any civil or criminal law
enforcement agency, whether Federal, State, local, or foreign, which
requires information relevant to a civil or criminal investigation.
Release of information to agencies regarding the hiring or
retention of employees: Information may be disclosed to officials and
employees of the White House or any Federal agency which requires
information relevant to an agency decision concerning the hiring,
appointment, or retention of an employee; the issuance of a security
clearance; the execution of a security or suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
Release of information to Federal, State, and local licensing
agencies: Information may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Release of information before a court or adjudicative body:
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of Legal Policy is
authorized to appear when (a) the Office of Legal Policy, or anu
subdivision thereof, or (b) any employee of the Office of Legal
Policy in his or her official capacity where the Department of
Justice has agreed to represent the employee, or (d) the United
States, where the Office of Legal Policy determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the Office of Legal Policy to be arguably relevant
to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in paper folders.
Retrievability:
Information is retrieved by use of the name of the judge, as
these records are filed alphabetically.
Safeguards:
These records are maintained in cabinets stored in a locked room.
Retention and disposal:
The personnel section of the folders of United States Supreme
Court Judges are sent to the National Archives upon the death of the
judge. All other sections are retained indefinitely as are the entire
records folders of all other United States Judges.
System manager(s) and address:
Assistant Attorney General, Office of the Legal Policy, United
States Department of Justice, 10th and Constitution Avenue, NW,
Washington, DC 20530.
Notification procedure:
Address all inquiries to the System Manager. These records will
be exempted from subsections (d)(1) and (e)(1) of section 552a, Title
5, United States Code, by the Attorney General under the authority of
5 U.S.C. 552a(k)(5) to the extent therein permitted.
Record access procedures:
A request for access to non-exempt portions of records from this
system should be directed orally or in writing to the System Manager.
When requests are in writing, the envelope and letter should be
marked `Privacy Access Request.'
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager,
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Non-exempt sources of information contained in this system
include the general public, organizations, associations, the subjects
of the records themselves, government agencies as appropriate, and
other interested parties.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(d)(1) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
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.
JUSTICE/OLP-003
System name: General Files System of the Office of Legal Policy.
System location:
Office of the Assistant Attorney General, Office of Legal Policy,
United States Department of Justice, 10th and Constitution Avenue,
NW, Washington, DC 20530.
Categories of individuals covered by the system:
The system encompasses individuals who relate to official Federal
investigations, policy decisions, and administrative matters of such
significance that the Assistant Attorney General maintains
information indexed to the name of that individual, including, but
not limited to, subjects of litigation, targets of investigations,
Members and staff members of Congress, upper-echelon government
officials, and individuals of national prominence or notoriety.
Categories of records in the system:
Records may include case files, litigation materials, exhibits,
internal memoranda and reports, or other records on a given subject
or individual. Records vary in number and kind according to the
breath of the Assistant Attorney General's responsibilities (28 CFR
0.23). Records include those of such significance that the Assistant
Attorney General has policy or administrative interest, and those
which cover investigative or law enforcement cases for which the
Assistant Attorney General is asked to provide an analysis and
establish future policy direction. A computerized index record
containing the subject title and/or individual's name is also
maintained.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be disclosed 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 privacy.
These records may be disclosed to a Member of Congress or staff
acting on the Member's behalf when the Member or staff requests the
information for investigative or policymaking purposes or to provide
constituent assistance.
These records may be disclosed to members of the judicial branch
of the Federal Government in response to a specific request where
disclosure appears relevant to the authorized function of the
recipient judicial office or court system.
These records may be disclosed to any civil or criminal law
enforcement authorities, whether Federal, State, local, or foreign,
which requires information relevant to a civil or criminal
investigation.
These records may be disclosed to the National Archives and
Records Administration (NARA) in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
These records may be disclosed to officials and employees of the
White House or any Federal agency which requires information relevant
to an agency decision concerning the hiring, appointment, or
retention of an employee, the issuance of a security clearance, the
conducting of a security or suitability investigation, the
classifying of a job, or the issuance of a grant or benefit.
These records may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the eligibility or suitability of an individual for a
license or permit.
These records may be disclosed in a proceeding before a court or
adjudicative body before which the Office of Legal Policy is
authorized to appear when (a) the Office of Legal Policy, or any
subdivision thereof, or (b) any employee of the Office of Legal
Policy in his or her official capacity, or (c) any employee of the
Office of Legal Policy in his or her individual capacity where the
Department of Justice has agreed to represent the employee, or (d)
the United States, where the Office of Legal Policy determines that
the litigation is likely to affect it or any of its subdivisions, is
a party to litigation or has an interest in litigation and such
records are determined by the Office of Legal Policy to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in paper folders and on index cards. As of
August 1982, the index record is also stored on magnetic disks.
Retrievability:
Records may be retrieved by subject title or individual's name.
Safeguards:
Records are maintained in cabinets stored in a locked room or, in
the case of those records that are classified, in safes or vaults.
The computer is also maintained in a locked room. The computer has a
key lock and may be accessed only by persons with a Top Secret
clearance by use of a code.
Retention and disposal:
Records are kept indefinitely.
System manager(s) and address:
Deputy Director, Office of Information and Privacy, Office of
Legal Policy, United States Department of Justice, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the system manager. These records will
be exempted from subsections (c)(3) and (4); (d); (e)(1), (2) and
(3), (e)(4)(G) and (H), (e)(5); and (g) of the Privacy Act pursuant
to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2) and (k)(5).
Record access procedures:
Make requests for access to records from this system in writing
to the system manager, and clearly mark both the letter and the
envelope ``Privacy Act Request.''
Contesting record procedures:
Make all requests to contest or amend information maintained in
the system in writing to the system manager. State clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment(s) to the information.
Record source categories:
Sources of information contained in this system include
individuals, local, State and foreign government agencies as
appropriate, the executive and legislative branches of the Federal
Government, and interested third parties.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4); (d); (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5);
and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2), (k)(1),
(k)(2) and (k)(5). 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. These exemptions apply only to the extent
that information in a record pertaining to a particular individual
relates to official Federal investigations and law enforcement
matters. Those files indexed under an individual's name and which
concern policy formulation or administrative matters are not being
exempted pursuant to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2) or (k)(5).
CA
DEPARTMENT OF JUSTICE
Office of Public Information
JUSTICE/OPI - 001
System name: News Release, Document and Index System.
System location: Room 5114, U.S. Department of Justice, 10th Street
and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system: A. Defendants in
civil and criminal actions brought by the Department of Justice for
which news releases were issued; B. Current and former employees of
the Department of Justice on which news releases and biographical
information were prepared.
Categories of records in the system: The system contains an index
record of each news release and document issued by the Department of
Justice and copies of the news release and document.
Authority for maintenance of the system: The system is established
and maintained at the direction of the Attorney General pursuant to 5
U.S.C. 301 and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The index is used
to retrieve news releases and documents issued by the Department upon
request.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information maintained in the system is stored manually on
index cards and letter- and legal-size paper.
Retrievability: Information is retrieved by using the name of the
defendant, subject matter of legal action, state in which action is
filed, and name of current or former employee.
Safeguards: Information contained in the system is unclassified.
Retention and disposal: The index and one copy of each news release
are retained indefinitely. Additional copies are retained for one
year and then destroyed.
System manager(s) and address: Director of Public Information, U.S.
Department of Justice, 10th Street and Constitution Avenue, NW,
Washington, DC 20530.
Notification procedure: Same as the above.
Record access procedures: A request for a copy of a record from
this system may be made in writing, by telephone, or in person.
Contesting record procedures: Persons desiring to contest or amend
information maintained in the system should direct their request to
the System Manager listed above, stating clearly and concisely what
information is being contested, the reasons for contesting it, and
the proposed amendments to the information sought.
Record source categories: Sources of information contained in this
system are those employees who prepared the document on which a news
release is based.
Systems exempted from certain provisions of the act: None.
DEPARTMENT OF JUSTICE
Office of Professional Responsibility
JUSTICE/OPR-001
System name:
Office of Professional Responsibility Record Index.
System location:
Office of Professional Responsibility (OPR), U.S. Department of
Justice (DOJ), 950 Pennsylvania Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
(1) DOJ employees who are the subjects of complaints directed to,
or inquiries or investigations conducted by, OPR; (2) individuals
(complainants) who write to OPR; (3) individuals (complainants) who
write to the Attorney General and other officials of the Department
and whose correspondence is referred to OPR; and (4) employees of
agencies of the Federal Government, other than DOJ, about whom
information indicating possible criminal or administrative misconduct
has been developed during the course of routine investigation by
components of DOJ, when such information is furnished to OPR for
referral--if warranted--to an appropriate investigative component of
DOJ, or another government agency.
Categories of records in the system:
This system of records consists of complaints filed against DOJ
employees, the results of investigations into those complaints, and
actions taken after completion of the investigations. This system
also includes all records developed pursuant to special assignments
given to OPR by the Attorney General or the Deputy Attorney General
as well as records containing information indicating possible
misconduct by employees of the Federal Government other than DOJ,
which have been furnished to OPR for referral, if warranted, to the
appropriate investigative authority.
Authority for maintenance of the system:
44 U.S.C. 3101 et seq., 28 CFR 0.39 et seq., and Attorney General
Order No. 833-79.
Purpose(s):
Information in this system is maintained to provide for the
resolution of allegations of misconduct made against Department of
Justice employees and to advise complainants of the status of
investigations and the results.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A relevant record may be disseminated as a routine use of such
record as follows: (1) In any case in which there is an indication of
a violation or a potential violation of law, either on its face or in
connection with other information, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the record may be referred to the appropriate
agency, whether Federal, State, local or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, rule, regulation
or order issued pursuant thereto; (2) in the course of investigating
the potential or actual violation of any law, whether civil,
criminal, or regulatory in nature, or during the course of a trial or
hearing or the preparation for a trial or hearing for such
violations, a record may be disseminated to a Federal, State, local
or foreign agency, or to an individual or organization if there is
reason to believe that such agency, individual, or organization
possesses information relating to the investigation, trial or hearing
and the dissemination is reasonably necessary to elicit such
information or to obtain the cooperation of a witness or an
informant; (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 a Federal,
State, or local administrative or regulatory proceeding or hearing in
accordance with the procedures governing such proceeding or hearing;
(5) a record may be disseminated to a Federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of security clearance or the reporting of an
investigation of an employee; (6) information permitted to be
released to the news media and the public pursuant to 28 CFR 50.2 may
be made available 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)
information not otherwise required to be released pursuant to 5
U.S.C. 552, may be made available to a Member of Congress or staff
acting upon the Member's behalf when the Member or staff requests
information on behalf of and at the request of the individual who is
the subject of the record; (8) a record may be disclosed to the
National Archives and Records Administration (NARA) and the General
Services Administration in records management inspections conducted
under 44 U.S.C. 2904 and 2906; (9) information may be furnished to
complainants 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 (10) information may be furnished to professional
organizations or associations with which individuals covered by this
system of records may be affiliated, such as state bar disciplinary
authorities, to meet their responsibilities in connection with the
administration and maintenance of standards of conduct and
discipline.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is stored manually in file jackets and electronically
in office automation equipment.
Retrievability:
Information is retrieved in most instances by the name of the
employee who is the subject of the complaint and in some instances by
the name of the complainant.
Safeguards:
The information is stored in safes, locked filing cabinets and
office automation equipment in a limited access area and is
maintained according to applicable departmental security regulations.
Retention and disposal:
Records in the system are retained and disposed of in accordance
with NARA Job #NCI-60-77-6.
System manager(s) and address:
Counsel on Professional Responsibility, Department of Justice,
950 Pennsylvania Avenue NW, Washington, DC 20530.
Notification procedure:
Address any inquiries to the System Manager listed above.
Record access procedure:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), or (k)(5). To the extent
that this system of records is not subject to exemption, it is
subject to access and contest. A determination as to exemption shall
be made at the time a request for access is received. A request for
access to records contained in this system shall be made in writing,
with the envelope and the letter clearly marked ``Privacy Access
Request.'' The request shall include the full name of the individual
involved, his or her current address, date and place of birth,
notarized signature, together with any other identifying information
which may be of assistance in locating the record. The requester will
also provide a return address for transmitting the information.
Access requests will be directed to the System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Department officers and employees, and other Federal, State,
local and foreign law enforcement and non-law enforcement agencies,
private persons, witnesses, and informants.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5)
and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a
(j)(2). In addition, the Attorney General has exempted this system
from subsections (c)(3), (d), (e)(1), (e)(4)(G) and (H), and (f)
pursuant to 5 U.S.C. 552a (k)(1), (k)(2) and (k)(5). 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.
DEPARTMENT OF JUSTICE
Office of Special Counsel for Immigration-Related, Unfair
Employment Practices
JUSTICE/OSC-001
System name: Central Index File and Associated Records, JUSTICE/
OSC-001.
System location:
U.S. Department of Justice, Special Counsel for Immigration
Related Unfair Employment Practices (OSC), 1100 Connecticut Avenue,
NW, Washington, DC 20036 and Federal Records Center, Suitland,
Maryland 20409.
Categories of individuals covered by the system:
These persons may include: Subjects of investigations, victims,
potential witnesses and representatives on behalf of individuals and
other correspondents on subjects directed or referred to OSC in
potential or actual cases and matters of concern to OSC.
Categories of records in the system:
The system consists of (1) alphabetical indices bearing names of
the individuals identified above and (2) the associated record to
which the indices relate containing the general and particular
records of all OSC correspondence, cases, matters, and memoranda,
including but not limited to investigative reports, correspondence to
and from OSC, internal memoranda legal papers, evidentiary materials
and exhibits.
Authority for maintenance of the system:
44 U.S.C. 3101; 8 U.S.C. 1324b; and 29 CFR part 44.
Purpose(s):
This system has been established to maintain investigatory and
law enforcement records concerning charges filed with OSC by or on
behalf of individuals alleging immigration-related employment
discrimination. The system also contains charges filed with other law
enforcement entities that have been referred to OSC pursuant to
section 102 of the Immigration Reform and Control Act of 1986 (8
U.S.C. 1324b) to provide relief for injured parties and to enforce
prohibition of immigration-related, unfair employment practices.
Employees and officials of the Department may access the system
to make decisions in the course of investigations and legal
proceedings; to assist in preparing responses to correspondence from
persons outside the Department; to prepare budget requests and
various reports on the work product of OSC; and to carry out any
other authorized internal duties.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) A record relating to a possible or potential violation of law
may be disseminated to the appropriate Federal, State or local agency
charged with the responsibility to enforce or implement such law; (2)
in the course of an investigation or litigation of a case or matter,
a record may be disseminated to a Federal, State or local agency, or
to an individual organization, if there is reason to believe that
such agency, individual or organization possesses information or has
the expertise in an official or technical capacity to analyze
information relating to the investigation, trail or hearing and the
dissemination is reasonably necessary to elicit such information or
expert analysis or to obtain the cooperation of a prospective witness
or informant; (3) a record relating to a case or matter, or any facts
derived therefrom, may be disseminated in a proceeding before a court
or adjudicative body before which OSC is authorized to appear, when
the United States, or any agency or subdivision thereof, is a part of
litigation or has an interest in litigation and such records are
determined by OSC to be arguably relevant to the litigation; (4) a
record relating to a case or matter may be disseminated to an actual
or potential party of litigation or the party's attorney (a) to
negotiate or discusss such matters as settlement of the case or
matter or (b) to conduct a formal or informal discovery proceeding;
(5) a record relating to a case or matter that has been referred to
OSC for investigation may be disseminated by OSC to referring
agencies to notify such agency of the status of the case or matter or
of any determination that has been made; (6) a record may be
disseminated to the United States Commission on Civil Rights in
response to its request and pursuant to 42 U.S.C. 1975d; (7)
information permitted to be released to the news media and the public
pursuant to 28 CFR 50.2 may be made available 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; (8) information in the system may be disclosed as is
necessary to respond to inquiries by Members of Congress on behalf of
individual constituents that are subjects of OSC rcords; and (9)
records may be disclosed to the National Archives and Records
Administration and to the General Services Administration in records
management inspections conducted under the authority of 44 U.S.C.
2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in this system is indexed, and stored in file jackets
and on computer disks or tapes.
Retrievability:
Entries are arranged alphabetically and are retrieved from the
computer by names of the individuals covered by this system of
records. Information may also be retrieved from file jackets by an
assigned number appearing in the manual index.
Safeguards:
Information in manual and computer form is safeguarded and
protected in accordance with applicable Department security
regulations for systems of records. Only those employees with the
need to know in order to perform their duties will be able to access
the information. Access to records in the computer system is
restricted through use of password encryption: Access to both the
manual and computer system is restricted by locks on storage
facilities.
Retention and disposal:
Records are maintained in the system while current and required
for official Government use. When no longer needed on an active
basis, the paper files are transferred to the Federal Records Center,
Suitland, Maryland, and some records are transferred to computer tape
and stored in accordance with Departmental security regulations for
systems of records. A request for Records Disposition Authority is
pending approval of the National Archives and Records Administration.
System manager(s) and address:
Special Counsel for Immigration Related Unfair Employment
Practices, U.S. Department of Justice, Post Office Box 65490, NW,
Washington, DC 20035.
Notification procedure:
Address inquiries to the System Manager listed above.
Record access procedures:
Part of this system is exempted from this requirement under 5
U.S.C. 552a(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 exemption shall be made at the time a request for
access is received. A request for access shall be made in writing,
with an envelope and letter clearly marked ``Privacy Access
Request.'' Include in the request the full name of the individual,
his or her current address, date and place of birth, notarized
signature (28 CFR 16.41(b)), the subject of the case or matter as
described under ``categories of records in the system,'' and any
other information which is known and may be of assistance in locating
the records, such as the name of the immigration-related employment
discrimination case or matter involved, where and when the
discrimination occurred, and the name of the judicial district
involved. The requester will also provide a return address for
transmitting the information. Access request should be directed to
the System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information should
direct their request to the System Manager listed above, stating
clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information.
Record source categories:
Sources of information contained in this system include the
individual covered by the system and may include any agency or person
who has provided (or has offered to provide) information related to
the law enforcement responsibilities of OSC.
Systems exempted from certain provisions of the act:
The Attorney General has exempted parts of this system from
subsections (c)(3) and (d) of the Privacy Act 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.
JUSTICE/OSC-003
System name: Special Counsel for Immigration Related Unfair
Employment Practices Travel Reports, JUSTICE/OSC-003.
System location:
U.S. Department of Justice, Special Counsel for Immigration
Related Unfair Employment Practices (OSC), 1100 Connecticut Avenue,
NW, Washington, DC 20036.
Categories of individuals covered by the system:
All persons who have filed travel authorization forms or travel
voucher forms for official travel on behalf of OSC.
Categories of records in the system:
The system contains information concerning travel expenditures
recorded on travel authorization forms (DOJ-501) and travel voucher
forms (SF-1012) by OSC employees or other persons authorized to
travel for OSC and submitted to the Executive Office of OSC.
Authority for maintenance of the system:
44 U.S.C. 3101; 8 U.S.C. 1324b; and 28 CFR part 44.
Purpose(s):
This system enables OSC to ensure authorized travel, account for
its travel expenditures, and manage the appropriated funds therefor.
It also permits OSC to maintain account balances and properly
reimburse those who travel on behalf of OSC.
Department employees may access the system to make reports to the
Executive Office, OSC, for its use in reviewing and controlling OSC
expenditures. Employees may also access the system to process travel
authorizations and reimbursements for travel.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) A record relating to a case or matter, or any facts derived
therefrom, may be disseminated in a proceeding before a court or
adjudicative body before which OSC is authorized to appear, when the
United States, or any agency or subdivision thereof, is a party to
litigation or has an interest in litigation and such records are
determined by OSC to be arguably relevant to the litigation; (2) a
record relating to a case or matter may be disseminated to an actual
or potential party to litigation or the party's attorney (a) to
negotiate or discuss such matters as settlement of the case or matter
or (b) to conduct a formal or informal discovery proceeding; (3)
information permitted to be released to the news media and the public
pursuant to 28 CFR 50.2 may be made available 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; (4) information may be disclosed as is necessary to respond
to inquiries by Members of Congress on behalf of individual
constituents that are subjects of OSC records; and (5) records may be
disclosed to the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Travel data are stored on computer disks. Individual vouchers and
travel authorization forms are stored in file jackets.
Retrievability:
Records are retrieved by the names of those individuals covered
by this system of records.
Safeguards:
Information in manual and computer form is safeguarded and
protected in accordance with applicable Department security
regulations for systems of records. Only those employees with the
need-to-know in order to perform their official duties will be able
to access the stored information. Access to the records in the
computer system is restricted by the locks on storage facilities.
Retention and disposal:
Records are maintained in the system while current and required
for official Government use. When no longer needed on an active
basis, the records are transferred to computer tape and stored in
accordance with Departmental security regulations for systems of
records. Final disposition is in accordance with General Records
Schedule 9, items 3, 4 and 5.
System manager(s) and address:
Special Counsel for Immigration Related Unfair Employment
Practices, U.S. Department of Justice, Post Office Box 65490 NW,
Washington, DC 20035.
Notification procedure:
Same as above.
Record access procedures:
Requests for access to records should be directed to the System
Manager listed above. Clearly mark the envelope and letter ``Privacy
Access Request;'' provide the full name and notarized signature of
the individual who is the subject of the record, his/her date and
place of birth, and any other identifying number or information which
may assist in locating the record; and furnish a return address.
Contesting record procedures:
Individuals desiring to contest or amend information should
direct their request to the System Manager listed above, stating
clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information.
Record source categories:
Sources of information contained in this system are OSC employees
and other persons authorized to travel on behalf of OSC and who file
travel authorization and travel voucher forms.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
Office of Special Counsel--Waco
OSCW-001
System name:
CaseLink Document Database for Office of Special Counsel--Waco.
Security classification:
Unclassified.
System location:
Office of Special Council-Waco, 200 N. Broadway, 15th Floor, St.
Louis, Missouri 63102.
Categories of individuals covered by the system:
Individuals who are referenced in documents collected or created
by the Office of Special Counsel, relating to the investigation of
the events occurring in Waco, Texas on April 19, 1993.
Categories of records in the system:
The system contains documents produced by other federal agencies
in response to requests from this office, court records (such as
briefs, motions, transcripts from grand jury testimony, and orders),
inter-agency and intra-agency correspondence, legal research, and
other related documents. These documents include civil investigatory
and/or criminal law enforcement information. Finally, the system
includes memoranda of interviews (MOIs) conducted by the OSC.
Authority for maintenance of the system:
The system was established and is maintained pursuant to 5 U.S.C.
301, 44 U.S.C. 3101 and 28 U.S.C. 509 and 510.
Purpose(s):
The purpose of this system is to maintain all documents collected
by the Office of Special Counsel (OSC) as well as all the memoranda
of interviews conducted by the OSC during its inquiry into government
conduct relative to certain events occurring in Waco, Texas.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information contained in the system, including the memoranda of
interviews (MOIs), may be disclosed from this system as follows:
(a) To other witnesses when necessary in order to obtain
information to further the investigation of the OSC;
(b) To an actual or potential party or his attorney for the
purpose of negotiation or discussion on such matters as settlement of
the case or matter, plea bargaining, or informal discovery
proceedings;
(c) 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;
(d) In the event that a record in this system, either alone 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 for
investigating or prosecuting such violation or charged with enforcing
or implementing such law;
(e) In a proceeding before a court or adjudicative body before
which the Department of Justice is authorized to appear when (a) the
Department of Justice, or any subdivision thereof, or (b) any
employee of the Department of Justice in his or her official
capacity, or (c) any employee of the Department of Justice in his or
her individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where the
Department of Justice determines that the litigation is likely to
affect it or any of its subdivisions, is a party to litigation or has
an interest in litigation and such records are determined by the
Department of Justice to be arguably relevant to the litigation;
(f) To the news media and the public pursuant to 28 CFR 50.2
(Department of Justice regulations setting forth guidelines for
disclosure of information to the media) 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;
(g) To the General Services Administration and National Archives
and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2096; and
(h) To contractors, student interns, or other employees of the
OSC to the extent necessary to enable them to perform their assigned
duties.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
All information on this system is stored on a dedicated network
server in electronic form. Some material is recorded and stored on
other data processing storage forms.
Retrievability:
Records are retrieved by names or case numbers or other key word
or search term.
Safeguards:
Information in this system is safeguarded in accordance with
applicable rules and policies, including the Department's automated
systems security and access policies. All information on the system
is password protected and requires access to the OSC's secure
internal network. All records and technical equipment are maintained
in a central office with restricted access. The facility is secured
by the Federal Protective Service.
Retention and disposal:
Records of the investigation shall be transferred to the National
Archives at the conclusion of the Special Counsel's work.
Administrative and support records shall be disposed of in accordance
with General Records Schedules issued by the National Archives and
Records Administration (NARA). Standard Form 115, Request for Records
Disposition Authority, is pending NARA approval.
System manager(s) and address:
John J. Sardar, Assistant Special Counsel, 200 N. Broadway, 15th
Floor, St. Louis, Missouri 63102.
Notification procedure:
Address inquiries to System Manager named above.
Record access procedure:
Requests for access must be in writing and should be addressed to
the System Manager named above. The envelope and letter should be
clearly marked ``Privacy Act Access Request.'' Include in the request
the general subject matter of that document(s), and provide your full
name and a certification of identity and a return address for
response purposes. Some information may be exempt from access
provisions as described in the section entitled ``Systems Exempted
from Certain Provisions of the Act.'' 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, stating clearly and concisely 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
``Systems Exempted from Certain Provisions of the Act.'' 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:
Sources of information contained in this system include but are
not limited to documents produced by other federal agencies in
response to requests from this office; investigative reports; other
non-Department of Justice forensic reports; statements of individuals
who may have information or knowledge surrounding the events
occurring in Waco, Texas on April 19, 1993; verbatim transcripts of
deposition and court proceedings including grand jury testimony;
public reports; memoranda and reports from court and other agencies;
and the work product of the Office of Special Counsel attorneys,
investigators, and staff.
Systems exempted from certain provisions of the act:
The Privacy Act authorizes an agency to promulgate rules to
exempt any system of records (or part of a system of records) from
certain Privacy Act requirements if the system of records is
maintained by an agency which performs as its principal function any
activity pertaining to the enforcement of criminal laws (5 U.S.C.
552a(j)), or is investigatory material compiled for law enforcement
purposes (5 U.S.C. 552a(k)).
The Attorney General has exempted this system from the following
Privacy Act requirements: subsections (c)(3) and (4); (d)(1), (2),
(3), and (4); (e)(1), (2), (3), (5), and (8); and (g) of the Privacy
Act pursuant to 5 U.S.C. 552a(j) and (k).
DEPARTMENT OF JUSTICE
Office of Pardon Attorney
JUSTICE/OPA-001
System name: Executive Clemency Files.
System location:
Office of the Pardon Attorney (OPA), U.S. Department of Justice,
500 First Street, NW, Seventh Floor, Washington, DC 20530.
Categories of individuals covered by the system:
Individuals who have applied for or been granted Executive
clemency.
Categories of records in the system:
The system contains the individual petitions for executive
clemency and accompanying oath and character affidavits,
investigatory material, evaluative reports, official and other
correspondence, both solicited and unsolicited and inter-agency and
intra-agency correspondence and memoranda relating to individual
petitions for clemency. The system includes Presidential Clemency
Board files transferred to the OPA upon termination of the Board on
September 15, 1975.
Authority for maintenance of the system:
The system is established and maintained in accordance with the
United States Constitution, Article II, section 2; Executive Order of
the President dated June 16, 1893; Order of the Attorney General No.
1011-83, 48 FR 22290 (1983), as codified in 28 CFR 1.1 et seq.; Order
of the Attorney General No. 1012-83, 48 FR 22290 (1983), as codified
in 28 CFR 0.35 and 0.36; E.O. 11878 dated September 10, 1975; and 44
U.S.C. 3101.
Purpose(s):
Exectutive clemency files are maintained by the Attorney General
or his designee to investigate each petition for Executive clemency,
to review each petition and the information developed by the
investigation and to determine whether, in his judgment, the request
for clemency is of sufficient merit to warranty a recommendation for
favorable action by the President. The information also is used by
Federal parole authorities and other Department of Justice employees
to assist them in the performance of their official duties.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records in the system may be used as follows: (a) To provide
information to the President and member of his staff to facilitate
the consideration of the Attorney General's recommendation regarding
each petition for Executive clemency; (b) to prepare notices to the
public of the name of each grantee of clemency, date of Presidential
action, nature of clemency granted, nature of grantee's offense, date
and place of sentencing, description of sentence imposed, and names
of character affiants and interested parties; to disclose similar
information to that specified above with respect to clemency denials
of general public interest if the disclosure does not constitute an
unwarranted invasion of privacy; (c) to prepare bound and indexed
volumes containing photocopies of the official warrant of clemency
granted each recipient of clemency as a public and official record of
Presidential action; (d) upon specific request, to advise the
requester whether a named person has applied for, been granted or
denied clemency, the date thereof, and the nature of the clemency
granted or denied; (e) upon specific request, to make closed files
available for historical research purposes when in the public
interest and in conformity with Department of Justice policy; (f) to
provide information which indicates a violation or apparent violation
of law, whether civil, criminal or regulatory in nature, to the
appropriate agency, whether Federal, State, local or foreign; or to
provide information either in connection with the solicitation of
information necessary and relevant to Executive clemency review or to
assist these agencies, where appropriate, in performing their law
enforcement responsibilities in situations other than those involving
a violation or apparent violation of law, e.g., state parole or
clemency review; (g) to provide information to present and former law
enforcement and judicial authorities to permit the formulation of
comments and recommendations regarding individual clemency matters
arising from cases with which they may be familiar; (h) to provide
information to assist sentencing authorities in executing appropriate
actions subsequent to Presidential clemency decisions; (i) to release
information in a proceeding before a court or adjudicative body
before which the OPA is authorized to appear when (1) one of the
following is a party to or has an interest in the litigation: i. the
OPA; ii. any employee of the OPA in his or her official capacity;
iii. any employee of the OPA in his or her individual capacity where
the Department of Justice has agreed to represent the employee; or,
iv. the United States where the OPA determines that it is likely to
be affected by the litigation; and (2) the records, or information
derived therefrom, are determined by the OPA to be arguably relevant
to the litigation; (j) to disseminate information 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;
(k) to make information available 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; and (1) to make records available to the
National Archives and Record Administration and to the General
Services Administration in records management inspections conducted
under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in the system is maintained in its original form
(i.e., paper letters, notes and memoranda) and stored in locked file
cabinets in the OPA and in the Federal Records Center in Suitland,
Maryland.
Retrievability:
Information is retrieved by using a name index to obtain the case
file number assigned to each applicant for Executive clemency.
Safeguards:
Information contained in the system is protected in accordance
with Department of Justice security regulations for Privacy Act
systems of records. Files are maintained in the OPA or in the Federal
Records Center, are not commingled with other Department of Justice
records, and are made available only in accordance with the
aforementioned routine uses. When not in the custody of an
appropriate official, records are stored in a central file room in a
secure government building.
Retention and disposal:
Records are stored in the OPA and closed cases generally are
transferred to the Federal Records Center in Suitland, Maryland when
two years old. Except for clemency reports which are furnished to the
President in connection with clemency application, Presidential
responses, warrants or other documents signifying the President's
action in a clemency case, and cases which may be designated by the
Pardon Attorney as having significant public interest, records are
destroyed after 15 years.
System manager(s) and address:
Pardon Attorney, Office of the Pardon Attorney, Department of
Justice, 500 First Street, NW, Seventh Floor, Washington, DC 20530.
Notification procedure:
Address inquiries to the Pardon Attorney, Department of Justice,
500 First Street, NW, Seventh Floor, Washington, DC 20530.
Record access procedures:
While the Attorney General has exempted Executive Clemency files
from the access provisions of the Privacy Act, requests for
discretionary releases of records shall be made in writing to the
system manager listed above with the envelope and letter clearly
marked ``Privacy Access Request.'' Include in the request the general
subject matter of the document. Provided full name, current address,
date and place of birth, signature (which must be notarized) and a
return address for transmitting the information.
Contesting record procedures:
While the Attorney General has exempted Executive Clemency files
from the correction (contest and amendment) provisions of the Privacy
Act, requests for the discretionary correction (contest and
amendment) of records should be directed to the system manager listed
above, stating clearly and concisely what information is being
contested, the reasons for contesting it and the proposed amendment
to the information sought.
Record source categories:
Sources of information are the OPA staff, individual applicants
for clemency and their representatives, Federal Bureau of
Investigation or other official investigatory reports. Bureau of
Prisons records, Armed Forces reports, probation of parole reports,
and reports from individuals or non-Federal organizations, both
solicited and unsolicited.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsection (d)
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.
JUSTICE/OPA-002
System name: Miscellaneous Correspondence File.
System location:
Office of the Pardon Attorney (OPA), U.S. Department of Justice,
500 First Street, NW, Seventh Floor, Washington DC 20530.
Categories of individuals covered by the system:
Individuals who are the named subjects of OPA incoming and
outgoing correspondence, but who have not formally applied for or
received Executive clemency. Also, individuals who have corresponded
with the OPA, either directly or by referral, but whose
correspondence either may or may not pertain to a particular named
individual, including the correspondent, or whose correspondence does
not contain a request for information under the Freedom of
Information/Privacy Acts.
Categories of records in the system:
The system contains miscellaneous correspondence originated by
OPA and received by OPA, either directly or by referral, excluding
correspondence pertaining to (1) individuals who have formally
applied for or received Executive clemency and (2) individuals who
have made formal requests for records under the Freedom of
information/Privacy Acts.
Authority for maintenance of the system:
The system is established and maintained in accordance with the
United States Constitution, Article II, Section 2; Executive Order of
the President dated June 16, 1893; Order of the Attorney General No.
1011-83, 48 FR 22290 (1983), as codified in 28 CFR 1.1 et seq.; Order
of the Attorney General No. 1012-83, 48 FR 22290 (1983), as codified
in 28 CFR 0.35 and 0.36; E.O. 11878 dated September 10, 1975; and 44
U.S.C. 3101.
Purpose(s):
Records in the system are used by employees in the performance of
their duties for reference and informational purposes to facilitate
efficient, accurate and consistent responses to oral and written
inquiries, particularly successive inquiries, and to provide access
for a reasonable period of time to any relevant and necessary
information which may assist in formulating policy and/or in
considering potential and/or in considering potential candidates for
Executive clemency.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records in the system may be used as follows: (a) To provide
information to the President and members of his staff which may be of
political, policy or official interest and/or which may assist them
in formulating policy decisions regarding the exercise of Executive
clemency; (b) to release information in a proceeding before a court
or adjudicative body before which the OPA is authorized to appear
when (1) one of the following is a party to or has an interest in the
litigation: i. The OPA; ii. any employee of the OPA in his or her
official capacity; iii. any employee of the OPA in his or her
individual capacity where the Department of Justice has agreed to
represent the employee; or, iv. the United States where the OPA
determines that it is likely to be affected by the litigation; and
(2) the records, or information derived therefrom, are determined by
the OPA to be arguably relevant to the litigation; (c) to disseminate
information 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; (d) to make information available 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; (e) to
make records available to the National Archives and Records
Administration and the General Services Administration in records
management inspections conducted under the authority of 44 U.S.C.
2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in the system is maintained in its original form
(i.e., paper letters, notes and memoranda) and stored in locked file
cabinets in the OPA.
Retrievability:
Information is retrieved by the name of the individuals covered
by the system.
Safeguards:
Information in the system is protected in accordance with
Department of Justice security regulations for Privacy Act systems of
records. Records are maintained in the OPA and are not commingled
with other Department of Justice records. When not in the custody of
an appropriate official, records are stored in a central file room in
a secure government building.
Retention and disposal:
Records are destroyed at the end of the calendar year following
the calendar year in which they were received (incoming
correspondence). If an individual covered by the system formally
applies for or receives Executive clemency, all records pertaining to
that individual will be transferred immediately to the Executive
Clemency Files (JUSTICE/OPA-001).
System manager(s) and address:
Pardon Attorney, Office of the Pardon Attorney, Department of
Justice, 500 First Street, NW, Seventh Floor, Washington, DC 20530.
Notification procedure:
Address inquiries to the Pardon Attorney, Department of Justice,
500 First Street, NW, Seventh Floor, Washington, DC 20530.
Record access procedures:
Requests for records in the system shall be made in writing with
the envelope and letter clearly marked ``Privacy Access Request'' and
shall be addressed to the system manager listed above. Include in the
request the general subject matter and date of correspondence.
Provide full name, current address, date and place of birth,
signature (which must be notarized) and a return address for
transmitting the information.
Contesting record procedures:
Requests to contest or amend records shall be addressed in
writing to the system manager and shall state clearly and concisely
what information is being contested, the reasons for contesting it,
and the proposed amendment to the information.
Record source categories:
Sources of information are the individuals covered and the OPA
staff.
Systems exempted from certain provisions of the act:
None.
DEPARTMENT OF JUSTICE
Parole Commission
JUSTICE/PRC-001
System name: Docket, Scheduling and Control.
System location:
Records are maintained at each of the Regional Offices for
inmates incarcerated in and persons under supervision in each region,
except for the National Appeals Board docket maintained in
Washington. Duplicates of regional materials are maintained in
Washington. All requests for records should be made to the
appropriate regional office or Headquarters at the following
addresses: United States Parole Commission, 2nd and Chestnut Sts.
Customs House--7th Floor, Philadelphia, PA 19106, United States
Parole Commission, 1718 Peachtree St., NW, Suite 250, Atlanta, GA
30309, United States Parole Commission, 5550 Friendship Blvd., Chevy
Chase Md. 20815, ATTN: National Appeals Board, United States Parole
Commission, Air World Center Suite 220, 10920 Ambassador Dr., Kansas
City, Mo. 64153. United States Parole Commission, 525 Griffin St.,
Suite 820 Dallas, Tex. 75202. United States Parole Commission, 1301
Shoreway Road Fourth Floor, Belmont, CA 94002
Categories of individuals covered by the system:
Current and former inmates under the custody of the Attorney
General who are to be scheduled for hearings under Commission
procedures. Former inmates includes those presently under supervision
as parolees or mandatory releasees and those against whom a
revocation warrant has been issued.
Categories of records in the system:
(a) Docket sheets--Each region and the National Appeals Board in
Washington maintains a cumulative series of docket sheets in time
sequence showing Commission action. Principal data elements are name
and register number of inmate, offense, sentence, and previous and
present Action. The appeal docket includes the data and type of
appeal in addition to much of the above data. These provide a
continual running record of the basic data elements per inmate and
former inmate. Docket sheets are used to input this information into
a computer program which produces printouts of identical information
and certain statistical reports. (b) Hearing schedules--Shortly after
inmates are incarcerated, their names appear on an eligibility list
prepared by the Bureau of Prisons, for initial parole hearings.
Following the hearing, the Commission may order that the inmate be
denied parole, granted a presumptive parole date, granted an
effective (within six months) parole date or continued to a 15 year
reconsideration hearing. Other types of hearings and reviews are
provided for in the Code of Federal Regulations as part of parole,
rescission or revocation procedures. All of the different types of
hearings and reviews are placed on schedules for examiners to process
when they visit the various institutions or hold ``local'' hearings.
The data elements are similar to those on the docket but indicate the
number and type of hearing or review to be held instead of the
result.
Authority for maintenance of the system:
18 U.S.C. 4201-4218, 5005-5041, 28 CFR part 0, subpart V, and 28
CFR part 2.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(a) The dockets provide the basis of answering basic inquiries,
mostly from within the Parole Commission, as to when a hearing came
up for an individual and what action was taken. The schedules
indicate to examiners and prison staff the specific hearings and
reviews to be prepared for and held.
(b) In the event that material in this system indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute, or by
regulation, rule or order issued pursuant thereto, the relevant
records may be referred to the appropriate agency, whether Federal,
State, local or foreign, charged with responsibility of investigating
or prosecuting such violation or charged with enforcing or
implementing the statute, or rule, regulation or order issued
pursuant thereto.
(c) A record from this system of records may be disclosed to a
Federal, State or local agency maintaining civil, criminal or other
relevant information if necessary to obtain information relevant to
an agency decision concerning parole matters.
(d) A record from this system may be disclosed to a Federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance 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.
(e) Internal users--Employees of the Department of Justice who
have a need to know the information in the performance of their
duties.
(f) External users--As noted above, on occasion employees of
Federal, State and local enforcement, correctional, prosecutive, or
other agencies, and courts may have access to this information.
Release of information to the news media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available 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.
Release of information to members of congress.
Information not otherwise required to be released pursuant to 5
U.S.C. 552, may be made available 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 in response to a communication from the
individual who is the subject of the record.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA):
A record may be disclosed as a routine use to the NARA and GSA in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information stored in the system is on sheets of paper, one item
per line, stored in folders or binders. An experimental program to
store such data on tape disk, or microfiche using ADP technology, and
to prepare certain computer printouts is in effect in all regions.
Data also may be stored on paper printouts through file retention.
Retrievability:
Name, register number, date, institution Commission action, and
statistical data as to such actions.
Safeguards:
Copies of dockets, printouts and schedules are not disseminated
outside of Commission offices and Bureau of Prisons installations.
They are available only to Commission and bureau employees on a
``need to know'' basis. Information therefrom may be given outside
the Department as indicated in the ``Routine Uses.'' If so, a letter
will be written covering the item disclosed, date and identity of the
recipient. If information must be given over the phone due to
urgency, the caller will be identified beforehand and details of the
call recorded.
Retention and disposal:
Records in this system are kept for five (5) years after the
effective date of the schedule or date of the last item recorded on
the docket. They are then shredded and electronically stored records
are erased.
System manager(s) and address:
Director, Research and Program Development, United States Parole
Commission, 5550 Friendship Blvd., Chevy Chase, MD 20815.
Notification procedure:
Address inquiries to Regional Commissioner at appropriate
location. For general inquiries, address system manager. The Attorney
General has exempted this system from compliance with the provisions
of subsection (d), under the provisions of subsection (j).
Record source categories:
(1) Bureau of Prisons files; (2) Parole Commission and Bureau of
Prison's employees; (3) Court Records; (4) Parole Commission inmate
files.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(2) and (3), (e)(4)(G) and (H), (e)(8), (f)
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.
JUSTICE/PRC-003
System name: Inmate and Supervision Files.
System location:
Records are maintained at each of the U.S. Parole Commission's
(USPC) Regional Offices for inmates incarcerated in and persons under
supervision in each region. Records are housed temporarily at the
Commission's Headquarters Office located at 5550 Friendship Blvd.,
Chevy Chase, MD 20815 when used by the National Appeals Board or
other Headquarters personnel. A duplicate records of certain data
elements from files is maintained on microfiche for Headquarters use.
Prior to the first parole hearing, the inmate's file is maintained at
the institution at which he is incarcerated. Certain records on
parolees and mandatory releases are maintained at probation offices.
All requests for records should be made to the appropriate regional
office at the following addresses: U.S. Parole Commission, Customs
House Seventh Floor, Second and Chestnut Streets, Philadelphia, Pa.
19106. U.S. Parole Commission, 1718 Peachtree St. NW, Suite 250,
Atlanta, GA 30309. U.S. Parole Commission, Air World Center, Suite
220, 10920 Ambassador Drive, Kansas City, Mo. 64153. U.S. Parole
Commission, 525 Griffin St., Suite 820, Dallas, Tex. 75202, U.S.
Parole Commission, 1301 Shoreway Road, 4th Floor, Belmont, CA 94002.
Categories of individuals covered by the system:
Current and former inmates under the custody of the Attorney
General. Former inmates include those presently under supervision as
parolees or mandatory releasees.
Categories of records in the system:
1. Compulation of sentence and supportive documentation.
2. Correspondence concerning pending charges, and wanted status,
including warrants.
3. Requests from other Federal and non-Federal law enforcement
agencies for notification prior to release.
4. Records of the allowance forfeiture, withholding and
restoration of good time.
5. Information concerning present offense, prior criminal
background sentence, and parole from the U.S. Attorneys, the Federal
Courts, and Federal prosecuting agencies.
6. Identification data.
7. Order of designation of institution or original commitment.
8. Records and reports of work and housing assignments.
9. Program selection assignments and performance adjustments/
progress reports.
10. Conduct records.
11. Social background.
12. Educational data.
13. Physical and mental health data.
14. Parole Commission applications, appeal documentation, orders
actions, examiner's summaries, transcripts or tapes of hearings,
guideline evaluation documents, parole or mandatory release
certificates, statements or third parties for or against parole,
special reports on youthful offenders and adults required by statute
and related documents.
15. Correspondence regarding release planning, adjustment and
violations.
16. Transfer orders.
17. Mail and visit records.
18. Personal property records.
19. Safety reports and rules.
20. Release processing forms and certificates.
21. Interviews requests forms from inmates.
22. General correspondence.
23. Copies of inmate court petitions and other court documents.
24. Report of probation officers. Commission correspondence with
former inmates and others, and Commission order and memoranda dealing
with supervision and conditions of parole or mandatory release.
25. If an alleged parole violation exists, correspondence
requesting a revocation warrant, warrant application, warrant,
instructions as to service, detainers and related documents.
Authority for maintenance of the system:
18 U.S.C. 4201-4218, 5005-5041, 28 CFR part 0, subpart V, and 28
CFR part 2.
Purpose(s):
The system constitutes the agency's records upon which it bases
all its decisions with respect to every stage of parole consideration
from initial hearing to termination of parole supervision. For
example, it is used by USPC hearing examiners to perform a prehearing
review and to conduct the inmate's initial parole hearing. After that
hearing, it is maintained in the appropriate regional office where it
provides the principal information source for all decisions leading
to parole or denial of parole, and all decisions following release to
supervision. It is used at USPC headquarters when appeals come before
the National Appeals Board or when needed by legal counsel and others
on the headquarters staff. It is used by employees at all levels,
including USPC members, to provide information for decisionmaking in
every area of USPC responsibility. Files of released inmates are used
to make statistical studies of subjects related to parole and
revocation. Finally, the file is maintained to provide the rationale
of USPC actions when an agency determination is questioned by members
of the public or challenged in judicial proceedings.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(a) The system may be used as a source for disclosure of
information which is solely a matter of public record and which is
traditionally released by the agency to further public understanding
of its criminal justice system, including but not limited to offense,
sentence data, and prospective release date.
(b) The system may be used to provide an informational source for
responding to inquiries from Federal inmates, their families,
representatives, and Congressional offices.
(c) Record from the system of records may be routinely disclosed
to U.S. Probation Officers for the performance of their official
duties.
(d) In the event that the USPC is informed of a violation or
suspected violation of law whether civil, criminal or regulatory in
nature, and whether arising by general statute, or by regulation,
rule or order issued pursuant thereto, the relevant records may be
disclosed to the appropriate agency, whether Federal, State, local or
foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation or order, issued pursuant thereto.
(e) Records from this system may be disclosed to a Federal, State
or local agency or court if that agency or court requests information
for an official purpose to which the documents appear to be relevant.
(f) A record from this system may be disclosed to a person or to
persons who may be exposed to harm through contact with a particular
parolee or mandatory releasee (or to persons in a position to prevent
or minimize such harm), if it is deemed to be necessary to give
notice that such danger exists.
(g) Lists of names of parolees and mandatory releasees entering a
jurisdiction and related information may be disclosed to law
enforcement agencies upon request as may be required for the
protection of the public for the enforcement of parole conditions.
(h) Disclosure of USPC notices of action may be made (1) by the
Office of Public Affairs of the U.S. Department of Justice to the
public generally, and (2) by USPC to specific crime victims and
witnesses (as those terms are used in the Victim and Witness
Protection Act of 1982), from the files of prisoners whose
applications for parole have been decided by USPC. The purpose of
such disclosure is to further understanding of the criminal justice
system by the public and by crime victims and witnesses.
(i) Incidental disclosure of file material may be made during the
course of a parole or parole revocation hearing to victims and
witnesses of crime and other legitimately interested persons
authorized by USPC to attend such hearing, so as to further their
understanding of the case to permit their intelligent comment with
respect to USPC's decision.
(j) Records which are arguably relevant to litigation in which
the Parole Commission has an interest, or to the litigation defense
of its present or former employees (if the Department of Justice has
agreed to provide representation) may be disclosed from a current or
former inmates's or parolee's file by disseminating in proceeding
before a court or tribunal at any time deemed appropriate by the
Government's attorney.
(k) A record from this system of records may be disclosed to a
current or former criminal justice official who is a defendant in a
lawsuit brought by, or which involves, an individual who is the
subject of a file maintained in this system of records, provided that
such litigation arises from allegations of misconduct on the part of
the defendant while a criminal justice official, and that the records
are arguably relevant to the matter in litigation. Such records may
be disclosed to the defendant to facilitate the preparation of his or
her defense.
(l) Records from this system may be disclosed to any person
performing any service for the USPC pursuant to authority exercised
by the Chairman under 18 U.S.C. 4204(b)(1) through (8), and for the
purposes contemplated by that statute.
(m) A record relating to the identification and location of Human
Immunodeficiency Virus (HIV)-positive parolees (those who test
positive for the Acquired Immune Deficiency Syndrome virus) may be
disseminated to State or local health departments where permitted by
State law.
(n) Where the Commission or supervising probation office believes
that a specific person is or has been exposed to a medically
recognized risk from an HIV-positive parolee and has not been advised
of such risk, a record relating to the identification of that parolee
may be released to the parolee's physician or State or local health
authorities for the purpose of determining if the physician or health
authorities are willing to provide a warning to the third-party at
risk and, if willing, for the purpose of providing such a warning.
(o) A record relating to the identification of an HIV-positive
parolee may be made to a third party where it is believed that such
third party is or has been exposed to medically recognized type of
risk from an HIV-positive parolee and has not been advised of such
risk. Such disclosures under this routine use would be made only
where the parolee's physician or State or local health authorities
are unable or unwilling to make such a warning to the third party;
such disclosures will be made discreeting and as a confidential
communication.
(p) To the extent not prohibited by State law, a record relating
to the identification and location of an HIV-positive parolee may be
disseminated to those medical facilities, State or local health
departments, community organizations or similar groups capable of
providing medical help or counseling to HIV-positive parolees.
(q) A record relating to the identification of an HIV-positive
parolee may be released to the United States Marshal when the
Commission issues a parole violator warrant for the arrest of an HIV-
positive parolee.
(r) Information permitted to be released to the news media and
the public pursuant to 28 CFR 50.2 may be made available 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.
(s) Information nor otherwise required to be released pursuant to
5 U.S.C. 552 may be made available 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.
(t) A record may be disclosed to the National Archives and
Records Administration and the General Services Administration in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual requests records are stored in locked safes. Automated
requests records are stored on disks.
Retrievability:
Requests reports are filed and retrieved under the names of those
persons and individuals identified under the caption ``Categories of
individuals covered by the system.'' These records are retrieved by
Department personnel to perform their duties, e.g., when subsequent
requests are made by the public for copies of their previous requests
and responses thereto, or when the requester submits a supplemental
request to information clarifying a previous request.
Safeguards:
Access to requests records is limited to Department of Justice
personnel who have need for the records to perform their duties.
Request files (manual records) are stored in locked safes. All
records are stored in an office which is occupied during the day and
locked at night.
Retention and disposal:
Records are held at the regional office until termination of
sentence then transferred to the Washington National Records Center.
Records are destroyed ten years after the case becomes inactive.
System manager(s) and address:
FOIA Officer, United States Parole Commission, 5550 Friendship
Blvd., Chevy Chase, MD 20815.
Notification procedure:
Address inquiries to Regional Commissioner at appropriate
location. For general inquiries, address System Manager. The Attorney
General has exempted this system from compliance with the provisions
of Subsection (d) under the provisions of Subsection (j).
Record source categories:
1. Individual inmate: 2. Federal law enforcement agencies and
personnel: 3. State and Federal probation services; 4. Non-Federal
law enforcement agencies; 5. Educational institutions; 6. Hospital or
medical sources; 7. Relatives, friends and other interested
individuals or groups in the community; 8. Former or future
employers; 9. Evaluations, observations, reports and findings of
institution supervisors, counselors, boards and committees, Parole
Commission examiners, Parole Commission Members; 10. Federal court
records; 11. U.S. Bureau of Prisons personnel and records.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d)(e) (2) and (3), (e)(4) (G) and (H), (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 U.S.C. 553
(b), (c) and (e) and have been published in the Federal Register.
JUSTICE/PRC-004
System name: Labor and Pension Case, Legal File and General
Correspondence System.
System location:
All Labor and Pension cases, most legal files and some general
correspondence material is located at: Commission Headquarters, 5550
Friendship Blvd., Chevy Chase, MD 20815. The balance of the general
correspondence material is located at the Commission's Regional
Offices, the addresses of which are specified in the Inmate and
Supervisions System.
Categories of individuals covered by the system:
All applicants for exemptions under 29 U.S.C. 504 and 29 U.S.C.
1111, all persons litigating with the U.S. Parole Commission, all
persons corresponding with the Commission on subjects not amenable to
being filed in an inmate or supervision file identified by an
individual, and all Congressmen inquiring about constituents.
Categories of records in the system:
Pursuant to 29 U.S.C. 504 and 1111, the Commission processes
applications of persons convicted of certain crimes for exemptions to
allow their employment in the Labor or pension plan fields. The files
contain memoranda, correspondence, and legal documents with
information of a personal nature, i.e., family history, employment
history, income and wealth, etc., and of a criminal history nature,
i.e., record of arrests and convictions, and details as to the crime
which barred employment. The final decision of the Commission in each
case is a public document under the Freedom of Information Act. The
General Counsel's Office of the Parole Commission maintains work
files for each inmate or person on supervision who is litigating with
the Commission. These files contain personal and criminal history
type data regarding inmates, and internal communications among
attorneys, Commissioners and others developing the Commission's legal
position in these cases. Files of the Commission's correspondence
with Congressmen who inquire about constituents who have paroles or
revocations pending or other subjects are maintained in the
Chairman's Office and in the regions. Files of correspondence, notes,
and memoranda concerning parole revocation, rescission, and related
problems are also maintained in those locations. Some of this
material duplicates material in the inmate files and contain criminal
history type information about individuals.
Authority for maintenance of the system:
These files are maintained pursuant to 18 U.S.C. 4201, 5005-5041,
28 CFR part O, subpart V, 28 CFR parts 2 and 4, 29 U.S.C. 504, 1111,
and all statutory sections and procedural rules allowing inmates,
persons under supervision, or others to litigate with the Parole
Commission.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Within the Parole Commission material in this system is used
respectively by General Counsel's Office staff and Commission Members
in processing exemption applications. The legal file material is used
by General Counsel's Office staff in asserting the litigative
position of the Commission. The general correspondence is used by the
Commission personnel in responding to Congressmen, and by Commission
Members and others in transacting the day-to-day business of the
Commission. Final pension and labor case decisions are used by the
Commission, the Justice, and Labor Departments, and the public to
establish precedents in this field of administrative law.
In the event that material in this system indicates a violation
or potential violation of law, whether civil, criminal or regulatory
in nature, and whether arising by general statute, or by regulation,
rule or order issued pursuant thereto, the revelant records may be
referred to the appropriate agency, whether Federal, State, or local
or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation or order issued pursuant thereto. A
record from this system of records may be disclosed to a Federal,
State or local agency maintaining civil, criminal or other relevant
information if necessary to obtain information relevant to an agency
decision relating to pension or labor matters. A record from this
system may be disclosed to a Federal agency, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance 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.
Release of information to the News Media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the U.S. Parole Commission 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.
Release of information to Members of Congress:
Information contained in systems of records maintained by the
U.S. Parole Commission, not otherwise required to be released
pursuant to 5 U.S.C. 552, may be made available 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 in response to a
communication from the individual who is the subject of the record.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA):
A record may be disclosed as a routine use to the NARA and GSA in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
All data is on documents or other papers on bound files. Labor
and pension case material is in the General Counsel's Office or the
Chairman's Office at Headquarters, except for final decisions which
are in the Freedom of Information Act reading room. Legal files are
in the General Counsel's Office at Headquarters. General
correspondence is in the Chairman's Office, the office of his staff
at Headquarters, and the offices of each Regional Commissioner.
Retrievability:
Labor, pension, and legal file material is indexed or filed by
name of applicant or litigant, respectively. General correspondence
is indexed or filed by subject, time sequence or individuals to whom
the item refer.
Safeguards:
Material is available only to Commission employees on a ``need to
know'' basis. Storage locations are supervised by day and locked at
night. Only disclosure made therefrom is to other agencies of the
Department of Justice, the U.S. Probation Office, Federal enforcement
agencies or the Congress. Disclosure to congressmen in response to
inquiries concerning constituents is subject to the exemptions of the
Freedom of Information Act. The Commission decisions in labor and
pension cases are public information under the Freedom of Information
Act.
Retention and disposal:
Records are maintained for 10 years after the fiscal decision of
the court, and are shredded or destroyed electronically thereafter.
System manager(s) and address:
General Counsel, United States Parole Commission, 5550 Friendship
Blvd., Chevy Chase, MD 20815.
Record source categories:
a. Applicants for exemptions under 29 U.S.C. 504 and 29 U.S.C.
1111; b. U.S. Department of Labor; c. Administrative Law Judges and
others connected with labor or pension cases; d. Litigants proceeding
against Parole Commission; e. The Commission's legal staff and other
Commission personnel; f. Congressmen and others making inquiries of
Commission; g. Commission Members and employees responding to
inquiries, corresponding with others, preparing speeches, policy
statements and other means of contact with other branches of the
Federal Government, State, and local governments, and the public.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(2) and (3), (e)(4) (G) and (H), (e)(8), (f)
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.
JUSTICE/PRC-005
System name: Office Operation and Personnel System.
System location:
At each regional office as indicated in the ``Inmate and
Supervision File System Report'' and at the U.S. Parole Commission,
5550 Friendship Blvd., Chevy Chase, MD 20815.
Categories of individuals covered by the system:
Present and former Commission Members and employees of the U.S.
Parole Commission.
Categories of records in the system:
Personnel records, leave records, property schedules, budgets and
actual expense figures, obligation schedules, expense and travel
vouchers, and the balance of the usual paperwork to run a Government
office efficiently.
Authority for maintenance of the system:
All statutory sections, CFR sections, and OPM, MSPB, GSA, and OMB
directives establishing procedures for government personnel,
financial, and operational functions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Day-to-day activity involving personnel, financial, procurement,
maintenance, recordkeeping, mail delivery, and management functions.
Release of information to the News Media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of information to Members of Congress:
Information contained in systems of records maintained by the
U.S. Parole Commission, not otherwise required to be released
pursuant to 5 U.S.C. 552, may be made available 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 in response to a
communication from the individual who is the subject of the record.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA):
A record may be disclosed as a routine use to the NARA and GSA in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are in paper files or on computer printouts. They are
stored in operations areas of offices.
Retrievability:
Data of a personal nature is in employee personnel files, used by
Commission personnel files, used by Commission personnel on a ``need
to know'' basis. Each employee has a right to see his own file on
request. Other files are used by Commission personnel on a ``need to
know'' basis.
Safeguards:
Files are supervised by appropriate personnel during the working
day and are locked in rooms at night.
Retention and disposal:
Cutoff files at the end of the calendar year, held at the agency
for one year then transferred to the Washington National Records
Center. Destroy seven years after cutoff.
System manager(s) and address:
Executive Officer, U.S. Parole Commission, 5550 Friendship Blvd.,
Chevy Chase, MD 20815.
Notification procedure:
Same as the above.
Record access procedures:
Same as the above.
Contesting record procedures:
Same as the above.
Record source categories:
The U.S. Parole Commission, the Justice Management Division and
all other contributing government agencies.
Systems exempted from certain provisions of the act:
None.
JUSTICE/PRC-006
System name: Statistical, Education and Developmental System.
System location:
Parole Commission Headquarters, 5550 Friendship Blvd., Chevy
Chase, MD 20815.
Categories of individuals covered by the system:
Any inmate or former inmate under custody of the Attorney General
including former inmates supervised as parolees or mandatory
releases.
Categories of records in the system:
All records as described in the Workload Record, Decision Result,
and Annual Report System Plus data on additional input forms and
certain follow-up forms and the Salient Factor Worksheet Form. These
forms include criminal history-type data elements regarding specific
individuals selected from the above category of individuals. This
data is either organized and processed by hand or is input into a
computer and has been used to provide the following one-time reports
in pamphlet-text form: (a) Administrative Review of Parole Selection
and Revocation decisions; (b) Parole Decisionmaking, a Salient Factor
Score; (c) Effect of Representation at Parole Hearings: (d) Parole
Decisionmaking--Structuring Discretion (e) Time Served and Release
Performance--A Federal Sample and certain additional reports, all
available in the public reading room. The data base collected as
described in this and in JUSTICE/PRC 007 system will be used to
prepare studies on similar or related subjects in the future. It has
been used to develop revocation guidelines similar to parole
guidelines, rescission guidelines and other operational improvements.
Items collected for this data base may change depending on the
subject matter of new studies to be undertaken by the Commission.
Authority for maintenance of the system:
18 U.S.C. 4201-4218, 5005-5041, 28 CFR part O, subpart V, 28 CFR
part 2.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Internal--Develop methodology for a more scientific
determination of parolability and revocability, methodology to comply
with changing concepts of due process, and methodolgy to select
persons to be released from prison who will be less likely to
recidivate.
b. External--Add to the general body of knowledge in the parole
area of criminology, and provide educational material for other
parole boards, and members of the criminal justice and academic
communities interested in this subject. Published pamphlets in text
form are prepared on subjects of interest in this area of criminology
and are circulated freely. They contain no references to individuals,
either by name, address, register number or other means of
identification. They do not contain recognizable fact situations,
descriptions, or other writings through which identification of any
individual within the present or former jurisdiction of the Parole
Commission can be made.
Release of information to the news media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR part 502 may be made available from systems
of records maintained by the U.S. Parole Commission 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.
Release of information to members of congress:
Information contained in systems of records maintained by the
U.S. Parole Commission not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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 in response to a
communication from the individual who is the subject of the record.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA):
A record may be disclosed as a routine use to the NARA and GSA in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Data is in input forms on printouts or other computer produced
storage media. It is stored as described in the JUSTICE/PRC-007
system description. Pamphlet text reports are public documents stored
in offices, libraries, and in bookshelves, and in the public reading
room.
Retrievability:
Information by name, register number or FBI identification number
may be retrieved from the input forms, card decks, or storage media.
This material is used only by authorized Parole Commission personnel
on a ``need to know'' basis and is data processed only by authorized
Bureau of Prisons or Justice Department personnel. Material is not
retrieved in identifiable form except that computer produced ``hard
copy'' may be used to prepare a report or internal work papers. The
final pamphlet text reports and material resulting from studies are
used by Commission personnel for internal purposes and the public
externally. None of this material contains any references to an
individual. Documents which contains information concerning one
individual are made available to that individual if requested under
the Privacy Act.
Safeguards:
See ``Safeguards'' section of JUSTICE/PRC-007 regarding input
forms, printouts, discs, or tape. Reports in pamphlet form are not
safeguarded.
Retention and disposal:
See ``Retention and Disposal'' of preceding system. The studies
in pamphlet form are not disposed of on schedule. Some will be
maintained perpetually in archives.
System manager(s) and address:
Research Director, U.S. Parole Commission, 5550 Friendship Blvd.,
Chevy Chase, Md. 20815.
Record source categories:
a. Commission inmate files; b. Docket Sheets; c. Commission
Notices of Action, orders and documentation following hearings; d.
Commission warrant applications and warrants; e. General Commission
records and data; f. Enforcement agency records regarding former
inmates.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e) (2) and (3), (e)(4) (G) and (H), (e)(8),
(f), 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.
JUSTICE/PRC-007
System name: Workload Record, Decision Result, and Annual Report
System.
System location:
U.S. Parole Commission Headquarters, 5550 Friendship Blvd., Chevy
Chase, MD 20815.
Categories of individuals covered by the system:
Any inmate and parolee or mandatory releasee who has been the
subject of a decision for the period covered in the report for which
the data is used (prior month, prior quarter, prior year or other
period).
Categories of records in the system:
Certain original input forms indicate the inmate or person under
supervision by name and register number and give the date and
specific statistical detail as to the decision made. They include
criminal history type of information regarding the persons in
questions. The principle types of decisions covered are after initial
or review hearings, after a record review, after Regional Appeal,
after National Appeal, and after a decision reopening and modifying.
The data is input into a computer and is used to provide the
following: (a) A monthly report of workload containing number and
type of hearings per region further broken out by institutions within
regions and type of sentence; (b) Bimonthly report on decision
results indicating, among other statistics, number and type of
decisions within above, and below guidelines broken out by examiners
making the decisions; (c) Other or substitute reports as needed; and
(d) Together with land posted data on other items of statistical
value, this data is being used to create the Annual Report of the
Commission.
Authority for maintenance of the system:
18 U.S.C. 4201-4216, 5005-5041, 28 CFR part O, subpart V, 28 CFR
part 2
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(a) These records are used internally to analyze work product,
the performance of evaluators, and various types of procedures and
hearings and to evaluate the guidelines and other Commission
procedures.
(b) These records are used to prepare an annual report to the
Attorney General, and Congress and the public indicating in
quantitative and qualitative terms Commission activity and
accomplishment.
(c) In the event that material in this system indicates a
violation or potential violation of law, whether a civil, criminal or
regulatory in nature, and whether arising by general statute, or by
regulation, rule or order issued pursuant thereto, the relevant
records may be referred to the appropriate agency, whether Federal,
State, local, or foreign charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto.
(d) A record from this system of records may be disclosed to a
Federal, State, or local agency maintaining civil, criminal or other
relevant information if necessary to obtain information relevant to
Parole Commission matters.
(e) A record from this system may be disclosed to a Federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant or other benefit by the
requesting agency, to the extent that information is relevant and
necessary to the requesting agency's decision on the matter.
Release of Information to the News Media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the U.S. Parole Commission 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.
Release of Information to Members of Congress:
Information contained in the systems of records maintained by the
U.S. Parole Commission not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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 in response to a
communication from the individual who is the subject of the record.
Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA):
A record may be disclosed as a routine use to the NARA and GSA in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper input forms are stored in folders only until information
from them is entered into machine readable media. Monthly and other
reports in the form of computer printouts are filed in folders.
Annual report is in book form and stored in library shelves.
Retrievability:
Data in this system can be retrieved by inmate's name and
register number from the original input forms, and computer-produced
storage media. It is usually only retrieved by region, by examiner,
by type of decision made or hearing held, by relation to the
guidelines and other similar means except for individual case
retrievability when infrequently required.
Safeguards:
Data on forms, tape or other computer produced storage media
retrievable by individual is stored in the Commission's Office in
cabinets. Commission employees supervise this data by day and use it
on a ``need to know'' basis. The rooms where it is stored are locked
outside of office hours and the entire Headquarters building is
locked at certain times with card key access. Monthly and other
reports are for use of the Chairman, the Executive Officer and
Commission Members and professional personnel. No information thereon
is retrievable as pertaining to any individual except certain
breakouts by Parole Commission employee examiners and by inmate in
the guideline section of reports. These printouts are stored in the
Commission Headquarters offices, all of which are supervised by day,
and locked at night. The Annual Report contains no information
identifiable by individual and is a public document.
Retention and disposal:
The master file and documentation are to be retained permanently.
All other related records, including reports and software, are to be
destroyed when no longer needed for administrative use.
System manager(s) and address:
Director, Research and Program Development, 5550 Friendship
Blvd., Chevy Chase, MD 20815.
Record source categories:
(a) Commission inmates files; (b) Docket sheets; (c) Commission
notices of action, orders, and documentation following hearings; (d)
Commission warrant applications and warrants; (e) General Commission
records and data.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(2) and (3), (e)(4) (G) and (H), (e)(8), (f)
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.
JUSTICE DEPARTMENT
Title 28-Judicial Administration
Chapter I-Department of Justice
PART 16--PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION
Subpart D--Protection of Privacy and Access to Individual Records Under
the Privacy Act of 1974
Sec.
16.40 General provisions.
16.41 Requests for access to records.
16.42 Responsibility for responding to requests for access to records.
16.43 Responses to requests for access to records.
16.44 Classified information.
16.45 Appeals from denials of requests for access to records.
16.46 Requests for amendment or correction of records.
16.47 Requests for an accounting or record disclosures.
16.48 Preservation of records.
16.49 Fees.
16.50 Notice of court-ordered and emergency disclosures.
16.51 Security of systems or records.
16.52 Contracts for the operation of record systems.
16.53 Use and collection of social security numbers.
16.54 Employee standards of conduct.
16.55 Other rights and services.
Subpart E-Exemption of Records Systems Under the Privacy Act
16.70 Exemption of the Office of the Attorney General System--limited
access.
16.71 Exemption of the Office of the Deputy General System-limited
accrss.
16.72 Exemption of Office of the Associate Attorney General System-
limited access.
16.73 Exemption of Office of Legal Policy System-limited access.
16.74 Exemption of Office of Intelligence Policy and Review systems-
limited access.
16.75 Exemption of the Office of the Inspector General systems-limited
access.
16.76 Exemption of Justice Management Division.
16.77 Exemption of U.S. Trustee Program system-limited access.
16.78 Exemption of the Special Counsel for Immigration-Related, Unfair
employment Practices Systems.
16.79 Exemption of Pardon Attorney Systems.
16.80 Exemption of Office of Professional Responsibility system-limited
access.
16.81 Exemption of United States Attorneys systems-limited access.
16.82 Exemption of the National Drug Intelligence Center Data Base-
limited access.
16.83 Exemption of the Executive Office for Immigration Review System-
limited access.
16.84 Exemption of Immigration Appeals System.
16.85 Exemption of U.S. Parole Commission-limited access.
16.88 Exemption of Antitrust Division systems-limited access.
16.89 Exemption of Civil Division Systems-limited access.
16.90 Exemption of Civil rights Division Systems.
16.91 Exemption of Criminal Division Systems--limited access, as
indicated.
16.92 Exemption of Environment and Naturadl Resources Division Systems-
-limited access.
16.93 Exemption of Tax Division Systems--limited access.
16.96 Exemption of Federal Bureau of Investigation systems-limited
access.
16.97 Exemption of Bureau of Prisons systems-limited access.
16.98 Exemption of the Drug Enforcement Administration (DEA)-limited
access.
16.99 Exemption of Immigration and Naturalization Service System-
limited access.
16.100 Exemption of Office of Justice Programs-limited access.
16.101 Exemption of U.S. Marshals Service Systems-limited access, as
indicated.
16.102 Exemption of Drug Enforcement Administration and Immigration and
Naturalization Service Joint System of Records.
16.103 Exemption of the INTERPOL-United States national Central bureau
(INTERPOL-USNCB) System.
16.104 Exemption of Office of Special Counsel-Waco System.
16.130 Exemption of Department of Justice Systems; Correspondence
Management; Systems for the Department of Justice (DOJ-003); Freedom
of Information Act, Privacy Act and mandatory Declassification
Review Requests and Administrative Appeals for the Department of
Justice (DOJ-004).
16.131 Exemption of Department of Justice (DOJ)/Nationwide Joint
Automated Booking System (JABS), DOJ-005.
Subpart D--Protection of Privacy and Access to Individual Records
Under the Privacy Act of 1974
Source: Order No. 2156-99, 63 FR 29591, Jun. 1, 1998, unless otherwise
noted.
Sec. 16.40 General provisions.
(a) Purpose and scope. This subpart contains the rules that the
Department of Justice follows under the Privacy Act of 1974, 5 U.S.C.
552a. These rules should be read together with the Privacy Act, which
provides additional information about records maintained on individuals.
The rules in this subpart apply to all records in systems of records
maintained by the Department that are retrieved by an individual's name
or personal identifier. They describe the procedures by which
individuals may request access to records themselves, request amendment
or correction of those records, and request an accounting of disclosures
of those by the Department. In addition, the Department processes all
Privacy Act requests for access to records under the Freedom of
Information Act (FOIA), 5 U.S.C. 552, following the rules contained in
subpart A of this part, which gives requests the benefit of both
statutes.
(b) Definitions. As used in this subpart:
(1) Component. means each separate bureau, office, board, division,
commission, service, or administration of the Department of Justice.
(2) Request for access. to a record means a request made under Privacy
Act subsection (d)(1).
(3) Request for amendment or correction of a record means a request
made under Privacy Act subsection (d)(2).
(4) Request for an accounting means a request made under Privacy Act
subsection (c)(3).
(5) Requester means an individual who makes a request for access, a
request for amendment or correction, or a request for an accounting
under the Privacy Act.
(c) Authority to request records for a law enforcement purpose. The
head of a component or a United States Attorney, or either's designee,
is authorized to make written requests under subsection (b)(7) of the
Privacy Act for records maintained by other agencies that are necessary
to carry out an authorized law enforcement activity.
Sec. 16.41 Requests for access to records.
(a) How made and addressed. You may make a request for access to a
Department of Justice record about yourself by appearing in person or by
writing directly to the Department component that maintains the record.
Your request should be sent or delivered to the component's Privacy Act
office at the address listed in appendix I to this part. In most cases,
a component's central Privacy Act office is the place to send a Privacy
Act request. For records held by a field office of the Federal Bureau of
Investigation (FBI) or the Immigration and Naturalization Service (INS),
however, you must write directly to that FBI or INS field office
address, which can be found in most telephone books or by calling the
component's central Privacy Act office. (The functions of each component
are summarized in Part 0 of this title and in the description of the
Department and its components in the ``United States Government
Manual,'' which is issued annually and is available in most libraries,
as well as for sale from the Government Printing Office's Superintendent
of Documents. This manual also can be accessed electronically at the
Government Printing Office's World Wide Web site (which can be found at
http://www.access.gpo.gov/su_docs). If you cannot determine where within
the Department to send your request, you may send it to the FOIA/PA Mail
Referral Unit, Justice Management Division, U.S. Department of Justice,
950 Pennsylvania Avenue, NW., Washington, DC 20530-0001, and that office
will forward it to the component(s) it believes most likely to have the
records that you seek. For the quickest possible handling, you should
make both your request letter and the envelope ``Privacy Act Request.''
(b) Description of records sought. You must describe the records that
you want in enough detail to enable Department personnel to locate the
system of records containing them with a reasonable amount of effort.
Whenever possible, your request should describe the records sought, the
time periods in which you believe they were compiled, and the name or
identifying number of each system of records in which you believe they
are kept. The Department publishes notices in the Federal Register that
describe its components' systems of records. A description of the
Department's systems of records also may be found as part of the
``Privacy Act Compilation'' published by the National Archives and
Records Administration's Office of the Federal Register. This
compilation is available in most large reference and university
libraries. This compilation also can be accessed electronically at the
Government Printing Office's World Wide Web site (which can be found at
http://www.access.gpo.gov/su_docs).
(c) Agreement to pay fees. If you make a Privacy Act request for
access to records, it shall be considered an agreement by you to pay all
applicable fees charged under Sec. 16.49, up to $25.00. The component
responsible for responding to your request ordinarily shall confirm this
agreement in an acknowledgement letter. When making a request, you may
specify a willingness to pay a greater or lesser amount.
(d) Verification of identify. When you make a request for access to
records about yourself, you must verify your identity. You must state
your full name, current address, and date and place of birth. You must
sign your request and your signature must either be notarized or
submitted by you under 28 U.S.C. 1746, a law that permits statements to
be made under penalty of perjury as a substitute for notarization. While
no specific form is required, you may obtain forms for this purpose from
the FOIA/PA Mail Referral Unit, Justice Management Division. U.S.
Department of Justice, 950 Pennsylvania Avenue, NW., Washington, DC
20530-0001. In order to help the identification and location of
requested records, you may also, at your option, include your social
security number.
(e) Verification of guardianship. When making a request as the parent
or guardian of a minor or as the guardian of someone determined by a
court to be incompetent, for access to records about that individual,
you must establish:
(1) The identity of the individual who is the subject of the record,
by stating the name, current address, date and place of birth, and, at
your option, the social security number of the individual;
(2) Your own identity, as required in paragraph (d) of this section;
(3) That you are the parent or guardian of that individual, which you
may prove by providing a copy of the individual's birth certificate
showing your parentage or by providing a court order establishing your
guardianship; and
(4) That you are acting on behalf of that individual in making the
request.
Sec. 16.42 Responsibility for responding to requests for access to
records.
(a) In general. Except as stated in paragraphs (c), (d), and (e) of
this section, the component that first receives a request for access to
a record, and has possession of that record, is the component
responsible for responding to the request. In determining which records
are responsive to a request, a component ordinarily shall include only
those records in its possession as of the date the component begins its
search for them. If any other date is used, the component shall inform
the requester of that date.
(b) Authority to grant or deny requests. The head of a component, or
the component head's designee, is authorized to grant or deny and
request for access to a record of that component.
(c) Consultation and referrals. When a component receives a request
for access to a record in its possession, it shall determine whether
another component, or another agency of the Federal Government, is
better able to determine whether the record is exempt from access under
the Privacy Act. If the receiving component determines that it is best
able to process the record in response to the request, then it shall do
so. If the receiving component determines that it is not best able to
process the record, then it shall either:
(1) Respond to the request regarding that record, after consulting
with the component or agency best able to determine whether the record
is exempt from access and with any other component or agency that has a
substantial interest in it; or
(2) Refer the responsibility for responding to the request regarding
that record to the component best able to determine whether it is exempt
from access, or to another agency that originated the record (but only
if that agency is subject to the Privacy Act). Ordinarily, the component
or agency that originated a record will be presumed to be best able to
determine whether it is exempt from access.
(d) Law enforcement information. Whenever a request is made for access
to a record containing information that relates to an investigation of a
possible violation of law and that was originated by another component
or agency, the receiving component shall either refer the responsibility
for responding to the request regarding that information to that other
component or agency or shall consult with that other component or
agency.
(e) Classified information. Whenever a request is made for access to a
record containing information that has been classified by or may be
appropriate for classification by another component or agency under
Executive Order 12958 or any other executive order concerning the
classification of records, the receiving component shall refer the
responsibility for responding to the request regarding that information
to the component or agency that classified the information, should
consider the information for classification, or has the primary interest
in it, as appropriate. Whenever a record contains information that has
been derivatively classified by a component because it contains
information classified by another component or agency, the component
shall refer the responsibility for responding to the request regrading
that information to the component or agency that classified the
underlying information.
(f) Notice of referral. Whenever a component refers all or any part of
the responsibility for responding to a request to another component or
agency, it ordinarily shall notify the requester of the referral and
inform the requester of the name of each component or agency to which
the request has been referred and of the part of the request that has
been referred.
(g) Timing of responses to consultations and referrals. All
consultations and referrals shall be handled according to the date the
Privacy Act access request was initially received by the first component
or agency, not any later date.
(h) Agreements regarding consultations and referrals. Components may
make agreements with other components or agencies to eliminate the need
for consultations or referrals for particular types of records.
Sec. 16.43 Responses to requests for access to records.
(a) Acknowledgements of requests. On receipt of a request, a component
ordinarily shall send an acknowledgement letter to the requester which
shall confirm the requester's agreement to pay fees under Sec. 16.41(c)
and provide an assigned request number for further reference.
(b) Grants of requests for access. Once a component makes a
determination to grant a request for access in whole or in part, it
shall notify the requester in writing. The component shall inform the
requester in the notice of any fee charged under Sec. 16.49 and shall
disclose records to the requester promptly on payment of any applicable
fee. If a request is made in person, the component may disclose records
to the requester directly, in a manner not unreasonably disruptive of
its operations, on payment of any applicable fee and with a written
record made of the grant of the request. If a requester is accompanied
by another person, the requester shall be required to authorize in
writing any discussion of the records in the presence of the other
person.
(c) Adverse determinations of requests for access. A component making
an adverse determination denying a request for access in any respect
shall notify the requester of that determination in writing. Adverse
determinations, or denials of requests, consist of: A determination to
withhold any requested record in whole or in part; a determination that
a requested record does not exist or cannot be located; a determination
that what has been requested is not a record subject to the Privacy Act;
a determination on any disputed fee matter; and a denial of a request
for expedited treatment. The notification letter shall be signed by the
head of the component, or the component head's designee, and shall
include:
(1) The name and title or position of the person responsible for the
denial;
(2) A brief statement of the reason(s) for the denial, including any
Privacy Act exemption(s) applied by the component in denying the
request; and
(3) A statement that the denial may be appealed under Sec. 16.45(a)
and a description of the requirements of Sec. 16.45(a).
Sec. 16.44 Classified information.
In processing a request for access to a record containing information
that is classified under Executive Order 12958 or any other executive
order, the originating component shall review the information to
determine whether it should remain classified. Information determined to
no longer require classification shall not be withheld from a requester
on the basis of Exemption (k)(1) of the Privacy Act. On receipt of any
appeal involving classified information, the Office of Information and
Privacy shall take appropriate action to ensure compliance with part 17
of this title.
Sec. 16.45 Appeals from denials of requests for access to records.
(a) Appeals. If you are dissatisfied with a component's response to
your request for access to records, you may appeal an adverse
determination denying your request in any respect to the Office of
Information and Privacy, U.S. Department of Justice, Flag Building,
Suite 570, Washington, DC 20530-0001. You must make your appeal in
writing and it must be received by the Office of Information and Privacy
within 60 days of the date of the letter denying your request. Your
appeal letter may include as much or as little related information as
you wish, as long as it clearly identifies the component determination
(including the assigned request number, if known) that you are
appealing. For the quickest possible handling, you should mark both your
appeal letter and the envelope ``Privacy Act Appeal.'' Unless the
Attorney General directs otherwise, a Director of the Office of
Information and Privacy will act on behalf of the Attorney General on
all appeals under this section, except that:
(1) In the case of an adverse determination by the Deputy Attorney
General or the Associate Attorney General, the Attorney General or the
Attorney General's designee will act on the appeal;
(2) An adverse determination by the Attorney General will be the final
action of the Department; and
(3) An appeal ordinarily will not be acted on if the request becomes a
matter of litigation.
(b) Responses to appeals. The decision on your appeal will be made in
writing. A decision affirming an adverse determination in whole or in
part will include a brief statement of the reason(s) for the affirmance,
including any Privacy Act exemption applied, and will inform you of the
Privacy Act provisions for court review of the decision. If the adverse
determination is reversed or modified on appeal in whole or in part, you
will be notified in a written decision and your request will be
reprocessed in accordance with that appeal decision.
(c) When appeal is required. If you wish to seek review by a court of
any adverse determination or denial of a request, you must first appeal
it under this section.
Sec. 16.46 Requests for amendment or correction of records.
(a) How made and addressed. Unless the record is not subject to
amendment or correction as stated in paragraph (f) of this section, you
may make a request for amendment or correction of a Department of
Justice record about yourself by writing directly to the Department
component that maintains the record, following the procedures in
Sec. 16.41. Your request should identify each particular record in
question, state the amendment or correction that you want, and state why
you believe that the record is not accurate, relevant, timely, or
complete. You may submit any documentation that you think would be
helpful. If you believe that the same record is in more than one system
of records, you should state that and address your request to each
component that maintains a system of records containing the record.
(b) Component responses. Within ten working days of receiving your
request for amendment or correction of records, a component shall send
you a written acknowledgment of its receipt of your request, and it
shall promptly notify you whether your request is granted or denied. If
the component grants your request in whole or in part, it shall describe
the amendment or correction made and shall advise you of your right to
obtain a copy of the corrected or amended record, in disclosable form.
If the component denies your request in whole or in part, it shall send
you a letter signed by the head of the component, or the component
head's designee, that shall state:
(1) The reason(s) for the denial; and
(2) The procedure for appeal of the denial under paragraph (c) of this
section, including the name and business address of the official who
will act on your appeal.
(c) Appeals. You may appeal a denial of a request for amendment or
correction to the Office of Information and Privacy in the same manner
as a denial of a request for access to records (see Sec. 16.45) and the
same procedures shall be followed. If your appeal is denied, you shall
be advised of your right to file a Statement of Disagreement as
described in paragraph (d) of this section and of your right under the
Privacy Act for court review of the decision.
(d) Statements of Disagreement. If your appeal under this section is
denied in whole or in part, you have the right to file a Statement of
Disagreement that states your reason(s) for disagreeing with the
Department's denial of your request for amendment or correction.
Statements of Disagreement must be concise, must clearly identify each
part of any record that is disputed, and should be no longer than one
typed page for each fact disputed. Your Statement of Disagreement must
be sent to the component involved, which shall place it in the system of
records in which the disputed record is maintained and shall mark the
disputed record to indicate that a Statement of Disagreement has been
filed and where in the system of records it may be found.
(e) Notification of amendment/correction or disagreement. Within 30
working days of the amendment or correction of a record, the component
that maintains the record shall notify all persons, organizations, or
agencies to which it previously disclosed the record, if an accounting
of that disclosure was made, that the record has been amended or
corrected. If an individual has filed a Statement of Disagreement, the
component shall append a copy of it to the disputed record whenever the
record is disclosed and may also append a concise statement of its
reason(s) for denying the request to amend or correct the record.
(f) Records not subject to amendment or correction. The following
records are not subject to amendment or correction:
(1) Transcripts of testimony given under oath or written statements
made under oath;
(2) Transcripts of grand jury proceedings, judicial proceedings, or
quasi-judicial proceedings, which are the official record of those
proceedings;
(3) Presentence records that originated with the courts; and
(4) Records in systems of records that have been exempted from
amendment and correction under Privacy Act, 5 U.S.C. 552a(j) or (k) by
notice published in the Federal Register.
Sec. 16.47 Requests for an accounting of record disclosures.
(a) How made and addressed. Except where accountings of disclosures
are not required to be kept (as stated in paragraph (b) of this
section), you may make a request for an accounting of any disclosure
that has been made by the Department to another person, organization, or
agency of any record about you. This accounting contains the date,
nature, and purpose of each disclosure, as well as the name and address
of the person, organization, or agency to which the disclosure was made.
Your request for an accounting should identify each particular record in
question and should be made by writing directly to the Department
component that maintains the record, following the procedures in
Sec. 16.41.
(b) Where accountings are not required. Components are not required to
provide accountings to you where they relate to:
(1) Disclosures for which accountings are not required to be kept--in
other words, disclosures that are made to employees within the agency
and disclosures that are made under the FOIA;
(2) Disclosures made to law enforcement agencies for authorized law
enforcement activities in response to written requests from those law
enforcement agencies specifying the law enforcement activities for which
the disclosures are sought; or
(3) Disclosures made from law enforcement systems of records that have
been exempted from accounting requirements.
(c) Appeals. You may appeal a denial of a request for an accounting to
the Office of Information and Privacy in the same manner as a denial of
a request for access to records (see Sec. 16.45) and the same procedures
will be followed.
Sec. 16.48 Preservation of records.
Each component will preserve all correspondence pertaining to the
requests that it receives under this subpart, as well as copies of all
requested records, until disposition or destruction is authorized by
title 44 of the United States Code or the National Archives and Records
Administration's General Records Schedule 14. Records will not be
disposed of while they are the subject of a pending request, appeal, or
lawsuit under the Act.
Sec. 16.49 Fees.
Components shall charge fees for duplication of records under the
Privacy Act in the same way in which they charge duplication fees under
Sec. 16.11. No search or review fee may be charged for any record unless
the record has been exempted from access under Exemptions (j)(2) or
(k)(2) of the Privacy Act.
Sec. 16.50 Notice of court-ordered and emergency disclosures.
(a) Court-ordered disclosures. When a record pertaining to an
individual is required to be disclosed by a court order, the component
shall make reasonable efforts to provide notice of this to the
individual. Notice shall be given within a reasonable time after the
component's's receipt of the order--except that in a case in which the
order is not a matter of public record, the notice shall be given only
after the order becomes public. This notice shall be mailed to the
individual's last known address and shall contain a copy of the order
and description of the information disclosed. Notice shall not be given
if disclosure is made from a criminal law enforcement system of records
that has been exempted from the notice requirement.
(b) Emergency disclosures. Upon disclosing a record pertaining to an
individual made under compelling circumstances affecting health or
safety, the component shall notify that individual of the disclosure.
This notice shall be mailed to the individual's last known address and
shall state the nature of the information disclosed; the person,
organization, or agency to which it was disclosed; the date of
disclosure; and the compelling circumstances justifying the disclosure.
Sec. 16.51 Security of systems of records.
(a) Each component shall establish administrative and physical
controls to prevent unauthorized access to its systems of records, to
prevent unauthorized disclosure of records, and to prevent physical
damage to or destruction of records. The stringency of these controls
shall correspond to the sensitivity of the records that the controls
protect. At a minimum, each component's administrative and physical
controls shall ensure that.
(1) Records are protected from public view;
(2) The area in which records are kept is supervised during business
hours to prevent unauthorized persons from having access to them;
(3) Records are inaccessible to unauthorized persons outside of
business hours; and
(4) Records are not disclosed to unauthorized persons or under
unauthorized circumstances in either oral or written form.
(b) Each component shall have procedures that restrict access to
records to only those individuals within the Department who must have
access to those records in order to perform their duties and that
prevent inadvertent disclosure of records.
Sec. 16.52 Contracts for the operation of record systems.
Any approved contract for the operation of a record system will
contain the standard contract requirements issued by the General
Services Administration to ensure compliance with the requirements of
the Privacy Act for that record system. The contracting component will
be responsible for ensuring that the contractor complies with these
contract requirements.
Sec. 16.53 Use and collection of social security numbers.
Each component shall ensure that employees authorized to collect
information are aware:
(a) That individuals may not be denied any right, benefit, or
privilege as a result of refusing to provide their social security
numbers, unless the collection is authorized either by a statute or by a
regulation issued prior to 1975; and
(b) That individuals requested to provide their social security
numbers must be informed of:
(1) Whether providing social security numbers is mandatory or
voluntary;
(2) Any statutory or regulatory authority that authorizes the
collection of social security numbers; and
(3) The uses that will be made of the numbers.
Sec. 16.54 Employee standards of conduct.
Each component will inform its employees of the provisions of the
Privacy Act, including the Act's civil liability and criminal penalty
provisions. Unless otherwise permitted by law, an employee of the
Department of Justice shall:
(a) Collect from individuals only the information that is relevant and
necessary to discharge the responsibilities of the Department;
(b) Collect information about an individual directly from that
individual whenever practicable;
(c) Inform each individuals from whom information is collected of:
(1) The legal authority to collect the information and whether
providing it is mandatory or voluntary;
(2) The principal purpose for which the Department intends to use the
information;
(3) The routine uses the Department may make of the information; and
(4) The effects on the individuals, if any, of not providing the
information;
(d) Ensure that the component maintains no system of records without
public notice and that it notifies appropriate Department officials of
the existence or development of any system of records that is not the
subject of a current or planned public notice;
(e) Maintain all records that are used by the Department in making any
determination about an individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to ensure
fairness to the individual in the determination;
(f) Except as to disclosures made to an agency or made under the FOIA,
make reasonable efforts, prior to disseminating any record about an
individual, to ensure that the record is accurate, relevant, timely, and
complete;
(g) Maintain no record describing how an individual exercises his or
her First Amendment rights, unless it is expressly authorized by statute
or by the individual about whom the record is maintained, or is
pertinent to and within the scope of an authorized law enforcement
activity;
(h) When required by the Act, maintain an accounting in the specified
form of all disclosures of records by the Department to persons,
organizations, or agencies;
(i) Maintain and use records with care to prevent the unauthorized or
inadvertent disclosure of a record to anyone; and
(j) Notify the appropriate Department official of any record that
contains information that the Privacy Act does not permit the Department
to maintain.
Sec. 16.55 Other rights and services.
Nothing in this subpart shall be construed to entitle any person, as
of right, to any service or to the disclosure of any record to which
such person is not entitled under the Privacy Act.
Subpart E--Exemption of Records Systems Under the Privacy Act
Source: Order No. 645-76, 41 FR 12640, Mar. 26, 1976, unless otherwise
noted.
Sec. 16.70 Exemption of the Office of the Attorney General System--
limited access.
(a) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4); (d); (e) (1), (2) and (3), (e)(4) (G) and (H), (e)(5); and
(g):
(1) General Files System of the Office of the Attorney General
(JUSTICE/OAG-001).
These exemptions apply only to the extent that information in the system
is subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(1),
(k)(2), and (k)(5).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest on the part of the Department of
Justice as well as the recipient agency. This would permit record
subjects to impede the investigation, e.g., destroy evidence, intimidate
potential witnesses, or flee the area to avoid inquiries or apprehension
by law enforcement personnel.
(2) From subsection (c)(4) because this system is exempt from the
access provisions of subsection (d) pursuant to subsections (j) and (k)
of the Privacy Act.
(3) From subsection (d) because the records contained in this system
relate to official Federal investigations. Individual access to these
records might compromise ongoing investigations, reveal confidential
informants or constitute unwarranted invasions of the personal privacy
of third parties who are involved in a certain investigation. Amendment
of the records would interfere with ongoing criminal law enforcement
proceedings and impose an impossible administrative burden by requiring
criminal investigations to be continuously reinvestigated.
(4) From subsections (e) (1) and (5) because in the course of law
enforcement investigations, information may occasionally be obtained or
introduced the accuracy of which is unclear or which is not strictly
relevant or necessary to a specific investigation. In the interests of
effective law enforcement, it is appropriate to retain all information
that may aid in establishing patterns of criminal activity. Moreover, it
would impede the specific investigative process if it were necessary to
assure the relevance, accuracy, timeliness and completeness of all
information obtained.
(5) From subsection (e)(2) because in a law enforcement investigation
the requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law enforcement in that the subject of the investigation would be
informed of the existence of the investigation and would therefore be
able to avoid detection, apprehension, or legal obligations of duties.
(6) From subsection (e)(3) because to comply ith the requirements of
this subsection during the course of an investigation could impede the
information gathering process, thus hampering the investigation.
(7) From subsections (e)(4) (G) and (H) because this system is exempt
from the access provisions of subsection (d) pursuant to subsections (j)
and (k) of the Privacy Act.
(8) From subsection (g) because this system is exempt from the access
and amendment provisions of subsection (d) pursuant to subsections (j)
and (k) of the Privacy Act.
[Order No. 31-85, 51 FR 751, Jan. 8, 1986]
Sec. 16.71 Exemption of the Office of the Deputy Attorney General
System--limited access.
(a) The following systems of records and exempt from 5 U.S.C.
552a(d)(1) and (e)(1):
(1) Presidential Appointee Candidate Records System (JUSTICE/DAG-006).
(2) Presidential Appointee Records System (JUSTICE/DAG-007).
(3) Special Candidates for Presidential Appointments Records System
(JUSTICE/DAG-008).
(4) Miscellaneous Attorney Personnel Records System (JUSTICE/DAG-011).
These exemptions apply only to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a(k)(5).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (d)(1) because many persons are contacted who,
without an assurance of anonymity, refuse to provide information
concerning a candidate for a Presidential appointee or Department
attorney position. Access could reveal the identity of the source of the
information and constitute a breach of the promise of confidentiality on
the part of the Department of Justice. Such breaches ultimately would
restrict the free flow of information vital to a determination of a
candidate's qualifications and suitability.
(2) From subsection (e)(1) because in the collection of information
for investigative and evaluative purposes, it is impossible to determine
in advance what exact information may be of assistance in determining
the qualifications and suitability of a candidate. Information which may
appear irrelevant, when combined with other seemingly irrelevant
information, can on occasion provide a composite picture of a candidate
for a position which assists in determining whether that candidate
should be nominated for appointment.
(c) The following systems of records are exempt from 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (2), (3) and (5); and (g):
(1) Drug Enforcement Task Force Evaluation and Reporting System
(JUSTICE/DAG-003).
(2) General Files System of the Office of the Deputy Attorney General
(JUSTICE/DAG-013).
(d) In addition, the Drug Enforcement Task Force Evaluation and
Reporting System is exempt from 5 U.S.C. 552a(e)(4)(G) and (H). The
exemptions for the Drug Enforcement Task Force Evaluation and Reporting
System apply only to the extent that information is subject to exemption
pursuant to 5 U.S.C. 552a(j)(2) and (K)(2). The exemptions for the
General Files System apply only to the extent that information is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2) and
(k)(5).
(e) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because making available to a record
subject the accounting of disclosures from records concerning him/her
could reveal investigative interest on the part of the Department of
Justice, as well as the recipient agency. This would permit record
subjects to impede the investigation, e.g., destroy evidence, intimidate
potential witnesses, or flee the area to avoid inquiries or apprehension
by law enforcement personnel. Further, making available to a record
subject the accounting of disclosures could reveal the identity of a
confidential source. In addition, release of an accounting of
disclosures from the General Files System may reveal information that is
properly classified pursuant to Executive Order 12356, and thereby cause
damage to the national security.
(2) From subsection (c)(4) because these systems are exempt from the
access provisions of subsection (d) pursuant to subsections (j) and (k)
of the Privacy Act.
(3) From subsection (d) because the records contained in these systems
relate to official Federal investigations. Individual access to these
records could compromise ongoing investigations, reveal confidential
informants and/or sensitive investigative techniques used in particular
investigations, or constitute unwarranted invasions of the personal
privacy of third parties who are involved in a certain investigation. In
addition, release of records from the General Files System may reveal
information that is properly classified pursuant to Executive Order
12356, and thereby cause damage to the national security. Amendment of
the records in either of these systems would interfere with ongoing law
enforcement proceedings and impose an impossible administrative burden
by requiring law enforcement investigations to be continuously
reinvestigated.
(4) From subsections (e)(1) and (e)(5) because in the course of law
enforcement investigations information may occasionally be obtained or
introduced the accuracy of which is unclear or which is not strictly
relevant or necessary to a specific investigation. In the interests of
effective law enforcement, it is appropriate to retain all information
that may aid in establishing patterns of criminal activity. Moreover, it
would impede any investigative process, whether civil or criminal, if it
were necessary to assure the relevance, accuracy, timeliness and
completeness of all information obtained.
(5) From subsection (e)(2) because in a law enforcement investigation
the requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law enforcement in that the subject of the investigation would be
informed of the existence of the investigation and may therefore be able
to avoid detection, apprehension, or legal obligations or duties.
(6) From subsection (e)(3) because to comply with the requirements of
this subsection during the course of an investigation could impede the
information gathering process, thus hampering the investigation.
(7) From subsections (e)(4) (G) and (H) because no access to these
records is available under subsection (d) of the Privacy Act. (This
exemption applies only to the Drug Enforcement Task Force Evaluation and
Reporting System.)
(8) From subsection (g) because these systems of records are exempt
from the access and amendment provisions of subsection (d) pursuant to
subsections (j) and (k) of the Privacy Act.
[Order No. 57-91, 56 FR 58305, Nov. 19, 1991]
Sec. 16.72 Exemption of Office of the Associate Attorney General
System--limited access.
(a) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4); (d); (e)(1), (2), (3) and (5); and (g):
(1) General Files System of the Office of the Associate Attorney
General (JUSTICE/AAG-001).
These exemptions apply only to the extent that information in the system
is subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2)
and (k)(5).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because making available to a record
subject the accounting of disclosures from records concerning him/her
could reveal investigative interest on the part of the Department of
Justice, as well as the recipient agency. This would permit record
subjects to impede the investigation, e.g., destroy evidence, intimidate
potential witnesses, or flee the area to avoid inquiries or apprehension
by law enforcement personnel. Further, making available to a record
subject the accounting of disclosures could reveal the identity of a
confidential source. In addition, release of an accounting of
disclosures may reveal information that is properly classified pursuant
to Executive Order 12356, and thereby cause damage to the national
security.
(2) From subsection (c)(4) because this system is exempt from the
access provisions of subsection (d) pursuant to subsections (j)(2),
(k)(1), (k)(2) and (k)(5) of the Privacy Act.
(3) From subsection (d) because the records contained in this system
relate to official Federal investigations. Individual access to these
records could compromise ongoing investigations, reveal confidential
informants and/or sensitive investigative techniques used in particular
investigations, or constitute unwarranted invasions of the personal
privacy of third parties who are involved in a certain investigation. In
addition, release of these records may reveal information that is
properly classified pursuant to Executive Order 12356, and thereby cause
damage to the national security. Amendment of the records in this system
would interfere with ongoing law enforcement proceedings and impose an
impossible administrative burden by requiring law enforcement
investigations to be continuously reinvestigated.
(4) From subsections (e)(1) and (e)(5) because in the course of law
enforcement investigations information may occasionally be obtained or
introduced the accuracy of which is unclear or which is not strictly
relevant or necessary to a specific investigation. In the interests of
effective law enforcement, it is appropriate to retain all information
that may aid in establishing patterns of criminal activity. Moreover, it
would impede any investigative process, whether civil or criminal, if it
were necessary to assure the relevance, accuracy, timeliness and
completeness of all information obtained.
(5) From subsection (e)(2) because in a law enforcement investigation
the requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law enforcement in that the subject of the investigation would be
informed of the existence of the investigation and may therefore be able
to avoid detection, apprehension, or legal obligations or duties.
(6) From subsection (e)(3) because to comply with the requirements of
this subsection during the course of an investigation could impede the
information gathering process, thus hampering the investigation.
(7) From subsection (g) because this system of records is exempt from
the access and amendment provisions of subsection (d) pursuant to
subsections (j)(2), (k)(1), (k)(2) and (k)(5) of the Privacy Act.
[Order No. 57-91, 56 FR 58305, Nov. 19, 1991]
Sec. 16.73 Exemption of Office of Legal Policy System--limited
access.
(a) The following system of records is exempt from 5 U.S.C 552a
(d)(1), (2), (3) and (4); (e)(1) and (2), (e)(4)(G) and (H), (e)(5); and
(g):
(1) Freedom of Information and Privacy Appeals Index (JUSTICE/OLP-
001).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(2)
and (k)(5).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsections (d)(1), (2), (3), and (4) to the extent that
information in this record system relates to official Federal
investigations and matters of law enforcement. Individual access to
these records might compromise ongoing investigations, reveal
confidential informants or constitute unwarranted invasions of the
personal privacy of third parties who are involved in a certain
investigation. Amendment of the records would interfere with ongoing
criminal law enforcement proceedings and impose an impossible
administrative burden by requiring criminal investigations to be
continuously reinvestigated.
(2) From subsections (e)(1) and (5) because in the course of law
enforcement investigations, information may occasionally be obtained or
introduced the accuracy of which is unclear or which is not strictly
relevant or necessary to a specific investigation. In the interests of
effective law enforcement, it is appropriate to retain all information
that may aid in establishing patterns of criminal activity. Moreover, it
would impede the specific investigative process if it were necessary to
assure the relevance, accuracy, timeliness, and completeness of all
information obtained.
(3) From subsection (e)(2) because in a law enforcement investigation
the requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law enforcement in that the subject of the investigation would be
informed of the existence of the investigation and would therefore be
able to avoid detection, apprehension, or legal obligations or duties.
(4) From subsections (e)(4)(G) and (H) because this system is exempt
from the access provisions of subsection (d) pursuant to subsections (j)
and (k) of the Privacy Act.
(5) From subsection (g) because this system is exempt from the access
provisions of subsection (d) pursuant to subsections (j) and (k) of the
Privacy Act.
(c) The following system of records is exempt from 5 U.S.C. 552a(d)(1)
and (e)(1):
(1) U.S. Judges Records System (JUSTICE/OLP-002).
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(k)(5).
(d) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (d)(1) because many persons are contracted who,
without an assurance of anonymity, refuse to provide information
concerning a candidate for a judgeship. Access could reveal the identity
of the source of the information and constitute a breach of the promised
confidentiality on the part of the Department. Such breaches ultimately
would restrict the free flow of information vital to the determination
of a candidate's qualifications and suitability.
(2) From subsection (e)(1) because in the collection of information
for investigative and evaluative purposes, it is impossible to determine
advance what exact information may be of assistance in determining the
qualifications and suitability of a candidate. Information which may
seem irrelevant, when combined with other seemingly irrelevant
information, can on occasion provide a composite picture of a candidate
which assists in determining whether that candidate should be nominated
for appointment.
(e) The following system of records is exempt from U.S.C. 552a(c) (3)
and (4); (d); (e)(1), (2) and (3), (e)(4)(G) and (H) (e)(5); and (g):
(1) General Files System of the Office of Legal Policy (JUSTICE/OLP-
003).
These exemptions apply only to the extent that information in the system
is subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2),
and (k)(5).
(f) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest on the part of the Department as
well as the recipient agency. This would permit record subjects to
impede the investigation, e.g., destroy evidence, intimidate potential
witnesses, or flee the area to avoid inquiries or apprehension by law
enforcement personnel.
(2) From subsection (c)(4) because this system is exempt from the
access provisions of subsection (d) pursuant to subsections (j) and (k)
of the Privacy Act.
(3) From subsection (d) because the records contained in this system
relate to official Federal investigations. Individual access to these
records might compromise ongoing investigations, reveal confidential
informants, or constitute unwarranted invasions of the personal privacy
of third parties who are involved in a certain investigation. Amendment
of records would interfere with ongoing criminal law enforcement
proceedings and impose an impossible administrative burden by requiring
criminal investigations to be continuously reinvestigated.
(4) From subsections (e) (1) and (5) because in the course of law
enforcement investigations, information may occasionally be obtained or
introduced the accuracy of which is unclear or which is not strictly
relevant or necessary to a specific investigation. In the interests of
effective law enforcement, it is appropriate to retain all information
since it may aid in establishing patterns of criminal activity.
Moreover, it would impede the specific investigation process if it were
necessary to assure the relevance, accuracy, timeliness and completeness
of all information obtained.
(5) From subsections (e)(2) because in a law enforcement investigation
the requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law enforcement in that the subject of the investigation would be
informed of the existence of the investigation and would therefore be
able to avoid detection, apprehension, or legal obligations and duties.
(6) From subsection (e)(3) because to comply with the requirements of
this subsection during the course of an investigation could impede the
information gathering process, thus hampering the investigation.
(7) From subsections (e)(4) (G) and (H) because this system is exempt
from the access provisions of subsection (d) pursuant to subsections (j)
and (k) of the Privacy Act.
(8) From subsection (g) because this system is exempt from the access
and amendment provisions of subsection (d) pursuant to subsections (j)
and (k) of the Privacy Act.
(g) The following system of records is exempt from 5 U.S.C. 552a
(c)(3) and (4); (d); (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5); and
(g):
(1) Declassification Review System (JUSTICE/OLP-004).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552(j)(2), (k)(1),
(k)(2), and (k)(5).
(h) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest on the part of the Department of
Justice as well as the recipient agency. This would permit record
subjects to impede the investigation e.g., destroy evidence, intimidate
potential witnesses, or flee the area to avoid inquiries or apprehension
by law enforcement personnel.
(2) From subsection (c)(4) because this system is exempt from the
access provisions of subsection (d) pursuant to subsections (j) and (k)
of the Privacy Act.
(3) From subsection (d) to the extent that information in this record
system relates to official Federal investigations and matters of law
enforcement and/or is properly classified pursuant to E.O. 12356.
Individual access to these records might compromise ongoing
investigations, reveal confidential sources or constitute unwarranted
invasions of the personal privacy of third parties who are involved in a
certain investigation, or jepoardize national security or foreign policy
interests. Amendment of the records would interfere with ongoing
criminal law enforcement proceedings and impose an impossible
administrative burden by requiring criminal investigations to be
continuously reinvestigated.
(4) From subsections (e) (1) and (5) because in the course of law
enforcement investigations, information may occasionally be obtained or
introduced the accuracy of which is unclear or which is not strictly
relevant or necessary to a specific investigation. In the interests of
effective law enforcement, it is appropriate to retain all information
which may aid in establishing patterns of criminal activity. Moreover,
it would impede the specific investigative process if it were necessary
to assure the relevance, accuracy, timeliness, and completeness of all
information obtained.
(5) From subsection (e)(2) because in a law enforcement investigation
the requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law enforcement in that the subject of the investigation would be
informed of the existence of the investigation and would therefore be
able to avoid detection, apprehension, or legal obligations or duties.
(6) From subsection (e)(3) because to comply with the requirements of
this subsection during the course of an investigation could impede the
information gathering process, thus hampering the investigation.
(7) From subsections (e)(4) (G) and (H), and (g) because this system
is exempt from the access provisions of subsection (d) pursuant to
subsections (j) and (k) of the Privacy Act.
[Order No. 34-85, 51 FR 754, Jan. 8, 1986. Redesignated by Order No. 6-
86, 51 FR 15476, Apr. 24, 1986 and further redesignated and amended by
Order No. 19-86, 51 FR 39373, Oct. 28, 1986]
Sec. 16.74 Exemption of Office of Intelligence Policy and Review
Systems--limited access.
(a) The following systems of records is exempt from 5 U.S.C. 552a
(c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(8), (f)
and (g);
(1) Policy and Operational Records System (JUSTICE/OIPR-001);
(2) Foreign Intelligence Surveillance Act Records System (JUSTICE/
OIPR-002);
(3) Litigation Records System (JUSTICE/OIPR-003); and
(4) Domestic Security/Terrorism Investigations Records System
(JUSTICE/OIPR-004).
These exemptions apply only to the extent that information in those
systems is subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1)
and (k)(2).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because release of the disclosure
accounting would put the target of a surveillance or investigation on
notice of the investigation or surveillance and would thereby seriously
hinder authorized United States intelligence activities.
(2) From subsections (c)(4), (d), (e)(4)(G), (e)(4)(H), (f) and (g)
because these provisions contemplate individual access to records and
such access would compromise ongoing surveillances or investigations and
reveal the sources and methods of an investigation.
(3) From subsection (e)(2) because, although this office does not
conduct investigations, the collection efforts of agencies that supply
information to this office would be thwarted if the agency were required
to collect information with the subject's knowledge.
(4) From subsections (e)(3) and (e)(8) because disclosure and notice
would provide the subject with substantial information which could
impede of compromise an investigation. For example, an investigatory
subject could, once made aware that an investigation was ongoing, alter
his manner of engaging in intelligence or terrorist activities in order
to avoid detection.
[Order No. 19-86, 51 FR 39374, Oct. 28, 1986]
Sec. 16.75 Exemption of the Office of the Inspector General Systems/
Limited Access.
(a) The following system of records is exempted pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d),
(e)(1), (2), (3), (5), and (8), and (g) of 5 U.S.C. 552a. In addition,
the following system of records is exempted pursuant to the provisions
of 5 U.S.C. 552a(k)(1) and (k)(2) from subsections (c)(3), (d), and
(e)(1) of 5 U.S.C. 552a:
(1) Office of the Inspector General Investigative Records (JUSTICE/
OIG-001).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(1)
and (k)(2). Where compliance would not appear to interfere with or
adversely affect the law enforcement process, and/or where it may be
appropriate to permit individuals to contest the accuracy of the
information collected, e.g., public source materials, the applicable
exemption may be waived, either partially or totally, by the Office of
the Inspector General (OIG).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because release of disclosure accounting
could alert the subject of an investigation of an actual or potential
criminal, civil, or regulatory violation to the existence of the
investigation and the fact that they are subjects of the investigation,
and reveal investigative interest by not only the OIG, but also by the
recipient agency. Since release of such information to the subjects of
an investigation would provide them with significant information
concerning the nature of the investigation, release could result in the
destruction of documentary evidence, improper influencing of witnesses,
endangerment of the physical safety of confidential sources, witnesses,
and law enforcement personnel, the fabrication of testimony, flight of
the subject from the area, and other activities that could impede or
compromise the investigation. In addition, accounting for each
disclosure could result in the release of properly classified
information which would compromise the national defense or disrupt
foreign policy.
(2) From subsection (c)(4) because this system is exempt from the
access provisions of subsection (d) pursuant to subsections (j) and (k)
of the Privacy Act.
(3) From the access and amendment provisions of subsection (d) because
access to the records contained in this system of records could inform
the subject of an investigation of an actual or potential criminal,
civil, or regulatory violation, of the existence of that investigation;
of the nature and scope of the information and evidence obtained as to
his activities; of the identity of confidential sources, witnesses, and
law enforcement personnel, and of information that may enable the
subject to avoid detection or apprehension. These factors would present
a serious impediment to effective law enforcement where they prevent the
successful completion of the investigation, endanger the physical safety
of confidential sources, witnesses, and law enforcement personnel, and/
or lead to the improper influencing of witnesses, the destruction of
evidence, or the fabrication of testimony. In addition, granting access
to such information could disclose security-sensitive or confidential
business information or information that would constitute an unwarranted
invasion of the personal privacy of third parties. Finally, access to
the records could result in the release of properly classified
information which would compromise the national defense or disrupt
foreign policy. Amendment of the records would interfere with ongoing
investigations and law enforcement activities and impose an impossible
administrative burden by requiring investigations to be continuously
reinvestigated.
(4) From subsection (e)(1) because the application of this provision
could impair investigations and interfere with the law enforcement
responsibilities of the OIG for the following reasons:
(i) It is not possible to detect relevance or necessity of specific
information in the early stages of a civil, criminal or other law
enforcement investigation, case, or matter, including investigations in
which use is made of properly classified information. Relevance and
necessity are questions of judgment and timing, and it is only after the
information is evaluated that the relevance and necessity of such
information can be established.
(ii) During the course of any investigation, the OIG may obtain
information concerning actual or potential violations of laws other than
those within the scope of its jurisdiction. In the interest of effective
law enforcement, the OIG should retain this information, as it may aid
in establishing patterns of criminal activity, and can provide valuable
leads for Federal and other law enforcement agencies.
(iii) In interviewing individuals or obtaining other forms of evidence
during an investigation, information may be supplied to an investigator
which relates to matters incidental to the primary purpose of the
investigation but which may relate also to matters under the
investigative jurisdiction of another agency. Such information cannot
readily be segregated.
(5) From subsection (e)(2) because, in some instances, the application
of this provision would present a serious impediment to law enforcement
for the following reasons:
(i) The subject of an investigation would be placed on notice as to
the existence of an investigation and would therefore be able to avoid
detection or apprehension, to improperly influence witnesses, to destroy
evidence, or to fabricate testimony.
(ii) In certain circumstances the subject of an investigation cannot
be required to provide information to investigators, and information
relating to a subject's illegal acts, violations of rules of conduct, or
any other misconduct must be obtained from other sources.
(iii) In any investigation it is necessary to obtain evidence from a
variety of sources other than the subject of the investigation in order
to verify the evidence necessary for successful litigation.
(6) From subsection (e)(3) because the application of this provision
would provide the subject of an investigation with substantial
information which could impede or compromise the investigation.
Providing such notice to a subject of an investigation could interfere
with an undercover investigation by revealing its existence, and could
endanger the physical safety of confidential sources, witnesses, and
investigators by revealing their identities.
(7) From subsection (e)(5) because the application of this provision
would prevent the collection of any data not shown to be accurate,
relevant, timely, and complete at the moment it is collected. In the
collection of information for law enforcement purposes, it is impossible
to determine in advance what information is accurate, relevant, timely,
and complete. Material which may seem unrelated, irrelevant, or
incomplete when collected may take on added meaning or significance as
an investigation progresses. The restrictions of this provision could
interfere with the preparation of a complete investigative report, and
thereby impede effective law enforcement.
(8) From subsection (e)(8) because the application of this provision
could prematurely reveal an ongoing criminal investigation to the
subject of the investigation, and could reveal investigative techniques,
procedures, or evidence.
(9) From subsection (g) to the extent that this system is exempt from
the access and amendment provisions of subsection (d) pursuant to
subsections (j)(2) and (k)(1) and (k)(2) of the Privacy Act.
(c) The following system of records is exempted from 5 U.S.C. 552a(d).
(1) Office of the Inspector General, Freedom of Information/Privacy
Acts (FOI/PA) Records (JUSTICE/OIG-003).
This exemption applies only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(1),
and (k)(2). To the extent that information in a record pertaining to an
individual does not relate to official Federal investigations and law
enforcement matters, the exemption does not apply. In addition, where
compliance would not appear to interfere with or adversely affect the
overall law enforcement process, the applicable exemption may be waived
by the Office of the Inspector General (OIG).
(d) Exemption from subsection (d) is justified for the following
reasons:
(1) From the access and amendment provisions of subsection (d) because
access to the records contained in this system of records could inform
the subject of an investigation of an actual or potential criminal,
civil, or regulatory violation of the existence of that investigation;
of the nature and scope of the information and evidence obtained as to
his activities; of the identity of confidential sources, witnesses, and
law enforcement personnel; and of information that may enable the
subject to avoid detection or apprehension. These factors would present
a serious impediment to effective law enforcement where they prevent the
successful completion of the investigation, endanger the physical safety
of confidential sources, witnesses, and law enforcement personnel, and/
or lead to the improper influencing of witnesses, the destruction of
evidence, or the fabrication of testimony. In addition, granting access
to such information could disclose security-sensitive or confidential
business information or information that would constitute an unwarranted
invasion of the personal privacy of third parties. Finally, access to
the records could result in the release of properly classified
information which would compromise the national defense or disrupt
foreign policy. Amendment of the records would interfere with ongoing
investigations and law enforcement activities and impose an impossible
administrative burden by requiring investigations to be continuously
reinvestigated.
[Order No. 63-92, 57 FR 8263, Mar. 9, 1992, as amended by Order No. 64-
92, 57 FR 8263, Mar. 9, 1992]
Sec. 16.76 Exemption of Justice Management Division.
(a) The following system of records is exempt from 5 U.S.C. 552a(d):
(1) Controlled Substances Act Nonpublic Records (JUSTICE/JMD-002).
This exemption applies only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(b) Exemption from subsection (d) is justified for the following
reasons:
(1) Access to and use of the nonpublic records maintained in this
system are restricted by law. Section 3607(b) of Title 18 U.S.C.
(enacted as part of the Sentencing Reform Act of 1984, Pub. L. 98-473,
Chapter II) provides that the sole purpose of these records shall be for
use by the courts in determining whether a person found guilty of
violating section 404 of the Controlled Substances Act qualifies:
(i) For the disposition available under 18 U.S.C. 3607(a) to persons
with no prior conviction under a Federal or State law relating to
controlled substances, or
(ii) For an order, under 18 U.S.C. 3607(c), expunging all official
records (except the nonpublic records to be retained by the Department
of Justice) of the arrest and any subsequent criminal proceedings
relating to the offense.
(c) The following system of records is exempt from 5 U.S.C. 552a(d):
(1) Security Clearance Information System (SCIS) (JUSTICE/JMD-008)--
Limited access.
This exemption applies only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2) and
(k)(5).
(d) Exemption from subsection (d) is justified for the following
reason:
(1) Access to records in the system would reveal the identity(ies) of
the source(s) of information collected in the course of a background
investigation. Such knowledge might be harmful to the source who
provided the information as well as violate the explicit or implicit
promise of confidentiality made to the source during the investigation.
Access may also reveal information relating to actual or potential
criminal investigations.
(e) Consistent with the legislative purpose of the Privacy Act of
1974, the Justice Management Division will grant access to nonexempt
material in SCIS records which are maintained by the Security Programs
Staff. Disclosure will be governed by the Department's Privacy
regulations, but will be limited to the extent that the identity of
confidential sources will not be compromised; subjects of an
investigation of an actual or potential criminal violation will not be
alerted to the investigation; the physical safety of witnesses,
informants and law enforcement personnel will not be endangered; the
privacy of third parties will not be violated; and that the disclosure
would not otherwise impede effective law enforcement. Whenever possible,
information of the above nature will be deleted from the requested
documents and the balance made available. The controlling principle
behind this limited access is to allow disclosures except those
indicated above. The decisions to release information from this system
will be made on a case-by-case basis.
(f) The following system of records is exempt from 5 U.S.C. 552a(d);
(1) Freedom of Information/Privacy Act Records System (JUSTICE/JMD-
019).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
(g) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (d) because of the need to safeguard the identity
of confidential informants and avoid interference with ongoing
investigations or law enforcement activities by preventing premature
disclosure of information relating to those efforts.
(h) Consistent with the legislative purpose of the Privacy Act of
1974, the Justice Management Division will grant access to non-exempt
material in FOIA/PA records. Exemptions will apply only to the extent
that other correspondence or internal memoranda retained with the
request file contain investigatory material for law enforcement
purposes.
[Order No. 645-76, 41 FR 12640, Mar. 26, 1976, as amended by Order No.
688-77, 42 FR 9999, Feb. 18, 1977; Order No. 899-80, 45 FR 43703, June
30, 1980; Order No. 6-86, 51 FR 15476, Apr. 24, 1986; Order No. 246-
2001, Oct. 30, 2001]
Sec. 16.77 Exemption of U.S. Trustee Program System--limited access.
(a) The following system of records is exempt from 5 U.S.C. 552a (c)
(3) and (4); (d); (e) (1), (2) and (3), (e)(4) (G) and (H), (e) (5) and
(8); (f) and (g):
(1) U.S. Trustee Program Case Referral System, JUSTICE/UST-004.
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and (k)(2).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because the release of the disclosure
accounting would permit the subject of an investigation to obtain
valuable information concerning the nature of that investigation. This
would permit record subjects to impede the investigation, e.g., destroy
evidence, intimidate potential witnesses, or flee the area to avoid
inquiries or apprehension by law enforcement personnel.
(2) From subsection (c)(4) since an exemption being claimed for
subsection (d) makes this subsection inapplicable.
(3) From subsection (d) because access to the records contained in
this system might compromise ongoing investigations, reveal confidential
informants, or constitute unwarranted invasions of the personal privacy
of third parties who are involved in a certain investigation. Amendment
of the records would interfere with ongoing criminal law enforcement
proceedings and impose an impossible administrative burden by requiring
criminal investigations to be continuously reinvestigated.
(4) From subsections (e)(1) and (e)(5) because in the course of law
enforcement investigations, information may occasionally be obtained or
introduced the accuracy of which is unclear or which is not strictly
relevant or necessary to a specific investigation. In the interest of
effective law enforcement, it is appropriate to retain all information
that may aid in establishing patterns of criminal activity. Moreover, it
would impede the specific investigative process if it were necessary to
assure the relevance, accuracy, timeliness, and completeness of all
information obtained.
(5) From subsection (e)(2) because in a criminal investigation the
requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law enforcement because the subject of the investigation would be
placed on notice as to the existence of the investigation and would
therefore be able to avoid detection or apprehension, to influence
witnesses improperly, to destroy evidence, or to fabricate testimony.
(6) From subsection (e)(3) because the requirement that individuals
supplying information be provided with a form stating the requirements
of subsection (e)(3) would constitute a serious impediment to law
enforcement in that it would compromise the existence of a confidential
investigation or reveal the identity of witnesses or confidential
informants.
(7) From subsections (e)(4) (G) and (H) because this system of records
is exempt from the access provisions of subsection (d) pursuant to
subsections (j) and (k).
(8) From subsection (e)(8) because the individual notice requirement
of this subsection could present a serious impediment to law enforcement
in that this could interfere with the U.S. Attorney's ability to issue
subpoenas.
(9) From subsections (f) and (g) because this system has been exempted
from the access provisions of subsection (d).
[Order No. 1-87, 52 FR 3631, Feb. 5, 1987]
Sec. 16.78 Exemption of the Special Counsel for Immigration-Related,
Unfair Employment Practices Systems.
(a) The following system of records is exempt from 5 U.S.C. 552a(c)(3)
and (d).
(1) Central Index File and Associated Records, JUSTICE/OSC-001.
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because the release of the disclosure
accounting would permit the subject of an investigation to obtain
valuable information concerning the nature of that investigation. This
would permit record subjects to impede the investigation, e.g., destroy
evidence, intimidate potential witnesses, or flee the area to avoid
inquiries.
(2) From subsection (d) because access to the records might compromise
ongoing investigations, reveal confidential informants, or constitute
unwarranted invasions of the personal privacy of third parties who are
involved in a certain investigation.
[Order No. 10-88, 53 FR 7735, Mar. 10, 1988]
Sec. 16.79 Exemption of Pardon Attorney Systems.
(a) The following systems of records are exempt from 5 U.S.C. 552a(d):
(1) Executive Clemency Files (JUSTICE /OPA-001).
(2) Freedom of Information/Privacy Acts (FOI/PA) Request File
(JUSTICE/OPA-003).
These exemptions apply only to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(b) Exemption from subsection (d) is justified for the following
reasons:
(1) Executive Clemency Files contain investigatory and evaluative
reports relating to applicants for Executive clemency. The FOI/PA
Request File contains copies of documents from the Executive Clemency
Files which have not been released either in whole or in part pursuant
to certain provisions of the FOI/PA. Release of such information to the
subject would jeopardize the integrity of the investigative process,
invade the right of candid and confidential communciations among
officials concerned with recommending clemency decisions to the
President, and disclose the identity of persons who furnished
information to the Government under an express or implied promise that
their identities would be held in confidence.
(2) The purpose of the creation and maintenance of the Executive
Clemency Files is to enable the Pardon Attorney to prepare for the
President's ultimate decisions on matters which are within the
President's exclusive jurisdiction by reason of Article II, Section 2,
Clause 1 of the Constitution, which commits pardons to the exclusive
discretion of the President.
[Order No. 26-88, 53 FR 51542, Dec. 22, 1988]
Sec. 16.80 Exemption of Office of Professional Responsibility
System--limited access.
(a) The following system of records is exempt from 5 U.S.C. 552a(c)(3)
and (4), (d), (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5) and (8),
(f) and (g):
(1) Office of Professional Responsibility Record Index (JUSTICE/OPR-
001).
These exemptions apply only to the extent that information in the system
is subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2),
and (k)(5).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because release of the disclosure
accounting would enable the subject of an investigation to gain
information concerning the existence, nature and scope of the
investigation and seriously hamper law enforcement efforts.
(2) From subsections (c)(4), (d), (e)(4)(G) and (H), (f) and (g)
because these provisions concern individual access to records and such
access might compromise ongoing investigations, reveal confidential
informants and constitute unwarranted invasions of the personal privacy
of third persons who provide information in connection with a particular
investigation.
(3) From subsections (e)(1) and (5) because the collection of
information during an investigation necessarily involves material
pertaining to other persons or events which is appropriate in a thorough
investigation, even though portions thereof are not ultimately connected
to the person or event subject to the final action or recommendation of
the Office of Professional Responsibility.
(4) From subsection (e)(2) because collecting the information from the
subject would thwart the investigation by placing the subject on notice
of the investigation.
(5) From subsections (e)(3) and (e)(8) because disclosure and notice
would provide the subject with substantial information which could
impede or compromise the investigation. For example, an investigatory
subject occupying a supervisory position could, once made aware that a
misconduct investigation was ongoing, put undue pressure on subordinates
so as to preclude their cooperation with investigators.
(c) The following system of records is exempted from 5 U.S.C. 552a(d).
(1) Freedom of Information/Privacy Act (FOI/PA) Records (JUSTICE/OPR-
002).
This exemption applies only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1),
and (k)(2). To the extent that information in a record pertaining to an
individual does not relate to national defense or foreign policy,
official Federal investigations and/or law enforcement matters, the
exemption does not apply. In addition, where compliance would not appear
to interfere with or adversely affect the overall law enforcement
process, the applicable exemption may be waived by OPR.
(d) Exemption from subsection (d) is justified for the following
reasons:
(1) From the access and amendment provisions of subsection (d) because
access to the records contained in this system of records could inform
the subject of an investigation of an actual or potential criminal,
civil, or regulatory violation of the existence of that investigation;
of the nature and scope of the information and evidence obtained as to
his activities; of the identity of confidential sources, witnesses, and
law enforcement personnel; and of information that may enable the
subject to avoid detection or apprehension. These factors would present
a serious impediment to effective law enforcement where they prevent the
successful completion of the investigation, endanger the physical safety
of confidential sources, witnesses, and law enforcement personnel, and/
or lead to the improper influencing of witnesses, the destruction of
evidence, or the fabrication of testimony. In addition, granting access
to such information could disclose security-sensitive or confidential
business information or information that would constitute an unwarranted
invasion of the personal privacy of third parties. Finally, access to
the records could result in the release of properly classified
information which would compromise the national defense or disrupt
foreign policy. Amendment of the records would interfere with ongoing
investigations and law enforcement activities and impose an enormous
administrative burden by requiring investigations to be continuously
reinvestigated.
[Order No. 58-81, 46 FR 3509, Jan. 15, 1981; as amended by Order No 159-
99; 64 FR 17977, Apr. 13, 1999]
Sec. 16.81 Exemption of United States Attorneys Systems--limited
access.
(a) The following systems of records are exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e) (5) and
(8), (f), and (g):
(1) Citizen Complaint Files (JUSTICE/USA-003).
(2) Civil Case Files (JUSTICE/USA-005).
(3) Consumer Complaints (JUSTICE/USA-006).
(4) Criminal Case Files (JUSTICE/USA-007).
(5) Kline-District of Columbia and Maryland-Stock and Land Fraud
Interrelationship Filing System (JUSTICE/USA-009).
(6) Major Crimes Division Investigative Files (JUSTICE/USA-010).
(7) Prosecutor's Management Information System (PROMIS) (JUSTICE/USA-
011).
(8) United States Attorney, District of Columbia Superior Court
Division, Criminal Files (JUSTICE/USA-013).
(9) Pre-trial Diversion Program Files (JUSTICE/USA-014).
These exemptions apply to the extent that information in these systems
is subject to exemption pursuant to U.S.C. 552a(j)(2), (k)(1) and
(k)(2).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because the release of the disclosure
accounting, for disclosures pursuant to the routine uses published for
these systems, would permit the subject of a criminal investigation and/
or civil case or matter under investigation, litigation, regulatory or
administrative review or action, to obtain valuable information
concerning the nature of that investigation, case or matter and present
a serious impediment to law enforcement or civil legal activities.
(2) From subsection (c)(4) since an exemption is being claimed for
subsection (d), this subsection will not be applicable.
(3) From subsection (d) because access to the records contained in
these systems would inform the subject of criminal investigation and/or
civil investigation, matter or case of the existence of that
investigation, provide the subject of the investigation with information
that might enable him to avoid detection, apprehension or legal
obligations, and present a serious impediment to law enforcement and
other civil remedies.
(4) From subsection (e)(1) because in the course of criminal
investigations and/or civil investigations, cases or matters, the U.S.
Attorneys often obtain information concerning the violation of laws or
civil obligations other than those relating to an active case or matter.
In the interests of effective law enforcement and civil litigation, it
is necessary that the U.S. Attorneys retain this information since it
can aid in establishing patterns of activity and provide valuable leads
for other agencies and future cases that may be brought within the U.S.
Attorneys' offices.
(5) From subsection (e)(2) because in a criminal investigation the
requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law enforcement in that the subject of the investigation would be
placed on notice of the existence of the investigation and would
therefore be able to avoid detection, apprehension or legal obligations
and duties.
(6) From subsection (e)(3) because the requirement that individuals
supplying information be provided with a form stating the requirements
of subsection (e)(3) would constitute a serious impediment to law
enforcement in that it could compromise the existence of a confidential
investigation, reveal the identity of confidential sources of
information and endanger the life and physical safety of confidential
informants.
(7) From subsections (e)(4) (G) and (H) because these systems of
records are exempt from individual access pursuant to subsections (j)
and (k) of the Privacy Act of 1974.
(8) From subsection (e)(5) because in the collection of information
for law enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light and the accuracy of such information can only be determined in a
court of law. The restrictions of subsection (e)(5) would restrict the
ability of trained investigators and intelligence analysts to exercise
their judgment in reporting on investigations and impede the development
of intelligence necessary for effective law enforcement.
(9) From subsection (e)(8) because the individual notice requirements
of subsection (e)(8) could present a serious impediment to law
enforcement as this could interfere with the United States Attorneys'
ability to issue subpoenas and could reveal investigative techniques and
procedures.
(10) From subsection (f) because these systems of records have been
exempted from the access provisions of subsection (d).
(11) From subsection (g) because these systems of records are compiled
for law enforcement purposes and have been exempted from the access
provisions of subsections (d) and (f).
(c) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e) (5) and
(8), (f), and (g):
(1) Freedom of Information Act/Privacy Act Files (JUSTICE/USA-008)
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1) and (k)(2).
(d) Because this system contains Department of Justice civil and
criminal law enforcement, investigatory records, exemptions from the
particular subsections are justified for the following reasons:
(1) From subsection (c)(3) because the release of the disclosure
accounting would permit the subject of a criminal investigation and/or
civil case or matter under investigation, in litigation, or under
regulatory or administrative review or action to obtain valuable
information concerning the nature of that investigation, case or matter,
and present a serious impediment to law enforcement or civil legal
activities.
(2) From subsection (c)(4) because an exemption is being claimed for
subsection (d) of the Act (Access to Records), rendering this subsection
inapplicable to the extent that this system of records is exempted from
subsection (d).
(3) From subsection (d) because access to the records contained in
these systems would inform the subject of a criminal or civil
investigation, matter or case of the existence of such, and provide the
subject with information that might enable him to avoid detection,
apprehension or legal obligations, and present a serious impediment to
law enforcement and other civil remedies. Amendment of the records would
interfere with ongoing criminal law enforcement proceedings and impose
an impossible administrative burden by requiring criminal investigations
to be continuously reinvestigated.
(4) From subsection (e)(1) because in the course of criminal
investigations and/or civil investigations, cases or matters, the U.S.
Attorneys often obtain information concerning the violation of laws or
civil obligations other than those relating to an active case or matter.
In the interests of effective law enforcement and civil litigation, it
is necessary that the U.S. Attorneys retain this information since it
can aid in establishing patterns of activity and provide valuable leads
for other agencies and future cases that may be brought within the U.S.
Attorneys' offices.
(5) From subsection (e)(2) because to collect information to the
greatest extent possible from the subject individual of a criminal
investigation or prosecution would present a serious impediment to law
enforcement in that the subject of the investigation would be placed on
notice of the existence of the investigation and would therefore be able
to avoid detection, apprehension, or legal obligations and duties.
(6) From subsection (e)(3) because to provide individuals supplying
information with a form stating the requirements of subsection (e)(3)
would constitute a serious impediment to law enforcement in that it
could compromise the existence of a confidential investigation, reveal
the identity of confidential sources of information, and endanger the
life and physical safety of confidential informants.
(7) From subsections (e)(4) (G) and (H) because this system of records
is exempt from the individual access provisions of subsection (d) and
the rules provisions of subsection (f).
(8) From subsection (e)(5) because in the collection of information
for law enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light and the accuracy of such information can only be determined in a
court of law. The restrictions of subsection (e)(5) would inhibit the
ability of trained investigator and intelligence analysts to exercise
their judgment in reporting on investigations and impede the development
of intelligence necessary for effective law enforcement.
(9) From subsection (e)(8) because the individual notice requirements
of subsection (e)(8) could present a serious impediment to law
enforcement as this could interfere with the U.S. Attorneys' ability to
issue subpoenas and could reveal investigative techniques and
procedures.
(10) From subsection (f) because this system has been exempted from
the individual access provisions of subsection (d).
(11) From subsection (g) because the records in this system are
generally compiled for law enforcement purposes and are exempt from the
access provisions of subsections (d) and (f), rendering subsection (g)
inapplicable.
(e) The following systems of records are exempt from 5 U.S.C.
552a(d)(1) and (e)(1):
(1) Assistant U.S. Attorneys Applicant Records System (JUSTICE/USA-
016).
(2) Appointed Assistant U.S. Attorneys Personnel System (JUSTICE/USA-
017).
These exemptions apply only to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a(k)(5).
(f) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (d)(1) because many persons are contacted who,
without an assurance of anonymity, refuse to provide information
concerning a candidate for an Assistant U.S. Attorney position. Access
could reveal the identity of the source of the information and
constitute a breach of the promise of confidentiality on the part of the
Department of Justice. Such breaches ultimately would restrict the free
flow of information vital to a determination of a candidate's
qualifications and suitability.
(2) From subsection (e)(1) because in the collection of information
for investigative and evaluative purposes, it is impossible to determine
in advance what exact information may be of assistance in determining
the qualifications and suitability of a candidate. Information which may
appear irrelevant, when combined with other seemingly irrelevant
information, can on occasion provide a composite picture of a candidate
for a position which assists in determining whether that candidate
should be nominated for appointment.
(g) The Giglio Impeachment Files (JUSTICE/USA-018) system of records
is exempt from 5 U.S.C. 552a subsections (c)(4), (e)(2), (e)(5), and (g)
of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2), and exempt from
subsections (c)(3), (d), (e)(1), (e)(4)(G) and (H), and (f), pursuant to
5 U.S.C. 552a(j)(2) and (k)(2). These exemptions apply to the
[[Page 17810]]
extent that information in this system is subject to exemption pursuant
to 5 U.S.C. 552a(j)(2) and (k)(2).
(h) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3); because an exemption is being claimed for
subsection (d), this subsection will not be applicable.
(2) From subsection (c)(4); because an exemption is being claimed for
subsection (d), this subsection will not be applicable.
(3) From subsection (d); because access to the records contained in
these systems is not necessary or may impede an ongoing investigation.
Most information in the records is derivative from the subject's
employing agency files, and individual access will be through the
employing agency's files. Additionally, other information in the records
may be related to allegations against an agent or witness that are
currently being investigated. Providing access to this information would
impede the ongoing investigation.
(4) From subsection (e)(1); because in the interest of effective law
enforcement and criminal prosecution, Giglio records will be retained
because they could later be relevant in a different case; however, this
relevance cannot be determined in advance.
(5) From subsection (e)(2); because the nature of the records in this
system, which are used to impeach or demonstrate bias of a witness,
requires that the information be collected from others.
(6) From subsections (e)(4)(G) and (H); because this system of records
is exempt from individual access pursuant to subsections (j) and (k) of
the Privacy Act of 1974.
(7) From subsection (e)(5); because the information in these records
is not being used to make a determination about the subject of the
records. According to constitutional principles of fairness articulated
by the Supreme Court in United States v. Giglio, the records are
required to be disclosed to criminal defendants to ensure fairness of
criminal proceedings.
(8) From subsection (f); because records in this system have been
exempted from the access provisions of subsection (d).
(9) From subsection (g); because records in this system are compiled
for law enforcement purposes and have been exempted from the access
provisions of subsections (d) and (f).
(i) Consistent with the legislative purpose of the Privacy Act of
1974, the Executive Office for United States Attorneys will grant access
to nonexempt material in records which are maintained by the U.S.
Attorneys. Disclosure will be governed by the Department's Privacy
regulations, but will be limited to the extent that the identity of
confidential sources will not be compromised; subjects of an
investigation of an actual or potential criminal, civil or regulatory
violation will not be alerted to the investigation; the physical safety
of witnesses, informants and law enforcement personnel will not be
endangered, the privacy of third parties will not be violated; and that
the disclosure would not otherwise impede effective law enforcement.
Whenever possible, information of the above nature will be deleted from
the requested documents and the balance made available. The controlling
principle behind this limited access is to allow disclosures except
those indicated above. The decisions to release information from these
systems will be made on a case-by-case basis.
[Order No. 645-76, 41 FR 12640, Mar. 26, 1976, as amended by Order No.
716-77, 42 FR 23506, May 9, 1977; Order No. 738-77, 42 FR 38177, July
27, 1977; Order No. 6-86, 51 FR 15476, Apr. 24, 1986; Order No. 57-91,
56 FR 58306, Nov. 19, 1991; Order No. 224-2001, 66 FR 17809, Apr. 4,
2001]
Sec. 16.82 Exemption of the National Drug Intelligence Center Data
Base--limited access.
(a) The following system of records is exempted pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4); (d);
(e) (1), (2), and (3); (e)(4)(I); (e) (5) and (8); and (g) of 5 U.S.C.
552a. In addition, the following system of records is exempted pursuant
to the provisions of 5 U.S.C. 552a (k)(1) and (k)(2) from subsections
(c)(3), (d), and (e)(1) and (e)(4)(I) of 5 U.S.C. 552a:
(1) National Drug Intelligence Center Data Base (JUSTICE/NDIC-001).
(2) [Reserved]
(b) These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1),
and (k)(2). Where compliance would not appear to interfere with or
adversely affect the law enforcement process, and/or where it may be
appropriate to permit individuals to contest the accuracy of the
information collected, e.g., public source materials, the applicable
exemption may be waived, either partially or totally, by the National
Drug Intelligence Center (NDIC). Exemptions from the particular
subsections are justified for the following reasons:
(1) From subsection (c)(3) for the same reasons that the system is
exempted from the provisions of subsection (d).
(2) From subsection (c)(4) because this system is exempt from the
access provisions of subsection (d) pursuant to subsection (j)(2) of the
Privacy Act.
(3) From subsection (d) because disclosure to the subject could alert
the subject of an investigation pertaining to narcotic trafficking or
related activity of the fact and nature of the investigation, and/or of
the investigative interest of NDIC and other intelligence or law
enforcement agencies (including those responsible for civil proceedings
related to laws against drug trafficking); lead to the destruction of
evidence, improper influencing of witnesses, fabrication of testimony,
and/or flight of the subject; reveal the details of a sensitive
investigative or intelligence technique, or the identity of a
confidential source; or otherwise impede, compromise, or interfere with
investigative efforts and other related law enforcement and/or
intelligence activities. In addition, disclosure could invade the
privacy of third parties and/or endanger the life and safety of law
enforcement personnel, confidential informants, witnesses, and potential
crime victims. Finally, access to records could result in the release of
properly classified information that could compromise the national
defense or foreign policy. Amendment of the records would interfere with
ongoing investigations and law enforcement activities and impose an
impossible administrative burden by requiring investigations, analyses,
and reports to be continuously reinvestigated and revised.
(4) From subsection (e)(1) because, in the course of its acquisition,
collation, and analysis of information, NDIC will need to retain
information not immediately shown to be relevant to counterdrug law
enforcement to establish patterns of activity and to assist other
agencies charged with the enforcement of laws and regulations regarding
drug trafficking and charged with the acquisition of intelligence
related to international aspects of drug trafficking. This consideration
applies equally to information acquired from, or collated or analyzed
for, both law enforcement agencies and agencies of the U.S. foreign
intelligence community.
(5) From subsection (e)(2) because application of this provision could
present a serious impediment to law enforcement in that it would put the
subject of an investigation, study or analysis on notice of the fact of
such investigation, study, or analysis, thereby permitting the subject
to engage in conduct intended to frustrate the activity; because, in
some circumstances, the subject of an investigation may not be required
to provide to investigators certain information; and because thorough
analysis and investigation may require seeking information from a number
of different sources.
(6) From subsection (e)(3) (to the extent applicable) because the
requirement that individuals supplying information be provided a form
stating the requirements of subsection (e)(3) would constitute a serious
impediment to law enforcement in that it could compromise the existence
of a confidential investigation and reveal the identity of confidential
informants and endanger their lives and safety.
(7) From subsection (e)(4)(I), to the extent that this subsection is
interpreted to require more detail regarding the record sources in this
system than have been published in the Federal Register. Should the
subsection be so interpreted, exemption from this provision is necessary
to protect the confidentiality of the sources of criminal and other law
enforcement information and to protect the privacy and physical safety
of witnesses and informants. Furthermore, greater specificity concerning
the sources of properly classified records could compromise national
defense or foreign policy.
(8) From subsection (e)(5) because the acquisition, collation, and
analysis of information for law enforcement purposes does not permit
advance determination whether such information is accurate or relevant,
nor can such information be limited to that which is complete or
apparently timely. Information of this type often requires further
analysis and investigation to develop into a comprehensive whole that
which is otherwise incomplete or even fragmentary. Moreover, its
accuracy is continually subject to analysis and review, and, upon
careful examination, seemingly irrelevant or untimely information may
acquire added significance as additional information brings new details
to light. The restrictions imposed by subsection (e)(5) would restrict
the ability of trained investigators and intelligence analysts to
exercise their judgment in collating and analyzing information and would
impede the development of criminal intelligence necessary for effective
law enforcement.
(9) From subsection (e)(8) because the individual notice requirements
of subsection (e)(8) could present a serious impediment to law
enforcement by revealing investigative techniques, procedures, or
evidence.
(10) From subsection (g) to the extent that the system is exempt from
subsection (d).
[Order No. 78-93, 58 FR 41038, Aug. 2, 1993]
Sec. 16.83 Exemption of the Executive Office for Immigration Review
System--limited access.
(a) The following system of records is exempt from 5 U.S.C. 552a(d):
(1) The Executive Office for Immigration Review's Records and
Management Information System (JUSTICE/EOIR-001).
This exemption applies only to the extent that information in the system
is subject to exemption pursuant to 5 U.S.C. 552a(k) (1) and (2).
(b) Exemption from the particular subsections are justified for the
following reasons:
(1) From subsection (d) because access to information which has been
properly classified pursuant to an Executive Order could have an adverse
effect on the national security. In addition, from subsection (d)
because unauthorized access to certain investigatory material could
compromise ongoing or potential investigations; reveal the identity of
confidential informants; or constitute unwarranted invasions of the
personal privacy of third parties.
(2) From subsection (d) (2), (3), and (4) because the record of
proceeding constitutes an official record which includes transcripts of
quasi-judicial administrative proceedings, investigatory materials,
evidentiary materials such as exhibits, decisional memoranda, and other
case-related papers. Administrative due process could not be achieved by
the ex parte ``correction'' of such materials by the individual who is
the subject thereof.
(c) The following system of records is exempted form 5 U.S.C. 552a(d).
(1) Practitioner Compliant/Disciplinary Files (JUSTICE/EOIR 003). This
exemption applies only to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1), and
(k)(2). To the extent that information in a record pertaining to an
individual does not relate to national defense or foreign policy,
official Federal investigations and/or law enforcement matters, the
exemption does not apply. In addition, where compliance would not appear
to interfere with or adversely affect the overall law or regulatory
enforcement process, the applicable exemption may be waived by the
Executive Office for Immigration Review.
(d) Exemption from subsection (d) is justified for the following
reasons:
(1) From the access and amendment provisions of subsection (d) because
access to the records contained in this system of records could inform
the subject of the investigation of an actual or potential criminal,
civil, or regulatory violation or the existence of that investigation;
of the nature and scope of the information and evidence obtained as to
the subject's activities; of the identity of confidential sources,
witnesses, and law enforcement personnel; and of information that may
enable the subject to avoid detection or apprehension. These factors
would present a serious impediment to effective law and regulatory
enforcement where they prevent the successful completion of the
investigation, endanger the physical safety of confidential sources,
witnesses, and law enforcement personnel, and/or lead to the improper
influencing of witnesses, the destruction of evidence, or the
fabrication of testimony. In addition, granting access to such
information could disclose security-sensitive or confidential business
information or information that would constitute an unwarranted invasion
of the personal privacy of third parties. Finally, access to the records
could result in the release of properly classified information which
would compromise the national defense or disrupt foreign policy.
Amendment of the records would interfere with ongoing investigations and
law enforcement activities and impose an enormous administrative burden
by requiring investigations to be continuously reinvestigated.
[Order No. 18-86, 51 FR 32305, Sept. 11, 1986, as amended by Order No.
180-99, 64 FR 61787, Nov. 15, 1999]
Sec. 16.84 Exemption of Immigration Appeals System.
(a) The following system of records is exempt from 5 U.S.C. 552a(d)
(2), (3) and (4):
(1) Decisions of the Board of Immigration Appeals (JUSTICE/BIA-001).
This exemption applies only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(k).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsections (d) (2), (3) and (4) because the decisions
reflected constitute official records of opinions rendered in quasi-
judicial proceedings. Administrative due process could not be achieved
by the ex parte ``correction'' of such opinions by the subject of the
opinion.
Sec. 16.85 Exemption of U.S. Parole Commission--limited access.
(a) The following systems of records are exempt from 5 U.S.C. 552a (c)
(3) and (4), (d), (e) (2) and (3), (e)(4) (G) and (H), (e)(8), (f) and
(g):
(1) Docket Scheduling and Control System (JUSTICE/PRC-001).
(2) Inmate and Supervision Files System (JUSTICE/PRC-003).
(3) Labor and Pension Case, Legal File, and General Correspondence
System (JUSTICE/PRC-004).
(4) Statistical, Educational and Developmental System (JUSTICE/PRC-
006).
(5) Workload Record, Decision Result, and Annual Report System
(JUSTICE/PRC-007).
These exemptions apply only to the extent that information in these
systems is subject to exemptions pursuant to 5 U.S.C. 552a(j)(2).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because revealing disclosure of accountings
to inmates and persons on supervision could compromise legitimate law
enforcement activities and U.S. Parole Commission responsibilities.
(2) From subsection (c)(4) because the exemption from subsection (d)
will make notification of disputes inapplicable.
(3) From subsection (d) because this is essential to protect internal
processes by which Commission personnel are able to formulate decisions
and policies with regard to federal prisoners and persons under
supervision, to prevent disclosures of information to federal inmates or
persons on supervision that would jeopardize legitimate correctional
interests of security, custody, supervision, or rehabilitation, to
permit receipt of relevant information from other federal agencies,
state and local law enforcement agencies, and federal and state
probation and judicial offices, to allow private citizens to express
freely their opinions for or against parole, to allow relevant criminal
history type information of co-defendants to be kept in files, to allow
medical, psychiatric and sociological material to be available to
professional staff, and to allow a candid process of fact selection,
opinion formulation, evaluation and recommendation to be continued by
professional staff. The legal files contain case development material
and, in addition to other reasons, should be exempt under the attorney-
client privilege. Each labor or pension applicant has had served upon
him the material in his file which he did not prepare and may see his
own file at any time.
(4) From subsection (e)(2) because primary collection of information
directly from federal inmates or persons on supervision about criminal
sentence, criminal records, institutional performance, readiness for
release from custody, or need to be returned to custody is highly
impractical and inappropriate.
(5) From subsection (e)(3) because application of this provision to
the operations and collection of information by the Commission which is
primarily from sources other than the individual, is inappropriate.
(6) From subsections (e)(4) (G) and (H) because exemption from the
access provisions of (d) makes publication of agency procedures under
(d) inapplicable.
(7) From subsection (e)(8) because the nature of the Commission's
activities renders notice of compliance with compulsory legal process
impractical.
(8) From subsection (f) because exemption from the provisions of
subsection (d) will render compliance with provisions of this subsection
inapplicable.
(9) From subsection (g) because exemption from the provisions of
subsection (d) will render the provisions on suits to enforce (d)
inapplicable.
(c) Consistent with the legislative purpose of the Privacy Act of 1974
the U.S. Parole Commission will initiate a procedure whereby present and
former prisoners and parolees may obtain copies of material in files
relating to them that are maintained by the U.S. Parole Commission.
Disclosure of the contents will be affected by providing copies of
documents to requesters through the mails. Disclosure will be made to
the same extent as would be made under the substantive exemptions of the
Parole Commission and Reorganization Act of 1976 (18 U.S.C. 4208) and
Rule 32 of the Federal Rules of Criminal Procedure. The procedure
relating to disclosure of documents may be changed generally in the
interest of improving the Commission's system of disclosure or when
required by pending or future decisions and directions of the Department
of Justice.
[Order No. 645-76, 41 FR 12640, Mar. 26, 1976, as amended by Order No.
14-78, 43 FR 45993, Oct. 5, 1978; Order No. 899-80, 45 FR 43703, June
30, 1980; Order No. 6-86, 51 FR 15477, Apr. 24, 1986]
Sec. 16.88 Exemption of Antitrust Division Systems--limited access.
(a) The following system of records is exempt from 5 U.S.C. 552a
(c)(3), (d), (e)(4) (G) and (H), and (f):
(1) Antitrust Caseload Evaluation System (ACES)--Monthly Report
(JUSTICE/ATR-006).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (k)(2).
(b) Exemption from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because information in this system is
maintained in aid of ongoing antitrust enforcement investigations and
proceedings. The release of the accounting of disclosures made under
subsection (b) of the Act would permit the subject of an investigation
of an actual or potential criminal or civil violation to determine
whether he is the subject of an investigation. Disclosure of the
accounting would therefore present a serious impediment to antitrust law
enforcement efforts.
(2) From subsection (d) because access to the information retrievable
from this system and compiled for law enforcement purposes could result
in the premature disclosure of the identity of the subject of an
investigation of an actual or potential criminal or civil violation and
information concerning the nature of that investigation. This
information could enable the subject to avoid detection or apprehension.
This would present a serious impediment to effective law enforcement
since the subject could hinder or prevent the successful completion of
the investigation. Further, confidential business and financial
information, the identities of confidential sources of information,
third party privacy information, and statutorily confidential
information such as grand jury information must be protected from
disclosure.
(3) From subsections (e)(4)(G) and (H), and (f) because this system is
exempt from the individual access provisions of subsection (d).
(c) The following system of records is exempt from 5 U.S.C. 552a
(c)(3), (d), (e)(4)(G) and (H), and (f):
(1) Freedom of Information/Privacy--Requester/Subject Index File
(JUSTICE/ATR-008).
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a (k)(2).
(d) Because this system contains Department of Justice civil and
criminal law enforcement, investigatory records, exemptions from the
particular subsections are justified for the following reasons:
(1) From subsection (c)(3) because the release of the accounting of
disclosures made under subsection (b) of the Act would permit the
subject of an investigation of an actual or potential criminal or civil
violation to determine whether he is the subject of an investigation.
Disclosure of accounting would therefore present a serious impediment to
antitrust law enforcement efforts.
(2) From subsection (d) because access to information in this system
could result in the premature disclosure of the identity of the subject
of an investigation of an actual or potential criminal or civil
violation and information concerning the nature of the investigation.
This information could enable the subject to avoid detection or
apprehension. This would present a serious impendiment to effective law
enforcement since the subject could hinder or prevent the successful
completion of the investigation. Further, confidential business and
financial information, the identities of confidential sources of
information, third party privacy information, and statutorily
confidential information such as grand jury information must be
protected from disclosure.
(3) From subsections (e)(4)(G) and (H), and (f) because this system is
exempt from the individual access provisions of subsection (d).
[Order No. 2-86, 51 FR 884, Jan. 9, 1986]
Sec. 16.89 Exemption of Civil Division Systems--limited access.
(a) The following systems of records are exempted pursuant to 5 U.S.C.
552a(j)(2) from subsections (c) (3) and (4), (d), (e)(1), (e)(2),
(e)(3), (e)(4) (G) and (H), (e)(5), (e)(8), and (g); in addition, the
following systems of records are exempted pursuant to 5 U.S.C. 552a
(k)(1) and (k)(2) from subsections (c)(3), (d), (e)(1), (e)(4) (G) and
(H):
(1) Civil Division Case File System, JUSTICE/CIV-001.
(2) Freedom of Information/Privacy Acts File System, JUSTICE/CIV-005.
These exemptions apply only to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(1)
and (k)(2).
(b) Only that information which relates to the investigation,
prosecution, or defense of actual or potential criminal or civil
litigation, or which has been properly classified in the interest of
national defense and foreign policy is exempted for the reasons set
forth from the following subsections:
(1) Subsection (c)(3). To provide the subject of a criminal or civil
matter or case under investigation with an accounting of disclosures of
records concerning him or her would inform that individual (and others
to whom the subject might disclose the records) of the existence,
nature, or scope of that investigation and thereby seriously impede law
enforcement efforts by permitting the record subject and others to avoid
criminal penalties and civil remedies.
(2) Subsections (c)(4), (e)(4) (G) and (H), and (g). These provisions
are inapplicable to the extent that these systems of records are
exempted from subsection (d).
(3) Subsection (d). To the extent that information contained in these
systems has been properly classified, relates to the investigation and/
or prosecution of grand jury, civil fraud, and other law enforcement
matters, disclosure could compromise matters which should be kept secret
in the interest of national security or foreign policy; compromise
confidential investigations or proceedings; hamper sensitive civil or
criminal investigations; impede affirmative enforcement actions based
upon alleged violations of regulations or of civil or criminal laws;
reveal the identity of confidential sources; and result in unwarranted
invasions of the privacy of others. Amendment of the records would
interfere with ongoing criminal law enforcement proceedings and impose
an impossible administrative burden by requiring criminal investigations
to be continuously reinvestigated.
(4) Subsection (e)(1). In the course of criminal or civil
investigations, cases, or matters, the Civil Division may obtain
information concerning the actual or potential violation of laws which
are not strictly within its statutory authority. In the interest of
effective law enforcement, it is necessary to retain such information
since it may establish patterns of criminal activity or avoidance of
other civil obligations and provide leads for Federal and other law
enforcement agencies.
(5) Subsection (e)(2). To collect information from the subject of a
criminal investigation or prosecution would present a serious impediment
to law enforcement in that the subject (and others to whom the subject
might be in contact) would be informed of the existence of the
investigation and would therefore be able to avoid detection or
apprehension, to influence witnesses improperly, to destroy evidence, or
to fabricate testimony.
(6) Subsection (e)(3). To comply with this requirement during the
course of a criminal investigation or prosecution could jeopardize the
investigation by disclosing the existence of a confidential
investigation, revealing the identity of witnesses or confidential
informants, or impeding the information gathering process.
(7) Subsection (e)(5). In compiling information for criminal law
enforcement purposes, the accuracy, completeness, timeliness and
relevancy of the information obtained cannot always be immediately
determined. As new details of an investigation come to light, seemingly
irrelevant or untimely information may acquire new significance and the
accuracy of such information can often only be determined in a court of
law. Compliance with this requirement would therefore restrict the
ability of government attorneys in exercising their judgment in
developing information necessary for effective law enforcement.
(8) Subsection (e)(8). To serve notice would give persons sufficient
warning to evade law enforcement efforts.
(c) The following system of records is exempted pursuant to 5 U.S.C.
552a(j)(2) from subsections (c) (3) and (4), (d), (e)(1) and (e)(5); in
addition, this system is also exempted pursuant to 5 U.S.C. 552a(k)(2)
from subsections (c)(3), (d), and (e)(1).
Consumer Inquiry/Investigatory System, JUSTICE/CIV-006.
These exemptions apply only to the extent that information in this
system of records is subject to exemption pursuant to 5 U.S.C. 552a
(j)(2) and (k)(2).
(d) Only that information compiled for criminal or civil law
enforcement purposes is exempted for the reasons set forth from the
following subsections:
(1) Subsections (c)(3). This system occasionally contains
investigatory material based on complaints of actual or alleged criminal
or civil violations. To provide the subject of a criminal or civil
matter or case under investigation with an accounting of disclosures of
records concerning him/her would inform that individual of the
existence, nature, or scope of that investigation, and thereby seriously
impede law enforcement efforts by permitting the record subject and
other persons to whom he might disclose the records to avoid criminal
penalties and civil remedies.
(2) Subsections (c)(4). This subsection is inapplicable to the extent
that an exemption is being claimed for subsection (d).
(3) Subsection (d). Disclosure of information relating to the
investigation of complaints of alleged violation of criminal or civil
law could interfere with the investigation, reveal the identity of
confidential sources, and result in an unwarranted invasion of the
privacy of others. Amendment of the records would interfere with ongoing
criminal law enforcement proceedings and impose an impossible
administrative burden by requiring criminal investigations to be
continuously reinvestigated.
(4) Subsection (e)(1). In the course of criminal or civil
investigations, cases, or matters, the Civil Division may obtain
information concerning the actual or potential violation of laws which
are not strictly within its statutory authority. In the interest of
effective law enforcement, it is necessary to retain such information
since it may establish patterns of criminal activity or avoidance of
other civil obligations and provide leads for Federal and other law
enforcement agencies.
(5) Subsection (e)(5). In compiling information for criminal law
enforcement purposes, the accuracy, completeness, timeliness and
relevancy of the information obtained cannot always be immediately
determined. As new details of an investigation come to light, seemingly
irrelevant or untimely information may acquire new significance and the
accuracy of such information can often only be determined in a court of
law. Compliance with this requirement would therefore restrict the
ability of government attorneys in exercising their judgment in
developing information necessary for effective law enforcement.
(e) The following system of records is exempt pursuant to 5 U.S.C.
552a (j)(2) and (k)(2) from subsection (d):
Congressional and Citizen Correspondence File, JUSTICE/CIV-007.
This exemption applies only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C 552a (j)(2) and
(k)(2).
(f) Only that portion of the Congressional and Citizen Correspondence
File maintained by the Communications Office which consists of criminal
or civil investigatory information is exempted for the reasons set forth
from the following subsection:
(1) Subsection (d). Disclosure of investigatory information would
jeopardize the integrity of the investigative process, disclose the
identity of individuals who furnished information to the government
under an express or implied promise that their identities would be held
in confidence, and result in an unwarranted invasion of the privacy of
others. Amendment of the records would interfere with ongoing criminal
law enforcement proceedings and impose an impossible administrative
burden by requiring criminal investigations to be continuously
reinvestigated.
[Order No. 27-88, 54 FR 113, Jan. 4, 1989]
Sec. 16.90 Exemption of Civil Rights Division Systems.
(a) The following system of records is exempt from 5 U.S.C. 552a(d):
(1) Files on Employment Civil Rights Matters Referred by the Equal
Employment Opportunity Commission (JUSTICE/CRT-007).
This exemption applies to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (d) because this system contains investigatory
material compiled by the Equal Opportunity Commission pursuant to its
authority under 42 U.S.C. 2000e-8. 42 U.S.C. 2000e-5(b), 42 U.S.C.
2000e-8(e), and 44 U.S.C. 3508 make it unlawful to make public in any
manner whatsoever any information obtained by the Commission pursuant to
the authority.
(c) The following system of records is exempt from 5 U.S.C.
552a(c)(3), (d) and (g):
(1) Central Civil Rights Division Index File and Associated Records
(JUSTICE/CRT-001).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2) and
(k)(2).
(d) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because the release of the disclosure
accounting for disclosure pursuant to the routine uses published for
this system may enable the subject of an investigation to gain valuable
information concerning the nature and scope of the investigation and
seriously hamper law enforcement efforts.
(2) From subsection (d) because freely permitting access to records in
this system would compromise ongoing investigations and reveal
investigatory techniques. In addition, these records may be subject to
protective orders entered by federal courts to protect their
confidentiality. Many of the records contained in this system are copies
of documents which are the property of state agencies and were obtained
under express or implied promises to strictly protect their
confidentiality.
(3) From subsection (g) because exemption from the provision of
subsection (d) will render the provisions on suits to enforce (d)
inapplicable.
(e) The following system of records is exempt from 5 U.S.C. 552a
(c)(3), (d), and (g):
(1) Freedom of Information/Privacy Act Records (JUSTICE/CRT-010).
These exemptions apply to the extent that information in this system
is subject to exemption pursuant to 5 U.S.C. 552a (j)(2) and (k)(2).
(f) Because this system contains Department of Justice civil and
criminal law enforcement, investigatory records, exemptions from the
particular subsections are justified for the following reasons:
(1) From subsection (c)(3) because the release of the disclosure
accounting may enable the subject of an investigation to gain valuable
information concerning the nature and scope of the investigation and
seriously hamper law enforcement efforts.
(2) From subsection (d) because access to records in this system would
compromise ongoing investigations and reveal investigative techniques.
In addition, certain of these records may be subject to protective
orders entered by Federal courts to protect their confidentiality, and
many are copies of documents which are the property of State agencies
and were obtained under express or implied promises to strictly protect
their confidentiality. This system also contains investigatory material
compiled by the Equal Opportunity Commission pursuant to its authority
under 42 U.S.C. 2000e-8. Provisions of 42 U.S.C. 2000e-5(b), 42 U.S.C.
2000e-8(e), and 44 U.S.C. 3508 make it unlawful to make public in any
manner whatsoever any information obtained by the Commission pursuant to
the authority. Amendment of the records would interfere with ongoing
criminal law enforcement proceedings and impose an impossible
administrative burden by requiring criminal investigations to be
continuously reinvestigated.
(3) From subsection (g) because exemption from subsection (d) will
render the provisions on suits to enforce subsection (d) inapplicable.
[Order No. 645-76, 41 FR 12640, Mar. 26, 1976, as amended by Order No.
688-77, 42 FR 10000, Feb. 18, 1977; Order No. 8-82, 47 FR 44256, Oct. 7,
1982; Order No. 6-86, 51 FR 15477, Apr. 24, 1986]
Sec. 16.91 Exemption of Criminal Division Systems--limited access,
as indicated.
(a) The following systems of records are exempted pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d),
(e) (1), (2) and (3), (e)(4) (G), (H) and (I), (e) (5) and (8), (f) and
(g) of 5 U.S.C. 552a; in addition, the following systems of records are
exempted pursuant to the provisions of 5 U.S.C. 552a (k)(1) and (k)(2)
from subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f)
of 5 U.S.C. 552a:
(1) Central Criminal Division, Index File and Associated Records
System of Records (JUSTICE/CRM-001)--Limited Access.
(2) General Crimes Section, Criminal Division, Central Index File and
Associated Records System of Rec-ords (JUSTICE/CRM-004)--Limited Access.
These exemptions apply to the extent that information in those systems
are subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(1) and
(k)(2).
(b) The systems of records listed under paragraphs (b)(1) and (b)(2)
of this section are exempted, for the reasons set forth, from the
following provisions of 5 U.S.C. 552a:
(1). (c)(3). The release of the disclosure accounting for disclosures
made pursuant to subsection (b) of the Act, including those permitted
under the routine uses published for these systems of records, would
permit the subject of an investigation of an actual or potential
criminal, civil, or regulatory violation to determine whether he is the
subject of investigation, or to obtain valuable information concerning
the nature of that investigation, and the information obtained, or the
identity of witnesses and informants and would therefore present a
serious impediment to law enforcement. In addition, disclosure of the
accounting would amount to notice to the individual of the existence of
a record; such notice requirement under subsection (f)(1) is
specifically exempted for these systems of records.
(2). (c)(4). Since an exemption is being claimed for subsection (d) of
the Act (Access to Records) this subsection is inapplicable to the
extent that these systems of records are exempted from subsection (d).
(3). (d). Access to the records contained in these systems would
inform the subject of an investigation of an actual or potential
criminal, civil, or regulatory violation of the existence of that
investigation, or the nature and scope of the information and evidence
obtained as to his activities, of the identity of witnesses and
informants, or would provide information that could enable the subject
to avoid detection or apprehension. These factors would present a
serious impediment to effective law enforcement because they could
prevent the successful completion of the investigation, endanger the
physical safety of witnesses or informants, and lead to the improper
influencing of witnesses, the destruction of evidence, or the
fabrication of testimony.
(4). (e)(1). The notices of these systems of records published in the
Federal Register set forth the basic statutory or related authority for
maintenance of this system. However, in the course of criminal or other
law enforcement investigations, cases, and matters, the Criminal
Division or its components will occasionally obtain information
concerning actual or potential violations of law that are not strictly
within its statutory or other authority or may compile information in
the course of an investigation which may not be relevant to a specific
prosecution. In the interests of effective law enforcement, it is
necessary to retain such information in these systems of records since
it can aid in establishing patterns of criminal activity and can provide
valuable leads for federal and other law enforcement agencies.
(5). (e)(2). In a criminal investigation or prosecution, the
requirement that information be collected to the greatest extent
practicable from the subject individual would present a serious
impediment to law enforcement because the subject of the investigation
or prosecution would be placed on notice as to the existence of the
investigation and would therefore be able to avoid detection or
apprehension, to influence witnesses improperly, to destroy evidence, or
to fabricate testimony.
(6). (e)(3). The requirement that individuals supplying information be
provided with a form stating the requirements of subsection (e)(3) would
constitute a serious impediment to law enforcement in that it could
compromise the existence of a confidential investigation or reveal the
identity of witnesses or confidential informants.
(7). (e)(4) (G) and (H). Since an exemption is being claimed for
subsections (f) (Agency Rules) and (d) (Access to Records) of the Act
these subsections are inapplicable to the extent that these systems of
records are exempted from subsections (f) and (d).
(8). (e)(4)(I). The categories of sources of the records in these
systems have been published in the Federal Register in broad generic
terms in the belief that this is all that subsection (e)(4)(I) of the
Act requires. In the event, however, that this subsection should be
interpreted to require more detail as to the identity of sources of the
records in these systems, exemption from this provision is necessary in
order to protect the confidentiality of the sources of criminal and
other law enforcement information. Such exemption is further necessary
to protect the privacy and physical safety of witnesses and informants.
(9). (e)(5). In the collection of information for criminal law
enforcement purposes it is impossible to determine in advance what
information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light and the accuracy of such information can often only be determined
in a court of law. The restrictions of subsection (e)(5) would restrict
the ability of trained investigators, intelligence analysts, and
government attorneys in exercising their judgment in reporting on
information and investigations and impede the development of criminal or
other intelligence necessary for effective law enforcement.
(10). (e)(8). The individual notice requirements of subsection (e)(8)
could present a serious impediment to law enforcement as this could
interfere with the ability to issue warrants or subpoenas and could
reveal investigative techniques, procedures, or evidence.
(11). (f). Procedures for notice to an individual pursuant to
subsection (f)(1) as to the existence of records pertaining to him
dealing with an actual or potential criminal, civil, or regulatory
investigation or prosecution must be exempted because such notice to an
individual would be detrimental to the successful conduct and/or
completion of an investigation or prosecution pending or future. In
addition, mere notice of the fact of an investigation could inform the
subject or others that their activities are under or may become the
subject of an investigation and could enable the subjects to avoid
detection or apprehension, to influence witnesses improperly, to destroy
evidence, or to fabricate testimony.
Since an exemption is being claimed for subsection (d) of the Act
(Access to Records) the rules require pursuant to subsection (f) (2)
through (5) are inapplicable to these systems of records to the extent
that these systems of records are exempted from subsection (d).
(12). (g). Since an exemption is being claimed for subsections (d)
(Access to Records) and (f) (Agency Rules) this section is inapplicable,
and is exempted for the reasons set forth for those subsections, to the
extent that these systems of records are exempted from subsections (d)
and (f).
(13). In addition, exemption is claimed for these systems of records
from compliance with the following provisions of the Privacy Act of 1974
(5 U.S.C. 552a) pursuant to the provisions of 5 U.S.C. 552a(k)(1):
Subsections (c)(3), (d), (e)(1), (e)(4) (G), (H) and (I) and (f) to the
extent that the records contained in these systems are specifically
authorized to be kept secret in the interests of national defense and
foreign policy.
(c) The following system of records is exempted pursuant to the
provisions of 5 U.S.C. 552a(j) (2) from subsection (c) (3) and (4), (d),
(e) (1), (2) and (3), (e) (4) (G), (H) and (I), (e) (5) and (8), (f) and
(g) of 5 U.S.C. 552a:
Criminal Division Witness Security File System of Records (JUSTICE/
CRM-002).
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(d) The system of records listed under paragraph (c) of this section
is exempted, for the reasons set forth, from the following provisions of
5 U.S.C. 552a:
(1). (c)(3) The release of the disclosure accounting for disclosures
made pursuant to subsection (b) of the Act, including those permitted
under the routine uses published for these systems of records, would
permit the subject of an investigation of an actual or potential
criminal violation, which may include those protected under the Witness
Security Program, to determine whether he is the subject of a criminal
investigation, to obtain valuable information concerning the nature of
that investigation and the information obtained, or the identity of
witnesses and informants and the nature of their reports, and would
therefore present a serious impediment to law enforcement. In addition,
disclosure of the accounting would amount to notice to the individual of
the existence of a record; such notice requirement under subsection
(f)(1) is specifically exempted for these systems of records. Moreover,
disclosure of the disclosure accounting to an individual protected under
the Witness Security Program could jeopardize the effectiveness and
security of the Program by revealing the methods and techniques utilized
in relocating witnesses and could therefore jeopardize the ability to
obtain, and to protect the confidentiality of, information compiled for
purposes of a criminal investigation.
(2). (c)(4) Since an exemption is being claimed for subsection (d) of
the Act (Access to Records) this section is inapplicable.
(3). (d) Access to the records contained in these systems would inform
the subject of an investigation of an actual or potential criminal
violation, which may include those protected under the Witness Security
Program, of the existence of that investigation, of the nature and scope
of the information and evidence obtained as to his activities, of the
identity of witnesses and informants, or would provide information that
could enable the subject to avoid detection or apprehension. These
factors would present a serious impediment to effective law enforcement
because they could prevent the successful completion of the
investigation, endanger the physical safety of witnesses or informants,
and lead to the improper influencing of witnesses, the destruction of
evidence, or the fabrication of testimony. In addition, access to the
records in these systems to an individual protected under the Witness
Security Program could jeopardize the effectiveness and security of the
Program by revealing the methods and techniques utilized in relocating
witnesses and could therefore jeopardize the ability to obtain, and to
protect the confidentiality of, information compiled for purposes of a
criminal investigation.
(4). Exemption is claimed from subsection (e)(1) for the reasons
stated in subsection (b)(4) of this section.
(5). (e)(2) In the course of preparing a Witness Security Program for
an individual, much of the information is collected from the subject.
However, the requirement that the information be collected to the
greatest extent practicable from the subject individual would present a
serious impediment to criminal law enforcement because the individual
himself may be the subject of a criminal investigation or have been a
participant in, or observer of, criminal activity. As a result, it is
necessary to seek information from other sources. In addition, the
failure to verify the information provided from the individual when
necessary and to seek other information could jeopardize the
confidentiality of the Witness Security Program and lead to the
obtaining and maintenance of incorrect and uninvestigated information on
criminal matters.
(6). (e)(3) The requirement that individuals supplying information be
provided with a form stating the requirements of subsection (e)(3) would
constitute a serious impediment to law enforcement in that it could
compromise or reveal the identity of witnesses and informants protected
under the Witness Security Program.
(7). (e)(4) (G) and (H). Since an exemption is being claimed for
subsections (f) (Agency Rules) and (d) (Access to Records) of the Act
these subsections are inapplicable.
(8). (e)(4)(I). The categories of sources of the records in these
systems have been published in the Federal Register in broad generic
terms in the belief that this is all that subsection (e)(4)(I) of the
Act requires. In the event, however, that this subsection should be
interpreted to require more detail as to the identity of sources of the
records in the system, exemption from this provision is necessary in
order to protect the confidentiality of the sources of criminal law,
enforcement information and of witnesses and informants protected under
the Witness Security Program.
(9). Exemption is claimed from subsections (e)(5) and (e)(8) for the
reasons stated in subsection (b)(9) and (b)(10) of this section.
(10). Procedures for notice to an individual pursuant to subsection
(f)(1) as to the existence of records contained in these systems
pertaining to him would inform the subject of an investigation of an
actual or potential criminal violation, which may include those
protected under the Witness Security Program, of the existence of that
investigation, of the nature and scope of the information and evidence
obtained as to his activities, of the identity of witnesses and
informants, or would provide information that could enable the subject
to avoid detection or apprehension. These factors would present a
serious impediment to effective law enforcement because they could
prevent the successful conduct and/or completion of an investigation
pending or future, endanger the physical safety of witnesses or
informants, and lead to the improper influencing of witnesses, the
destruction of evidence, or the fabrication of testimony. In addition,
notices as to the existence of records contained in these systems to an
individual protected under the Witness Security Program could jeopardize
the effectiveness and security of the Program by revealing the methods
and techniques utilized in relocating witnesses and could therefore
jeopardize the ability to obtain, and to protect the confidentiality of,
information compiled for purposes of a criminal investigation.
Since an exemption is being claimed for subsection (d) of the Act
(Access to Records) the rules required pursuant to subsection (f) (2)
through (5) are inapplicable.
(11). (g) Since an exemption is being claimed for subsections (d)
(Access to Records) and (f) (Agency Rules) this section is inapplicable
and is exempted for the reasons set forth for those subsections.
(e) The following system of records is exempted pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d),
(e) (4) (G), (H) and (I), (f), and (g) of 5 U.S.C. 552a:
Organized Crime and Racketeering Section, Intelligence and Special
Services Unit, Information Request System of Records (JUSTICE/CRM-014).
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(f) The system of records listed under paragraph (e) of this section
is exempted for the reasons set forth, from the following provisions of
5 U.S.C. 552a:
(1). (c)(3). The release of the disclosure accounting for disclosures
made pursuant to subsection (b) of the Act, including those permitted
under the routine uses published for these systems of records, would
permit the subject of an investigation of an actual or potential
criminal violation to determine whether he is the subject of a criminal
investigation and would therefore present a serious impediment to law
enforcement. The records in these systems contain the names of the
subjects of the files in question and the system is accessible by name
of the person checking out the file and by name of the subject of the
file. In addition, disclosure of the accounting would amount to notice
to the individual of the existence of a record; such notice requirement
under subsection (f)(1) is specifically exempted for these systems of
records.
(2). (c)(4). Since an exemption is being claimed for subsection (d) of
the Act (Access to Records) this section is inapplicable.
(3). (d). Access to the records contained in these systems would
inform the subject of an investigation of an actual or potential
criminal violation of the existence of that investigation. This would
present a serious impediment to effective law enforcement because it
could prevent the successful completion of the investigation, endanger
the physical safety of witnesses or informants, and lead to the improper
influencing of witnesses, the destruction of evidence, or the
fabrication of testimony.
(4). Exemption is claimed from subsections (e)(4) (G), (H) and (I) for
the reasons stated in subsections (b)(7) and (b)(8) of this section.
(5). (f). These systems may be accessed by the name of the person who
is the subject of the file and who may also be the subject of a criminal
investigation. Procedures for notice to an individual pursuant to
subsection (f)(1) as to the existence of records pertaining to him,
which may deal with an actual or potential criminal investigation or
prosecution, must be exempted because such notice to an individual would
be detrimental to the successful conduct and/or completion of the
investigation or prosecution pending or future. In addition mere notice
of the fact of an investigation could inform the subject or others that
their activities are under or may become the subject of an investigation
and could enable the subjects to avoid detection or apprehension, to
influence witnesses improperly, to destroy evidence, or to fabricate
testimony.
Since an exemption is being claimed for subsection (d) of the Act
(Access to Records) the rules required pursuant to subsection (f) (2)
through (5) are inapplicable.
(6). (g). Since an exemption is being claimed for subsections (d)
(Access to Records) and (f) (Agency Rules) of the Act this section is
inapplicable and is exempted for the reasons set forth for those
subsections.
(g) The following system of records is exempted pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c)(4), (d), (e)(4)
(G), (H) and (I), (f) and (g) of 5 U.S.C. 552a.
File of Names Checked to Determine If Those Individuals Have Been the
Subject of an Electronic Surveillance System of Records (JUSTICE/CRM-
003).
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(h) The system of records listed under paragraph (g) of this section
is exempted, for the reasons set forth, from the following provisions of
5 U.S.C. 552a:
(1). (c)(4). Since an exemption is being claimed for subsection (d) of
the Act (Access to Records) this section is inapplicable to the extent
that this system of records is exempted from subsection (d).
(2). (d). The records contained in this system of records generally
consist of information filed with the court in response to the request
and made available to the requestor. To the extent that these records
have been so filed, no exemption is sought from the provisions of this
subsection. Occasionally, the records contain pertinent logs of
intercepted communications and other investigative reports not filed
with the court. These records must be exempted because access to such
records could inform the subject of an investigation of an actual or
potential criminal violation of the existence of that investigation and
of the nature of the information and evidence obtained by the
government. This would present a serious impediment to effective law
enforcement because it could prevent the successful completion of the
investigation, endanger the physical safety of witnesses or informants,
and lead to the improper influencing of witnesses, the destruction of
evidence, or the fabrication of testimony.
(3). Exemption is claimed from subsections (e)(4) (G), (H) and (I) for
the reasons stated in subsections (b)(7) and (b)(8) of this section.
(4). (f). The records contained in this system of records generally
consist of information filed with the court and made available to the
requestor. To the extent that these records have been so filed, no
exemption is sought from the provisions of this subsection.
Occasionally, the records contain pertinent logs of intercepted
communications and other investigative reports not filed with the court.
These records must be exempted from a requirement of notification as to
their existence because such notice to an individual would be
detrimental to the successful conduct and/or completion of a criminal
investigation or prosecution pending or future. In addition, mere notice
of the existence of such logs or investigative reports could inform the
subject or others that their activities are under or may become the
subject of an investigation and could enable the subjects to avoid
detection or apprehension, to influence witnesses improperly, to destroy
evidence, or to fabricate testimony.
Since an exemption is being claimed for subsection (d) of the Act
(Access to Records) the rules required pursuant to subsection (f) (2)
through (5) are inapplicable to the extent that this system of records
is exempted for subsection (d).
(6). (g). Since an exemption is being claimed for subsections (d)
(Access to Records) and (f) (Agency Rules) this section is inapplicable,
and is exempted for the reasons set forth for those subsections, to the
extent that this system of records is exempted from subsections (d) and
(f).
(i) The following systems of records are exempted pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d),
(e) (1), (2), and (3), (e)(4) (G), (H), and (I), (e) (5) and (8), (f)
and (g) of 5 U.S.C. 552a:
(1) Information File on Individuals and Commercial Entities Known or
Suspected of Being Involved in Fraudulent Activities System of Records
(JUSTICE/CRM-006).
(2) The Stocks and Bonds Intelligence Control Card File System of
Records (JUSTICE/CRM-021).
(3) Tax Disclosure Index File and Associated Records (JUSTICE/CRM-
025).
These exemptions apply only to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(j) The systems of records listed in paragraphs (i)(1), (i)(2), and
(i)(3) of this section are exempted, for the reasons set forth, from the
following provisions of 5 U.S.C. 552a:
(1)(c)(3) The release of the disclosure accounting for disclosures
made pursuant to subsection (b) of the act, including those permitted
under the routine uses published for these systems of records, would
permit the subject of an investigation of an actual or potential
criminal violation to determine whether he is the subject of a criminal
investigation, to obtain valuable information concerning the nature of
that investigation, and the information obtained, or the identity of
witnesses and informants, and would therefore present a serious
impediment to law enforcement. In addition, disclosure of the accounting
would amount to notice to the individual of the existence of a record;
such notice requirement under subsection (f)(1) is specifically exempted
for this system of records.
(2)(c)(4) Since an exemption is being claimed for subsection (d) of
the act (access to records), this section is inapplicable to the extent
that these systems of records are exempted from subsection (d).
(3)(d) Access to the records contained in these systems would inform
the subject of an investigation of an actual or potential criminal
violation of the existence of that investigation, of the nature and
scope of the information and evidence obtained as to his activities, of
the identity of witnesses and informants, or would provide information
that could enable the subject to avoid detection or apprehension. These
factors would present a serious impediment to effective law enforcement
because they could prevent the successful completion of the
investigation, endanger the physical safety of witnesses or informants,
and lead to the improper influencing of witnesses, the destruction of
evidence, or the fabrication of testimony.
(4) Exemption is claimed from subsections (e) (1), (2), and (3),
(e)(4) (G), (H), and (I), (e)(5) and (e)(8) for the reasons stated in
subsections (b)(4), (b)(5), (b)(6), (b)(7), (b)(8), (b)(9), and (b)(10)
of this section.
(5)(f) Procedures for notice to an individual pursuant to subsection
(f)(1) as to the existence of records pertaining to him dealing with an
actual or potential criminal investigation or prosecution must be
exempted because such notice to an individual would be detrimental to
the successful conduct and/or completion of an investigation or
prosecution pending or future. In addition, mere notice of the fact of
an investigation could inform the subject or others that their
activities are under or may become the subject of an investigation and
could enable the subjects to avoid detection or apprehension, to
influence witnesses improperly, to destroy evidence, or to fabricate
testimony. Since an exemption is being claimed for subsection (d) of the
act (access to records), the rules required pursuant to subsection (f)
(2) through (5) are inapplicable to these systems of records.
(6)(g) Since an exemption is being claimed for subsections (d) (access
to records) and (f) (Agency rules), this section is inapplicable and is
exempted for the reasons set forth for those subsections.
(k) The following system of records is exempted pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d),
(e) (1), (2) and (3), (e)(4) (G), (H) and (I), (e) (5) and (8), (f) and
(g) of 5 U.S.C. 552a; in addition, the following systems of records are
exempted pursuant to the provisions of 5 U.S.C. 552a(k)(1) from
subsections (c) (3), (d), (e)(1), (e)(4) (G), (H) and (I) and (f) of 5
U.S.C. 552a:
Organized Crime and Racketeering Section, Criminal Division, General
Index File and Associated Records System of Records (JUSTICE/CRM-012).
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and (k)(1).
(l) The system of records listed under paragraph (m)\1\ of this
section is exempted, for the reasons set forth, from the following
provisions of 5 U.S.C. 552a:
---------------------------------------------------------------------------
\1\ Paragraph (m) was redesignated as paragraph (k) at 44 FR 54046,
Sept. 18, 1979.
(1). Exemption is claimed from subsections (c) (3) and (4) and (d) for
the reasons stated in subsections (j)(1), (j)(2) and (j)(3) of this
section.
(2). (e)(1). The notice for this system of records published in the
Federal Register sets forth the basic statutory or related authority for
maintenance of this system. However, in the course of criminal
investigations, cases, and matters, the Organized Crime and Racketeering
Section will occasionally obtain information concerning actual or
potential violations of law that are not strictly within its statutory
or other authority, or may compile information in the course of an
investigation which may not be relevant to a specific prosecution. In
the interests of effective law enforcement, it is necessary to retain
such information in this system of records since it can aid in
establishing patterns of criminal activity and can provide valuable
leads for federal and other law enforcement agencies.
(3). Exemption is claimed from subsections (e) (2) and (3), (e)(4)
(G), (H) and (I), (e) (5) and (8), (f) and (g) for the reasons stated in
subsections (b)(5), (b)(6), (b)(7), (b)(8), (b)(9), (b)(10), (b)(11) and
(b)(12) of this section.
(4). In addition, exemption is claimed for this system of records from
compliance with the following provisions of the Privacy Act of 1974 (5
U.S.C. 552a) pursuant to the provisions of 5 U.S.C. 552a(k)(1):
Subsections (c)(3), (d), (e)(1), (e)(4) (G), (H) and (I) and (f) to the
extent that the records contained in this system are specifically
authorized to be kept secret in the interests of national defense and
foreign policy.
(m) The following system of records is exempted pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d),
(e) (2) and (3), (e) (4) (G), (H) and (I), (e) (8), (f) and (g) of 5
U.S.C. 552a:
Requests to the Attorney General For Approval of Applications to
Federal Judges For Electronic Interceptions System of Records (JUSTICE/
CRM-019).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(n) The system of records listed in paragraph (m) of this section is
exempted for the reasons set forth, from the following provisions of 5
U.S.C. 552a:
(1). (c)(3). The release of the disclosure accounting for disclosures
made pursuant to subsection (b) of the Act, including those permitted
under the routine uses published for these systems of records, would
permit the subject of an electronic interception to obtain valuable
information concerning the interception, including information as to
whether he is the subject of a criminal investigation, by means other
than those provided for by statute. Such information could interfere
with the successful conduct and/or completion of a criminal
investigation, and would therefore present a serious impediment to law
enforcement. In addition, disclosure of the accounting would amount to
notice to the individual of the existence of a record; such notice
requirement under subsection (f)(1) is specifically exempted for these
systems of records.
(2). (c)(4). Since an exemption is being claimed for subsection (d) of
the Act (Access to Records) this section is inapplicable.
(3). (d). Access to the records contained in these systems would
inform the subject of an electronic interception of the existence of
such surveillance including information as to whether he is the subject
of a criminal investigation by means other than those provided for by
statute. This could interfere with the successful conduct and/or
completion of a criminal investigation and therefore present a serious
impediment to law enforcement.
(4). (e)(2). In the context of an electronic interception, the
requirement that information be collected to the greatest extent
practicable from the subject individual would present a serious
impediment to law enforcement because the subject of the investigation
or prosecution would be placed on notice as to the existence of the
investigation and this would therefore destroy the efficacy of the
interception.
(5). (e)(3). The requirement that individuals supplying information be
provided with a form stating the requirements of subsection (e)(3) would
constitute a serious impediment to law enforcement in that it could
compromise the existence of a confidential electronic interception or
reveal the identity of witnesses or confidential informants.
(6). (e)(4) (G) and (H). Since an exemption is being claimed for
subsections (f) (Agency Rules) and (d) (Access to Records) of the Act
these subsections are inapplicable.
(7). Exemption is claimed from subsections (e)(4)(I) and (e)(8) for
the reasons stated in subsections (b)(8) and (b)(10) of this section.
(8). (f). Procedures for notice to an individual pursuant to
subsection (f)(1) as to the existence of records pertaining to him
dealing with an electronic interception other than pursuant to statute
must be exempted because such notice to an individual would be
detrimental to the successful conduct and/or completion of an
investigation pending or future. In addition, mere notice of the fact of
an electronic interception could inform the subject or others that their
activities are under or may become the subject of an investigation and
could enable the subjects to avoid detection or apprehension, to
influence witnesses improperly, to destroy evidence, or to fabricate
testimony.
Since an exemption is being claimed for subsection (d) of the Act
(Access to Records) the rules required pursuant to subsection (f)(2)
through (5) are inapplicable to these systems of records to the extent
that these systems of records are exempted from subsection (d).
(9). (g). Since an exemption is being claimed for subsection (d)
(Access to Records) and (f) (Agency Rules) this section is inapplicable,
and is exempted for the reasons set forth for those subsections, to the
extent that these systems of records are exempted from subsection (d)
and (f).
(o) The following system of records is exempted pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d),
(e) (2) and (3), (e) (4) (G), (H), and (I), (e)(8), (f) and (g) of 5
U.S.C. 552a; in addition the following system of records is exempted
pursuant to the provisions of 5 U.S.C. 552a(k)(1) and (k)(2) from
subsections (c)(3), (d), (e)(4) (G), (H) and (I), and (f) of 5 U.S.C.
552a:
Witness Immunity Records System of Records (JUSTICE/CRM-022).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2) and
(k)(1) and (k)(2).
(p) The system of records listed under paragraph (q)\2\ of this
section is exempted, for the reasons set forth, from the following
provisions of 5 U.S.C. 552a:
---------------------------------------------------------------------------
\2\ Paragraph (q) was redesignated as paragraph (o) at 44 FR 54046,
Sept. 18, 1979.
(1). (c)(3). Release of the accounting of disclosures made pursuant to
subsection (b) of the Act, including those permitted under the routine
uses published for this system of records, (a) as to a witness for whom
immunity has been proposed, would inform the individual of the existence
of the proposed immunity prematurely, thus creating a serious impediment
to effective law enforcement in that the witness could flee, destroy
evidence, or fabricate testimony; and (b) as to a witness to whom
immunity has been granted, r for whom it has been denied, would reveal
the nature and scope of the activities, if any, of the witness known to
the government, which would also create a serious impediment to
effective law enforcement.
(2). (c)(4). Since an exemption is being claimed for subsection (d) of
the Act (Access to Records) this section is inapplicable to the extent
that this system of records is exempted from subsection (d).
(3). (d). Access to the records contained in this system (a) as to a
witness for whom immunity has been proposed, would inform the individual
of the existence of the proposed immunity prematurely, thus presenting a
serious impediment to effective law enforcement in that the witness
could flee, destroy evidence, or fabricate testimony; and (b) as to a
witness to whom immunity has been granted, or for whom it has been
denied, would reveal the nature and scope of the activities, if any, of
the witness known to the government, which would also create a serious
impediment to effective law enforcement.
(4). (e)(2). In a witness immunity request matter, the requirement
that information be collected to the greatest extent practicable from
the subject individual would present a serious impediment to law
enforcement because the subject of the immunity request and often the
subject of the underlying investigation or prosecution would be placed
on notice as to the existence of the investigation and would therefore
be able to avoid detection or apprehension, to influence witnesses
improperly, to destroy evidence, or to fabricate testimony.
(5). Exemption is claimed from subsections (e)(3), (e)(4)(G), (H) and
(I), and (e)(8) for the reasons stated in subsections (b)(6), (b)(7),
(b)(8) and (b)(10) of this section.
(6). (f). Procedures for notice to an individual pursuant to
subsection (f)(1) as to the existence of records pertaining to him (a)
as to a witness for whom immunity has been proposed, would inform the
individual of the existence of the proposed immunity prematurely, thus
presenting a serious impediment to effective law enforcement in that the
witness could flee, destroy evidence, or fabricate testimony; and (b) as
to a witness to whom immunity has been granted, or for whom it has been
denied, would reveal the nature and scope of the activity, if any, of
the witness known to the government, which would also create a serious
impediment to effective law enforcement.
Since an exemption is being claimed for subsection (d) of the Act
(Access to Records) the rules required pursuant to subsection (f)(2)
through (5) are inapplicable to this system of records to the extent
that this system of records is exempted from subsection (d).
(7). (g). Since an exemption is being claimed for subsections (d)
(Access to Records) and (f) (Agency Rules) this section is inapplicable,
and is exempted for the reasons set forth for those subsections, to the
extent that this system of records is exempted for subsections (d) and
(f).
(8). In addition, exemption is claimed for this system of records from
compliance with the following provisions of the Privacy Act of 1974 (5
U.S.C. 552a) pursuant to the provisions of 5 U.S.C. 552a(k)(1):
subsections (c)(3), (d), (e)(1), (e)(4) (G), (H) and (I) and (f) to the
extent that the records contained in this system are specifically
authorized to be kept secret in the interests of national defense and
foreign policy.
(q) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G), (H) and (I), (e) (5)
and (8), (f), and (g):
(1) Freedom of Information/Privacy Act Records (JUSTICE/CRM-024)
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(1) and (k)(2).
(r) Because this system contains Department of Justice civil and
criminal law enforcement, investigatory records, it is exempted for the
reasons set forth from the following provisions of 5 U.S.C. 552a:
(1)(c)(3). The release of the disclosure accounting would present a
serious impediment to law enforcement by permitting the subject of an
investigation of an actual or potential criminal, civil, or regulatory
violation to determine whether he is the subject of investigation, or to
obtain valuable information concerning the nature of that investigation
and the information obtained, or to identify witnesses and informants.
(2)(c)(4). Since an exemption is being claimed for subsection (d) of
the Act (Access to Records), this subsection is inapplicable to the
extent that this system of records is exempted from subsection (d).
(3)(d). Access to records contained in this system would enable the
subject of an investigation of an actual or potential criminal or civil
case or regulatory violation to determine whether he or she is the
subject of investigation, to obtain valuable information concerning the
nature and scope of the investigation, and information or evidence
obtained as to his/her activities, to identify witnesses and informants,
or to avoid detection or apprehension. Such results could prevent the
successful completion of the investigation, endanger the physical safety
of witnesses or informants, lead to the improper influencing of
witnesses, the destruction of evidence, or the fabrication of testimony,
and thereby present a serious impediment to effective law enforcement.
Amendment of the records would interfere with ongoing criminal law
enforcement proceedings and impose an impossible administrative burden
by requiring criminal investigations to be continuously reinvestigated.
(4)(e)(1). In the course of criminal or other law enforcement
investigations, cases, and matters, the Criminal Division will
occasionally obtain information concerning actual or potential
violations of law that are not strictly within its statutory or other
authority, or it may compile information in the course of an
investigation which may not be relevant to a specific prosecution. In
the interests of effective law enforcement, it is necessary to retain
such information since it can aid in establishing patterns of criminal
activity and can provide valuable leads for Federal and other law
enforcement agencies.
(5)(e)(2). To collect information to the greatest extent practicable
from the subject individual of a criminal investigation or prosecution
would present a serious impediment to law enforcement. The nature of
criminal and other investigative activities is such that vital
information about an individual can only be obtained from other persons
who are familiar with such individual and his/her activities. In such
investigations it is not feasible to rely upon information furnished by
the individual concerning his own activities.
(6) (e)(3). To provide individuals supplying information with a form
stating the requirements of subsection (e)(3) would constitute a serious
impediment to law enforcement in that it could compromise the existence
of a confidential investigation or reveal the identity of witnesses or
confidential informants.
(7)(e)(4) (G) and (H). These subsections are inapplicable to the
extent that this system is exempt from the access provisions of
subsection (d) and the rules provisions of subsection (f).
(8)(e)(4)(I). The categories of sources of the records in this system
have been published in the Federal Register in broad generic terms in
the belief that this is all that subsection (e)(4)(I) of the Act
requires. In the event, however, that this subsection should be
interpreted to require more detail as to the identity of sources of the
records in this system, exemption from this provision is necessary to
protect the confidentiality of the sources of criminal and other law
enforcement information. Such exemption is further necessary to protect
the privacy and physical safety of witnesses and informants.
(9) (e)(5). In the collection of information for criminal law
enforcement purposes it is impossible to determine in advance what
information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light and the accuracy of such information can often only be determined
in a court of law. The restrictions of subsection (e)(5) would inhibit
the ability of trained investigators, intelligence analysts, and
government attorneys in exercising their judgment in reporting on
information and investigations and impede the development of criminal or
other intelligence necessary for effective law enforcement.
(10)(e)(8). The individual notice requirements of subsection (e)(8)
could present a serious impediment to law enforcement as this could
interfere with the ability to issue warrants or subpoenas and could
reveal investigative techniques, procedures, or evidence.
(11)(f). This subsection is inapplicable to the extent that this
system is exempt from the access provisions of subsection (d).
(12)(g). Because some of the records in this system contain
information which was compiled for law enforcement purposes and have
been exempted from the access provisions of subsection (d), subsection
(g) is inapplicable.
(s) The following system of records is exempted from 5 U.S.C. 552a(d).
Office of Special Investigations Displaced Persons Listings (JUSTICE/
CRM-027).
This exemption applies to the extent that the records in this system are
subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
(t) Exemption from subsection (d) is justified for the following
reasons:
(1) Access to records contained in this system could inform the
subject of the identity of witnesses or informants. The release of such
information could present a serious impediment to effective law
enforcement by endangering the physical safety of witnesses or
informants; by leading to the improper influencing of witnesses, the
destruction of evidence, or the fabrication of testimony; or by
otherwise preventing the successful completion of an investigation.
[Order No. 645-76, 41 FR 12640, Mar. 26, 1976, as amended by Order No.
659-76, 41 FR 32423, Aug. 3, 1976; Order No. 11-78, 43 FR 38386, Aug.
28, 1978; Order No. 30-79, 44 FR 54046, Sept. 18, 1979; Order Nos. 6-86,
7-86, 51 FR 15475, 15477, Apr. 24, 1986]
Sec. 16.92. Exemption of Environment and Natural Resources Division
Systems--Limited Access.
(a)(1) The following system of records is exempted pursuant to 5
U.S.C. 552a(j)(2) from subsections (c)(3) and (4), (d), (e)(1), (e)(2),
(e)(3), (e)(5), (e)(8), (f) and (g); in addition, the following systems
of records are exempted pursuant to 5 U.S.C. 552a(k)(1) and (k)(2) from
subsections (c)(3), (d), and (e)(1):
(i) Environment and Natural Resources Division Case and Related Files
System, JUSTICE/ENRD-003.
(ii) [Reserved]
(2) These exemptions apply only to the extent that information in this
system relates to the investigation, prosecution or defense of actual or
potential criminal or civil litigation, or
[[Page 75159]]
which has been properly classified in the interest of national defense
and foreign policy, and therefore is subject to exemption pursuant to 5
U.S.C. 552a(j)(2), (k)(1) and (k)(2). To the extent that information in
a record pertaining to an individual does not relate to national defense
or foreign policy, official Federal investigations, and/or law
enforcement matters, the exemption does not apply. In addition, where
compliance would not appear to interfere with or adversely affect the
overall law or regulatory enforcement process, the applicable exemption
may be waived by the Environment and Natural Resources Division.
(b) Only that information that relates to the investigation,
prosecution or defense of actual or potential criminal or civil
litigation, or which has been properly classified in the interest of
national defense and foreign policy is exempted for the reasons set
forth from the following subsections:
(1) Subsection (c)(3). Subsection (c)(3) requires an agency to provide
an accounting of disclosures of records concerning an individual. To
provide the subject of a criminal or civil matter or case under
investigation with an accounting of disclosures of records would inform
that individual (and others to whom the subject might disclose the
records) of the existence, nature, or scope of that investigation and
thereby seriously impede law enforcement efforts by permitting the
record subject and others to avoid criminal penalties and civil
remedies.
(2) Subsections (c)(4) (requiring an agency to inform individuals
about any corrections made to a record that has been disclosed) and (g)
(providing for civil remedies when an agency fails to comply with these
provisions). These provisions are inapplicable to the extent that this
system of records is exempted from subsection (d).
(3) Subsection (d). Subsection (d) requires an agency to allow
individuals to gain access to a record about him or herself; to dispute
the accuracy, relevance, timeliness or completeness of such records; and
to have an opportunity to amend his or her record or seek judicial
review. To the extent that information contained in this system has been
properly classified, relates to the investigation and/or prosecution of
grand jury, civil fraud, and other law enforcement matters, disclosure
could compromise matters which should be kept secret in the interest of
national security or foreign policy; compromise confidential
investigations or proceedings; impede affirmative enforcement actions
based upon alleged violations of regulations or of civil or criminal
laws; reveal the identity of confidential sources; and result in
unwarranted invasions of the privacy of others. Amendment of the records
would interfere with ongoing criminal law enforcement proceedings and
impose an impossible administrative burden by requiring criminal
investigations to be continuously reinvestigated.
(4) Subsection (e)(1). Subsection (e)(1) requires an agency to
maintain in its records only such information about an individual that
is relevant and necessary to accomplish the agency's purpose. In the
course of criminal or civil investigations, cases, or other matters, the
Environment and Natural Resources Division may obtain information
concerning the actual or potential violation of laws which are not
strictly within its statutory authority. In the interest of effective
law enforcement, it is necessary to retain such information since it may
establish patterns of criminal activity or avoidance of other civil
obligations and provide leads for Federal and other law enforcement
agencies.
(5) Subsection (e)(2). Subsection (e)(2) requires an agency to collect
information to the greatest extent practicable from the subject
individual when the information may result in adverse determinations
about an individual's rights, benefits and privileges under Federal
programs. To collect information from the subject of a criminal
investigation or prosecution would present a serious impediment to law
enforcement in that the subject (and others with whom the subject might
be in contact) would be informed of the existence of the investigation
and would therefore be able to avoid detection or apprehension, to
influence witnesses improperly, to destroy evidence, or to fabricate
testimony.
(6) Subsection (e)(3). Subsection (e)(3) requires an agency to inform
each individual whom it asks to supply information, on a form that can
be retained by the individual, the authority which authorizes the
solicitation, the principal purpose for the information, the routine
uses of the information, and the effects on the individual of not
providing the requested information. To comply with this requirement
during the course of a criminal investigation or prosecution could
jeopardize the investigation by disclosing the existence of a
confidential investigation, revealing the identity of witnesses or
confidential informants, or impeding the information gathering process.
(7) Subsection (e)(5). Subsection (e)(5) requires an agency to
maintain records with such accuracy, relevance, timeliness, and
completeness as is reasonably necessary to assure fairness to the
individual. In compiling information for criminal law enforcement
purposes, the accuracy, completeness, timeliness and relevancy of the
information obtained cannot always be immediately determined. As new
details of an investigation come to light, seemingly irrelevant or
untimely information may acquire new significance and the accuracy of
such information can often only be determined in a court of law.
Compliance with this requirement would therefore restrict the ability of
government attorneys in exercising their judgment in developing
information necessary for effective law enforcement.
(8) Subsection (e)(8). Subsection (e)(8) requires agencies to make
reasonable efforts to serve notice on an individual when any record on
the individual is made available to any person under compulsory legal
process. To serve notice would give persons sufficient warning to evade
law enforcement efforts.
(9) Subsections (f) and (g). Subsection (f) requires an agency to
establish procedures to allow an individual to have access to
information about him or herself and to contest information kept by an
agency about him or herself. Subsection (g) provides for civil remedies
against agencies who fail to comply with the Privacy Act requirements.
These provisions are inapplicable to the extent that this system is
exempt from the access and amendment provisions of subsection (d).
(c) The following system of records is exempt from 5 U.S.C. 552a
(c)(3) and (d):
(1) Freedom of Information/Privacy Act Records System. (Justice/LDN-
005).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
(d) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c) (3) because that portion of the Freedom of
Information/Privacy Act Records System that consists of investigatory
materials compiled for law enforcement purposes is being exempted from
access and contest; the provision for disclosure of accounting is not
applicable.
(2) From subsection (d) because of the need to safeguard the identity
of confidential informants and avoid interference with ongoing
investigations or law enforcement activities by preventing premature
disclosure of information relating to those efforts.
[Order No. 688-77, 42 FR 10000, Feb. 18, 1977, amended by Order No. 207-
2000, 65 FR 75158, Dec. 1, 2000]
Sec. 16.93 Exemption of Tax Division Systems--limited access.
(a) The following systems of records are exempted pursuant to the
provisions of 5 U.S.C. 552a (j)(2) from subsections (c)(3), (c)(4),
(d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f) and (g) of 5 U.S.C. 552a:
(1) Tax Division Central Classification Cards, Index Docket Cards, and
Associated Records--Criminal Tax Cases (JUSTICE/TAX-001)--Limited
Access.
(2) Tax Division Special Projects Files (JUSTICE/TAX-005)--Limited
Access.
These exemptions apply to the extent that information in these systems
is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(b) The systems of records listed under paragraphs (a)(1) and (a)(2)
of this section are exempted for the reasons set forth below, from the
following provisions of 5 U.S.C. 552a:
(1)(c)(3). The release of the disclosure accounting, for disclosures
made pursuant to subsection (b) of the Act, including those permitted
under the routine uses published for those systems of records, would
enable the subject of an investigation of an actual or potential
criminal tax case to determine whether he or she is the subject of
investigation, to obtain valuable information concerning the nature of
that investigation and the information obtained, and to determine the
identity of witnesses or informants. Such access to investigative
information would, accordingly, present a serious impediment to law
enforcement. In addition, disclosure of the accounting would constitute
notice to the individual of the existence of a record even though such
notice requirement under subsection (f)(1) is specifically exempted for
these systems of records.
(2)(c)(4). Since an exemption is being claimed for subsection (d) of
the Act (Access to Records) this subsection is inapplicable to the
extent that these systems of records are exempted from subsection (d).
(3) (d)(1); (d)(2); (d)(3); (d)(4). Access to the records contained in
these systems would inform the subject of an actual or potential
criminal tax investigation of the existence of that investigation, of
the nature and scope of the information and evidence obtained as to his
or her activities, and of the identity of witnesses or informants. Such
access would, accordingly, provide information that could enable the
subject to avoid detection, apprehension and prosecution. This result,
therefore, would constitute a serious impediment to effective law
enforcement not only because it would prevent the successful completion
of the investigation but also because it could endanger the physical
safety of witnesses or informants, lead to the improper influencing of
witnesses, the destruction of evidence, or the fabrication of testimony.
(4)(e)(1). The notices for these systems of records published in the
Federal Register, set forth the basic statutory or related authority for
maintenance of these systems. However, in the course of criminal tax and
related law enforcement investigations, cases, and matters, the Tax
Division will occasionally obtain information concerning actual or
potential violations of law that may not be technically within its
statutory or other authority or may compile information in the course of
an investigation which may not be relevant to a specific prosecution. In
the interests of effective law enforcement, it is necessary to retain
some or all of such information in these systems of records since it can
aid in establishing patterns of criminal activity and can provide
valuable leads for Federal and other law enforcement agencies.
(5)(e)(2). In a criminal tax investigation or prosecution, the
requirement that information be collected to the greatest extent
practicable from the subject individual would present a serious
impediment to law enforcement because the subject of the investigation
or prosecution would be placed on notice as to the existence of the
investigation and would therefore be able to avoid detection or
apprehension, influence witnesses improperly, destroy evidence, or
fabricate testimony.
(6)(e)(3). The requirement that individuals supplying information be
provided with a form stating the requirements of subsection (e)(3) would
constitute a serious impediment to law enforcement in that it could
compromise the existence of a confidential investigation or reveal the
identity of witnesses or confidential informants.
(7)(e)(4) (G) and (H). Since an exemption is being claimed for
subsections (f) (Agency Rules) and (d) (Access to Records) of the Act
these subsections are inapplicable to the extent that these systems of
records are exempted from subsection (f) and (d).
(8)(e)(4)(I). The categories of sources of the records in the systems
have been published in the Federal Register in broad generic terms in
the belief that this is all that subsection (e)(4)(I) of the Act
requires. In the event, however, that this subsection should be
interpreted to require more detail as to the identity of sources of the
records in these systems, exemption from this provision is necessary in
order to protect the confidentiality of the sources of criminal tax and
related law enforcement information. Such exemption is further necessary
to protect the privacy and physical safety of witnesses and informants.
(9)(e)(5). In the collection of information for criminal tax
enforcement purposes it is impossible to determine in advance what
information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light. Furthermore, the accuracy of such information can often only be
determined in a court of law. The restrictions of subsection (e)(5)
would restrict the ability of government attorneys in exercising their
judgment in reporting on information and investigations and impede the
development of criminal tax information and related data necessary for
effective law enforcement.
(10)(e)(8). The individual notice requirements of subsection (e)(8)
could present a serious impediment to law enforcement as this could
interfere with the ability to issue warrants or subpoenas and could
reveal investigative techniques, procedures, or evidence.
(11)(f). Procedures for notice to an individual pursuant to subsection
(f)(1) as to the existence of records pertaining to him dealing with an
actual or potential criminal tax, civil tax, or regulatory investigation
or prosecution must be exempted because such notice to an individual
would be detrimental to the successful conduct and/or completion or an
investigation or prosecution pending or future. In addition, mere notice
of the fact of an investigation could inform the subject or others that
their activities are under or may become the subject of an investigation
and could enable the subjects to avoid detection or apprehension, to
influence witnesses improperly, to destroy evidence, or to fabricate
testimony.
Since an exemption is being claimed for subsection (d) of the Act
(Access to Records) the rules required pursuant to subsection (f) (2)
through (5) are inapplicable to these systems of records to the extent
that these systems of records are exempted from subsection (d).
(12)(g). Since an exemption is being claimed for subsections (d)
(Access to Records) and (f) (Agency Rules) this section is inapplicable,
and is exempted for the reasons set forth for those subsections, to the
extent that these systems of records are exempted from subsections (d)
and (f).
(c) The following system of records is exempted pursuant to the
provisions of 5 U.S.C. 552a(k)(2) from subsections (c)(3), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(4)(G, (e)(4)(H, (e)(4)(I) and (f) of
5 U.S.C. 552a:
(1) Tax Division Central Classification Cards, Index Docket Cards, and
Associated Records--Civil Tax Cases (JUSTICE/TAX-002)--Limited Access.
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
(d) The system of records listed under paragraph (c)(1) is exempted
for the reasons set forth below, from the following provisions of 5
U.S.C. 552a:
(1)(c)(3). The release of the disclosure accounting, for disclosures
made pursuant to subsection (b) of the Act, including those permitted
under the routine uses published for this system of records, would
enable the subject of an investigation of an actual or potential civil
tax case to determine whether he or she is the subject of investigation,
to obtain valuable information concerning the nature of that
investigation and the information obtained, and to determine the
identity of witnesses or informants. Such access to investigative
information would, accordingly, present a serious impediment to law
enforcement. In addition, disclosure of the accounting would constitute
notice to the individual of the existence of a record even though such
notice requirement under subsection (f)(1) is specifically exempted for
this system of records.
(2) (d)(1); (d)(2); (d)(3); (d)(4). Access to the records contained in
this system would inform the subject of an actual or potential civil tax
investigation of the existence of that investigation, of the nature and
scope of the information and evidence obtained as to his or her
activities and of the identity of witnesses or informants. Such access
would, accordingly, provide information that could enable the subject to
avoid detection. This result, therefore, would constitute a serious
impediment to effective law enforcement not only because it would
prevent the successful completion of the investigation but also because
it could endanger the physical safety of witnesses or informants, lead
to the improper influencing of witnesses, the destruction of evidence,
or the fabrication of testimony.
(3)(e)(1). The notices for this system of records published in the
Federal Register set forth the basic statutory or related authority for
maintenance of this system. However, in the course of civil tax and
related law enforcement investigations, cases and matters, the Tax
Division will occasionally obtain information concerning actual or
potential violations of law that are not strictly or technically within
its statutory or other authority or may compile information in the
course of an investigation which may not be relevant to a specific case.
In the interests of effective law enforcement, it is necessary to retain
some or all of such information in this system of records since it can
aid in establishing patterns of tax compliance and can provide valuable
leads for Federal and other law enforcement agencies.
(4)(e)(4) (G) and (H). Since an exemption is being claimed for
subsections (f) (Agency Rules) and (d) (Access to Records) of the Act
these subsections are inapplicable to the extent that this system of
records is exempted from subsection (f) and (d).
(5)(e)(4)(I). The categories of sources of the records in this system
have been published in the Federal Register in broad generic terms in
the belief that this is all that subsection (e)(4)(I) of the Act
requires. In the event, however, that this subsection should be
interpreted to require more detail as to the identity of sources of the
records in this system, exemption from this provision is necessary in
order to protect the confidentiality of the sources of civil tax and
related law enforcement information. Such exemption is further necessary
to protect the privacy and physical safety of witnesses and informants.
(6)(f). Procedures for notice to an individual pursuant to subsection
(f)(1) as to existence of records pertaining to the individual dealing
with an actual or potential criminal tax, civil tax, or regulatory
investigation or prosecution must be exempted because such notice to an
individual would be detrimental to the successful conduct and/or
completion of an investigation or case, pending or future. In addition,
mere notice of the fact of an investigation could inform the subject or
others that their activities are under or may become the subject of an
investigation and could enable the subjects to avoid detection, to
influence witnesses improperly, to destroy evidence, or to fabricate
testimony.
Since an exemption is being claimed for subsection (d) of the Act
(Access to Records) the rules required pursuant to subsection (f) (2)
through (5) are inapplicable to this system of records to the extent
that this system of records is exempted from subsection (d).
(e) The following system of records is exempt from 5 U.S.C. 552a
(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4), (G), (e)(4)(H),
(e)(4)(I), (e) (5) and (8), (f), and (g).
(1) Freedom of Information--Privacy Act Request Files (JUSTICE/TAX-
004)
These exemptions apply to the extent that information in this system is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and (k)(2).
(f) Because this system contains Department of Justice civil and
criminal law enforcement, investigatory records, it is exempted for the
reasons set forth from the following provisions of 5 U.S.C. 552a:
(1)(c)(3). The release of the disclosure accounting would present a
serious impediment to law enforcement by permitting the subject of a
investigation of an actual or potential criminal, civil, or regulatory
violation to determine whether he is the subject of investigation, or to
obtain valuable information concerning the nature of that investigation
and the information obtained, or to identify witnesses and informants.
(2)(c)(4). Since an exemption is being claimed for subsection (d) of
the Act (Access to Records), this subsection is inapplicable to the
extent that this system of records is exempted from subsection (d).
(3)(d). Access to records contained in this system would inform the
subject of an actual or potential criminal tax investigation of the
existence of that investigation, of the nature and scope of the
investigation, of the information and evidence obtained as to his or her
activities, and of the identity of witnesses or informants. Such access
would, accordingly, provide information that could enable the subject to
avoid detection, apprehension, and prosecution. This result, therefore,
would constitute a serious impediment to effective law enforcement not
only because it would prevent the successful completion of the
investigation but also because it could endanger the physical safety of
witnesses or informants, lead to the improper influencing of witnesses,
the destruction of evidence, of the fabrication of testimony. Amendment
of the records would interfere with ongoing criminal law enforcement
proceedings and imposes an impossible administrative burden by requiring
criminal investigations to be continuously reinvestigated.
(4)(e)(1). In the course of criminal tax and related law enforcement
investigations, cases, and matters, the Tax Division will occasionally
obtain information concerning actual or potential violations of law that
may not be technically within its statutory or other authority, or it
may compile information in the course of an investigation which may not
be relevant to a specific prosecution. In the interests of effective law
enforcement, it is necessary to retain some or all of such information
since it can aid in establishing patterns of criminal activity and can
provide valuable leads for Federal and other law enforcement agencies.
(5)(e)(2). To collect information to the greatest extent practicable
from the subject individual of a criminal investigation or prosecution
would present a serious impediment to law enforcement because the
subject of the investigation or prosecution would be placed on notice as
to the existence of the investigation and would therefore be able to
avoid detection or apprehension, improperly influence witnesses, destroy
evidence, or fabricate testimony.
(6)(e)(3). To provide individuals supplying information with a form
which includes the information required by subsection (e)(3) would
constitute a serious impediment to law enforcement, i.e., it could
compromise the existence of a confidential investigation or reveal the
identity of witnesses or confidential informants.
(7)(e)(4) (G) and (H). These subsections are inapplicable to the
extent that this system is exempt from the access provisions of
subsection (d) and the rules provisions of subsection (f).
(8)(e)(4)(I). The categories of sources of the records in this system
have been published in the Federal Register in broad generic terms in
the belief that this is all that subsection (e) (4) (I) of the Act
requires. In the event, however, that this subsection should be
interpreted to require more detail as to the identity of sources of the
records in this system, exemption from this provision is necessary to
protect the confidentiality of the sources of criminal tax and related
law enforcement information. Such exemption is further necessary to
protect the privacy and physical safety of witnesses and informants.
(9)(e)(5). In the collection of information for criminal tax
enforcement purposes it is impossible to determine in advance what
information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light. Furthermore, the accuracy of such information can often only be
determined in a court of law. The restrictions of subsection (e)(5)
would inhibit the ability of government attorneys in exercising their
judgement in reporting on information and investigations and impede the
development of criminal tax information and related data necessary for
effective law enforcement.
(10)(e)(8). The individual notice requirements of subsection (e)(8)
could present a serious impediment to law enforcement as this could
interfere with the ability to issue warrants or subpoenas and could
reveal investigative techniques, procedures, or evidence.
(11)(f). This subsection is inapplicable to the extent that this
system is exempt from the access provisions of subsection (d).
(12)(g). Because the records in this system are generally compiled for
law enforcement purposes and are exempt from the access provisions of
subsection (d), subsection (g) is inapplicable.
[Order No. 742-77, 42 FR 40906, Aug. 12, 1977, as amended by Order No.
6-86, 51 FR 15478, Apr. 24, 1986]
Sec. 16.96 Exemption of Federal Bureau of Investigation Systems--
limited access.
(a) The following system of records is exempt from 5 U.S.C.
552a(c)(3), (d), (e)(1), (2), and (3), (e)(4)(G) and (H), (e)(8), (f)
and (g).
(1) Central Records System (CRS) (JUSTICE/FBI-002).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552(j) and (k).
Where compliance would not appear to interfere with or adversely affect
the overall law enforcement process, the applicable exemption may be
waived by the FBI.
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest by not only the FBI, but also by the
recipient agency. This would permit the record subject to take
appropriate measures to impede the investigation, e.g., destroy
evidence, intimidate potential witnesses or flee the area to avoid the
thrust of the investigation.
(2)(i) From subsections (d), (e)(4) (G) and (H), (f) and (g) because
these provisions concern individual access to investigative records,
compliance with which could compromise sensitive information classified
in the interest of national security, interfere with the overall law
enforcement process by revealing a pending sensitive investigation,
possibly identify a confidential source or disclose information which
would constitute an unwarranted invasion of another individual's
personal privacy, reveal a sensitive investigative technique, or
constitute a potential danger to the health or safety to law enforcement
personnel.
(ii) Also, individual access to non-criminal investigative records,
e.g., civil investigations and administrative inquiries, as described in
subsection (k) of the Privacy Act, could also compromise classified
information related to national security, interfere with a pending
investigation or internal inquiry, constitute an unwarranted invasion of
privacy, reveal a confidential source or sensitive investigative
technique, or pose a potential threat to law enforcement personnel. In
addition, disclosure of information collected pursuant to an employment
suitability or similar inquiry could reveal the identity of a source who
provided information under an express promise of confidentiality, or
could compromise the objectivity or fairness of a testing or examination
process.
(iii) In addition, from paragraph (d)(2) of this section, because to
require the FBI to amend information thought to be incorrect, irrelevant
or untimely, because of the nature of the information collected and the
essential length of time it is maintained, would create an impossible
administrative and investigative burden by forcing the agency to
continuously retrograde its investigations attempting to resolve
questions of accuracy, etc.
(3) From subsection (e)(1) because:
(i) It is not possible in all instances to determine relevancy or
necessity of specific information in the early stages of a criminal or
other investigation.
(ii) Relevance and necessity are questions of judgment and timing;
what appears relevant and necessary when collected ultimately may be
deemed unnecessary. It is only after the information is assessed that
its relevancy and necessity in a specific investigative activity can be
established.
(iii) In any investigation the FBI might obtain information concerning
violations of law not under its jurisdiction, but in the interest of
effective law enforcement, dissemination will be made to the agency
charged with enforcing such law.
(iv) In interviewing individuals or obtaining other forms of evidence
during an investigation, information could be obtained, the nature of
which would leave in doubt its relevancy and necessity. Such
information, however, could be relevant to another investigation or to
an investigative activity under the jurisdiction of another agency.
(4) From subsection (e)(2) because the nature of criminal and other
investigative activities is such that vital information about an
individual can only be obtained from other persons who are familiar with
such individual and his/her activities. In such investigations it is not
feasible to rely upon information furnished by the individual concerning
his own activities.
(5) From subsection (e)(3) because disclosure would provide the
subject with substantial information which could impede or compromise
the investigation. The individual could seriously interfere with
undercover investigative activities and could take appropriate steps to
evade the investigation or flee a specific area.
(6) From subsection (e)(8) because the notice requirements of this
provision could seriously interfere with a law enforcement activity by
alerting the subject of a criminal or other investigation of existing
investigative interest.
(c) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e) (5) and
(8), (f), (g) and (m):
(1) Electronic Surveillance (Elsur) Indices (JUSTICE/FBI-006).
These exemptions apply only to the extent that information in the system
is subject to exemption pursuant to 5 U.S.C. 552a(j).
(d) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because the release of accounting
disclosures would place the subject of an investigation on notice that
he is under investigation and provide him with significant information
concerning the nature of the investigation, resulting in a serious
impediment to law enforcement.
(2) From subsections (c)(4), (d), (e)(4) (G) and (H), and (g) because
these provisions concern an individual's access to records which concern
him and such access to records in this system would compromise ongoing
investigations, reveal investigatory techniques and confidential
informants, and invade the privacy of private citizens who provide
information in connection with a particular investigation.
(3) From subsection (e)(1) because these indices must be maintained in
order to provide the information as described in the ``routine uses'' of
this particular system.
(4) From subsections (e) (2) and (3) because compliance is not
feasible given the subject matter of the indices.
(5) From subsection (e)(5) because this provision is not applicable to
the indices in view of the ``routine uses'' of the indices. For example,
it is impossible to predict when it will be necessary to utilize
information in the system and, accordingly it is not possible to
determine when the records are timely.
(6) From subsection (e)(8) because the notice requirement could
present a serious impediment to law enforcement by revealing
investigative techniques, procedures and the existence of confidential
investigations.
(7) From subsection (m) for the reasons stated in subsection (b)(7) of
this section.
(e) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e) (5) and
(8), (f), and (g):
(1) Identification Division Records System (JUSTICE/FBI-009).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j).
(f) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) for the reasons stated in subsection (d)(1)
of this section.
(2) From subsections (c)(4), (d), (e)(4) (G) and (H), (f) and (g)
because these provisions concern an individual's access to records which
concern him. Such access is directed at allowing the subject of a record
to correct inaccuracies in it. Although an alternate system of access
has been provided in 28 CFR 16.30 to 34 and 28 CFR 20.34, the vast
majority of records in this system concern local arrests which it would
be inappropriate for the FBI to undertake to correct.
(3) From subsection (e)(1) because it is impossible to state with any
degree of certainty that all information on these records is relevant to
accomplish a purpose of the FBI, even though acquisition of the records
from state and local law enforcement agencies is based on a statutory
requirement. In view of the number of records in the system it is
impossible to review them for relevancy.
(4) From subsection (e)(2) because the records in the system are
necessarily furnished by criminal justice agencies due to their very
nature.
(5) From subsection (e)(3) because compliance is not feasible due to
the nature of the records.
(6) From subsection (e)(5) because the vast majority of these records
come from local criminal justice agencies and it is administratively
impossible to ensure that the records comply with this provision.
Submitting agencies are, however, urged on a continuing basis to ensure
that their records are accurate and include all dispositions.
(7) From subsection (e)(8) because the FBI has no logical manner to
ascertain whether process has been made public and compliance with this
provision would in any case, provide an impediment to law enforcement by
interfering with the ability to issue warrants or subpoenas and by
revealing investigative techniques, procedures or evidence.
(g) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e)(1), (2) and (3), (e)(4) (G) and (H), (e)(8), (f),
and (g):
(h) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) for the reasons stated in subsection (d)(1)
of this section.
(2) From subsections (c)(4), (d), (e)(4) (G) and (H), and (g) for the
reasons stated in subsection (d)(2) of this section. When records are
properly subject to access by the individual, an alternate means of
access is provided in subsection (i) of this section.
(3) From subsection (e)(1) because information contained in this
system is primarily from state and local records, and it is for the
official use of agencies outside the Federal Government in accordance
with 28 U.S.C. 534.
(4) From subsections (e) (2) and (3) because it is not feasible to
comply with these provisions given the nature of this system.
(5) From subsection (e)(8) for the reasons stated in subsection (d)(6)
of this section.
(i) Access to computerized criminal history records in the National
Crime Information Center is available to the individual who is the
subject of the record pursuant to procedures and requirements specified
in the Notice of Systems of Records compiled by the National Archives
and Records Service and published under the designation:
(j) The following system of records is exempt from 5 U.S.C. 552a
(c)(3), (d), (e)(1), (e)(4) (G) and (H), (f) and (g):
(1) National Center for the Analysis of Violent Crime (NCAVC)
(JUSTICE/FBI-015).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2) and
(k)(2).
(k) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because providing the accounting of
disclosures to the subject could prematurely reveal investigative
interest by the FBI and other law enforcement agencies, thereby
providing the individual an opportunity to impede an active
investigation, destroy or alter evidence, and possibly render harm to
violent crime victims and/or witnesses.
(2) From subsections (d), (e)(4) (G) and (H), and (f) because
disclosure to the subject could interfere with enforcement proceedings
of a criminal justice agency, reveal the identity of a confidential
source, result in an unwarranted invasion of another's privacy, reveal
the details of a sensitive investigative technique, or endanger the life
and safety of law enforcement personnel, potential violent crime
victims, and witnesses. Disclosure also could prevent the future
apprehension of a violent or exceptionally dangerous criminal fugitive
should he or she modify his or her method of operation in order to evade
law enforcement. Also, specifically from subsection (d)(2), which
permits an individual to request amendment of a record, because the
nature of the information in the system is such that an individual
criminal offender would frequently demand amendment of derogatory
information, forcing the FBI to continuously retrograde its criminal
investigations in an attempt to resolve questions of accuracy, etc.
(3) From subsection (g) because the system is exempt from the access
and amendment provisions of subsection (d).
(4) From subsection (e)(1) because it is not always possible to
establish relevance and necessity of the information at the time it is
obtained or developed. Information, the relevance and necessity of which
may not be readily apparent, frequently can prove to be of investigative
value at a later date and time.
(l) The following system of records is exempt from 5 U.S.C. 552a
(c)(3), (c)(4), (d), (e) (1), (2), and (3), (e)(4) (G) and (H), (e)(5),
(e)(8), (f) and (g).
(1) FBI Counterdrug Information Indices System (CIIS) (JUSTICE/FBI--
016)
(2) [Reserved]
(m) These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2).
Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest by not only the FBI, but also by the
recipient agency. This would permit the record subject to take
appropriate measures to impede the investigation, e.g., destroy
evidence, intimidate potential witnesses or flee the area to avoid the
thrust of the investigation.
(2) From subsection (c)(4) to the extent it is not applicable because
an exemption is being claimed from subsection (d).
(3)(i) From subsections (d), (e)(4) (G) and (H) because these
provisions concern individual access to records, compliance with which
could compromise sensitive information, interfere with the overall law
enforcement process by revealing a pending sensitive investigation,
possibly identify a confidential source or disclose information which
would constitute an unwarranted invasion of another individual's
personal privacy, reveal a sensitive investigative technique, or
constitute a potential danger to the health or safety of law enforcement
personnel.
(ii) In addition, from paragraph (d), because to require the FBI to
amend information thought to be incorrect, irrelevant or untimely,
because of the nature of the information collected and the essential
length of time it is maintained, would create an impossible
administrative and investigative burden by forcing the agency to
continuously retrograde its investigations attempting to resolve
questions of accuracy, etc.
(4)(i) From subsection (e)(1) because it is not possible in all
instances to determine relevancy or necessity of specific information in
the early stages of a criminal or other investigation.
(ii) Relevance and necessity are questions of judgment and timing;
what appears relevant and necessary when collected ultimately may be
deemed otherwise. It is only after the information is assessed that its
relevancy and necessity in a specified investigative activity can be
established.
(iii) In any investigation the FBI might obtain information concerning
violations of law not under its jurisdiction, but in the interest of
effective law enforcement, dissemination will be made to the agency
charged with enforcing such law.
(iv) In interviewing individuals or obtaining other forms of evidence
during an investigation, information could be obtained, the nature of
which would leave in doubt its relevancy and necessity. Such
information, however, could be relevant to another investigations or to
an investigative activity under the jurisdiction of another agency.
(5) From subsection (e)(2) because the nature of criminal and other
investigative activities is such that vital information about an
individual often can only be obtained from other persons who are
familiar with such individual and his/her activities. In such
investigations it is not feasible to principally rely upon information
furnished by the individual concerning his own activities.
(6) From subsection (e)(3) because disclosure would provide the
subject with information which could impede or compromise the
investigation. The individual could seriously interfere with undercover
investigative activities and could take appropriate steps to evade the
investigation or flee a specific area.
(7) From subsection (e)(5) because in the collection of information
for law enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light. The restrictions imposed by subsection (e)(5) would restrict the
ability of trained investigators and intelligence analysts to exercise
their judgment in reporting on investigations and impede the development
of criminal intelligence necessary for effective law enforcement.
(8) From subsection (e)(8) because the notice requirements of this
provision could seriously interfere with a law enforcement activity by
alerting the subject of a criminal or other investigation of existing
investigative interest.
(9) From subsection (f) to the extent that this system is exempt from
the provisions of subsection (d).
(10) From subsection (g) to the extent that this system of records is
exempt from the provisions of subsection (d).
(n) The following system of records is exempt from 5 U.S.C. 552a (c)
(3) and (4); (d); (e) (1), (2), and 3; (e)(4) (G) and (H); (e) (5) and
(8); and (g):
(1) National DNA Index System (NDIS) (JUSTICE/FBI-017).
(o) These exemptions apply only to the extent that information in the
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because making available the accounting of
disclosures of records to the subject of the record would prematurely
place the subject on notice of the investigative interest of law
enforcement agencies, provide the subject with significant information
concerning the nature of the investigation, or permit the subject to
take measures to impede the investigation (e.g., destroy or alter
evidence, intimidate potential witnesses, or flee the area to avoid
investigation and prosecution), and result in a serious impediment to
law enforcement.
(2)(i) From subsections (c)(4), (d), (e)(4) (G) and (H), and (g)
because these provisions concern an individual's access to records which
concern him/her and access to records in this system would compromise
ongoing investigations. Such access is directed at allowing the subject
of the record to correct inaccuracies in it. The vast majority of
records in this system are from the DNA records of local and State NDIS
agencies which would be inappropriate and not feasible for the FBI to
undertake to correct. Nevertheless, an alternate method to access and/or
amend records in this system is available to an individual who is the
subject of a record pursuant to procedures and requirements specified in
the Notice of Systems of Records compiled by the National Archives and
Records Administration and published in the Federal Register under the
designation: National DNA Index System (NDIS) (JUSTICE/FBI-017)
(ii) In addition, from paragraph (d)(2) of this section, because to
require the FBI to amend information thought to be incorrect,
irrelevant, or untimely, because of the nature of the information
collected and the essential length of time it is maintained, would
create an impossible administrative and investigative burden by forcing
the agency to continuously retrograde investigations attempting to
resolve questions of accuracy, etc.
(iii) In addition, from subsection (g) to the extent that the system
is exempt from the access and amendment provisions of subsection (d).
(3) From subsection (e)(1) because:
(i) Information in this system is primarily from State and local
records and it is for the official use of agencies outside the Federal
Government.
(ii) It is not possible in all instances to determine the relevancy or
necessity of specific information in the early stages of the criminal
investigative process.
(iii) Relevance and necessity are questions of judgment and timing;
what appears relevant and necessary when collected ultimately may be
deemed unnecessary, and vice versa. It is only after the information is
assessed that its relevancy in a specific investigative activity can be
established.
(iv) Although the investigative process could leave in doubt the
relevancy and necessity of evidence which had been properly obtained,
the same information could be relevant to another investigation or
investigative activity under the jurisdiction of the FBI or another law
enforcement agency.
(4) From subsections (e)(2) and (3) because it is not feasible to
comply with these provisions given the nature of this system. Most of
the records in this system are necessarily furnished by State and local
criminal justice agencies and not by individuals due to the very nature
of the records and the system.
(5) From subsection (e)(5) because the vast majority of these records
come from State and local criminal justice agencies and because it is
administratively impossible for them and the FBI to insure that the
records comply with this provision. Submitting agencies are urged and
make every effort to insure records are accurate and complete; however,
since it is not possible to predict when information in the indexes of
the system (whether submitted by State and local criminal justice
agencies or generated by the FBI) will be matched with other
information, it is not possible to determine when most of them are
relevant or timely.
(6) From subsection (e)(8) because the FBI has no logical manner to
determine whenever process has been made public and compliance with this
provision would provide an impediment to law enforcement by interfering
with ongoing investigations.
(p) The National Instant Criminal Background Check System (NICS),
(JUSTICE/FBI-018), a Privacy Act system of records, is exempt:
(1) Pursuant to 5 U.S.C. 552a(j)(2), from subsections (c) (3) and (4);
(d); (e) (1), (2) and (3); (e)(4) (G) and (H); (e) (5) and (8); and (g);
and
(2) Pursuant to 5 U.S.C. 552a(k) (2) and (3), from subsections (c)(3),
(d), (e)(1), and (e)(4) (G) and (H).
(q) These exemptions apply only to the extent that information in the
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2), (k)(2),
and (k)(3). Exemptions from the particular subsections are justified for
the following reasons:
(1) From subsection (c)(3) because the release of the accounting of
disclosures would place the subject on notice that the subject is or has
been the subject of investigation and result in a serious impediment to
law enforcement.
(2) From subsection (c)(4) to the extent that it is not applicable
since an exemption is claimed from subsection (d).
(3)(i) From subsections (d) and (e)(4) (G) and (H) because these
provisions concern an individual's access to records which concern the
individual and such access to records in the system would compromise
ongoing investigations, reveal investigatory techniques and confidential
informants, invade the privacy of persons who provide information in
connection with a particular investigation, or constitute a potential
danger to the health or safety of law enforcement personnel.
(ii) In addition, from subsection (d)(2) because, to require the FBI
to amend information thought to be not accurate, timely, relevant, and
complete, because of the nature of the information collected and the
essential length of time it is maintained, would create an impossible
administrative burden by forcing the agency to continuously update its
investigations attempting to resolve these issues.
(iii) Although the Attorney General is exempting this system from
subsections (d) and (e)(4) (G) and (H), an alternate method of access
and correction has been provided in 28 CFR, part 25, subpart A.
(4) From subsection (e)(1) because it is impossible to state with any
degree of certainty that all information in these records is relevant to
accomplish a purpose of the FBI, even though acquisition of the records
from state and local law enforcement agencies is based on a statutory
requirement. In view of the number of records in the system, it is
impossible to review them for relevancy.
(5) From subsections (e) (2) and (3) because the purpose of the system
is to verify information about an individual. It would not be realistic
to rely on information provided by the individual. In addition, much of
the information contained in or checked by this system is from Federal,
State, and local criminal history records.
(6) From subsection (e)(5) because it is impossible to predict when it
will be necessary to use the information in the system, and,
accordingly, it is not possible to determine in advance when the records
will be timely. Since most of the records are from State and local or
other Federal agency records, it would be impossible to review all of
them to verify that they are accurate. In addition, an alternate
procedure is being established in 28 CFR, part 25, subpart A, so the
records can be amended if found to be incorrect.
(7) From subsection (e)(8) because the notice requirement could
present a serious impediment to law enforcement by revealing
investigative techniques and confidential investigations.
(8) From subsection (g) to the extent that, pursuant to subsections
(j)(2), (k)(2), and (k)(3), the system is exempted from the other
subsections listed in paragraph (p) of this section.
[Order No. 40-80, 45 FR 5301, Jan. 23, 1980, as amended by Order No. 64-
81, 46 FR 20540, Apr. 6, 1981; Order No. 63-81, 46 FR 22362, Apr. 17,
1981; Order No. 67-81, 46 FR 30495, June 9, 1981; Order No. 15-85, 50 FR
31361, Aug. 2, 1985; Order No. 6-86, 51 FR 15479, Apr. 24, 1986; Order
No. 94-94, 59 FR 47081, Sept. 14, 1994; Order No. 124-96, 61 FR 65179,
Dec. 11, 1996; Order No. 155-98]
Sec. 16.97 Exemption of Bureau of Prisons Systems--limited access.
(a) The following systems of records are exempt from 5 U.S.C. 552a (c)
(3) and (4), (d), (e) (2) and (3), (e)(4) (H), (e)(8), (f) and (g):
(1) Custodial and Security Record System (JUSTICE/BOP-001).
(2) Industrial Inmate Employment Record System (JUSTICE/BOP-003).
(3) Inmate Administrative Remedy Record System (JUSTICE/BOP-004).
(4) Inmate Central Record System (JUSTICE/BOP-005).
(5) Inmate Commissary Accounts Record System (JUSTICE/BOP-006).
(6) Inmate Physical and Mental Health Record System (JUSTICE/BOP-007).
(7) Inmate Safety and Accident Compensation Record System (JUSTICE/
BOP-008).
(8) Federal Tort Claims Act Record System (JUSTICE/BOP-009).
These exemptions apply only to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a(j).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because inmates will not be permitted to
gain access or to contest contents of these record systems under the
provisions of subsection (d) of 5 U.S.C. 552a. Revealing disclosure
accountings can compromise legitimate law enforcement activities and
Bureau of Prisons responsibilities.
(2) From subsection (c)(4) because exemption from provisions of
subsection (d) will make notification of formal disputes inapplicable.
(3) From subsection (d) because exemption from this subsection is
essential to protect internal processes by which Bureau personnel are
able to formulate decisions and policies with regard to federal
prisoners, to prevent disclosure of information to federal inmates that
would jeopardize legitimate correctional interests of security, custody,
or rehabilitation, and to permit receipt of relevant information from
other federal agencies, state and local law enforcement agencies, and
federal and state probation and judicial offices.
(4) From subsection (e)(2) because primary collection of information
directly from federal inmates about criminal sentences or criminal
records is highly impractical and inappropriate.
(5) From subsection (e)(3) because in view of the Bureau of Prisons'
responsibilities, application of this provision to its operations and
collection of information is inappropriate.
(6) From subsection (e)(4)(H) because exemption from provisions of
subsection (d) will make publication of agency procedures under this
subsection inapplicable.
(7) From subsection (e)(8) because the nature of Bureau of Prisons law
enforcement activities renders notice of compliance with compulsory
legal process impractical.
(8) From subsection (f) because exemption from provisions of
subsection (d) will render compliance with provisions of this subsection
inapplicable.
(9) From subsection (g) because exemption from provisions of
subsection (d) will render provisions of this subsection inapplicable.
(c) The following system of records is exempted pursuant to 5 U.S.C.
552a(j)(2) from subsections (c)(3) and (4), (d), (e)(1), (2) and (3),
(e)(5) and (e)(8), and (g). In addition, the following system of records
is exempted pursuant to 5 U.S.C. 552a(k)(2) from subsections (c)(3),
(d), and (e)(1):
Bureau of Prisons Access Control Entry/Exit, (JUSTICE/BOP-010).
(d) These exemptions apply only to the extent that information in
these systems is subject to exemption pursuant to 5 U.S.C. 552a(j)(2) or
(k)(2). Where compliance would not appear to interfere with or adversely
affect the law enforcement process, and/or where it may be appropriate
to permit individuals to contest the accuracy of the information
collected, e.g. public source materials, or those supplied by third
parties, the applicable exemption may be waived, either partially or
totally, by the BOP. Exemptions from the particular subsections are
justified for the following reasons:
(1) From subsection (c)(3) for similar reasons as those enumerated in
paragraph (3).
(2) From subsection (c)(4) to the extent that exemption from
subsection (d) will make notification of corrections or notations of
disputes inapplicable.
(3) From the access provisions of subsection (d) to the extent that
exemption from this subsection may appear to be necessary to prevent
access by record subjects to information that may jeopardize the
legitimate correctional interests of safety, security, and good order of
Bureau of Prisons facilities; to protect the privacy of third parties;
and to protect access to relevant information received from third
parties, such as other Federal State, local and foreign law enforcement
agencies, Federal and State probation and judicial offices, the
disclosure of which may permit a record subject to evade apprehension,
prosecution, etc.; and/or to otherwise protect investigatory or law
enforcement information, whether received from other third parties, or
whether developed internally by the BOP.
(4) From the amendment provisions of subsection (d) because amendment
of the records would interfere with law enforcement operations and
impose an impossible administrative burden. In addition to efforts to
ensure accuracy so as to withstand possible judicial scrutiny, it would
require that law enforcement and investigatory information be
continuously reexamined, even where the information may have been
collected from the record subject. Also, where records are provided by
other Federal criminal justice agencies or other State, local and
foreign jurisdictions, it may be administratively impossible to ensure
compliance with this provision.
(5) From subsection (e)(1) to the extent that the BOP may collect
information that may be relevant to the law enforcement operations of
other agencies. In the interests of overall, effective law enforcement,
such information should be retained and made available to those agencies
with relevant responsibilities.
(6) From subsection (e)(2) because primary collection of information
directly from the record subject is often highly impractical,
inappropriate and could result in inaccurate information.
(7) From subsection (e)(3) because compliance with this subsection may
impede the collection of information that may be valuable to law
enforcement interests.
(8) From subsection (e)(5) because in the collection and maintenance
of information for law enforcement purposes, it is impossible to
determine in advance what information is accurate, relevant, timely and
complete. Data which may seem unrelated, irrelevant or incomplete when
collected may take on added meaning or significance as an investigation
progresses or with the passage of time, and could be relevant to future
law enforcement decisions.
(9) From subsection (e)(8) because the nature of BOP law enforcement
activities renders notice of compliance with compulsory legal process
impractical and could seriously jeopardize institution security and
personal safety and/or impede overall law enforcement efforts.
(10) From subsection (g) to the extent that the system is exempted
from subsection (d).
(e) The following system of records is exempt from 5 U.S.C. 552a (c)
(3) and (4), (d), (e) (2) and (3), (e)(5) and (e)(8), (f) and (g):
Telephone Activity Record System (JUSTICE/BOP-011).
(f) These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2) and/or
(k)(2). Where compliance would not appear to interfere with or adversely
affect the law enforcement process, and/or where it may be appropriate
to permit individuals to contest the accuracy of the information
collected, the applicable exemption may be waived, either partially or
totally, by the BOP. Exemptions from the particular subsections are
justified for the following reasons:
(1) From subsection (c)(3) to the extent that this system of records
is exempt from subsection (d), and for such reasons as those cited for
subsection (d) in paragraph (f)(3) below.
(2) From subsection (c)(4) to the extent that exemption from
subsection (d) makes this exemption inapplicable.
(3) From the access provisions of subsection (d) because exemption
from this subsection is essential to prevent access of information by
record subjects that may invade third party privacy; frustrate the
investigative process; jeopardize the legitimate correctional interests
of safety, security, and good order to prison facilities; or otherwise
compromise, impede, or interfere with BOP or other law enforcement
agency activities.
(4) From the amendment provisions from subsection (d) because
amendment of the records may interfere with law enforcement operations
and would impose an impossible administrative burden by requiring that,
in addition to efforts to ensure accuracy so as to withstand possible
judicial scrutiny, it would require that law enforcement information be
continuously reexamined, even where the information may have been
collected from the record subject. Also, some of these records come from
other Federal criminal justice agencies or State, local and foreign
jurisdictions, or from Federal and State probation and judicial offices,
and it is administratively impossible to ensure that the records comply
with this provision.
(5) From subsection (e)(2) because the nature of criminal and other
investigative activities is such that vital information about an
individual can be obtained from other persons who are familiar with such
individual and his/her activities. In such investigations it is not
feasible to rely solely upon information furnished by the individual
concerning his/her own activities since it may result in inaccurate
information.
(6) From subsection (e)(3) because in view of BOP's operational
responsibilities, application of this provision to the collection of
information is inappropriate. Application of this provision could
provide the subject with substantial information which may in fact
impede the information gathering process or compromise an investigation.
(7) From subsection (e)(5) because in the collection and maintenance
of information for law enforcement purposes, it is impossible to
determine in advance what information is accurate, relevant, timely and
complete. Material which may seem unrelated, irrelevant or incomplete
when collected may take on added meaning or significance at a later date
or as an investigation progresses. Also, some of these records may come
from other Federal, State, local and foreign law enforcement agencies,
and from Federal and State probation and judicial offices and it is
administratively impossible to ensure that the records comply with this
provision. It would also require that law enforcement information be
continuously reexamined even where the information may have been
collected from the record subject.
(8) From subsection (e)(8) because the nature of BOP law enforcement
activities renders impractical the notice of compliance with compulsory
legal process. This requirement could present a serious impediment to
law enforcement such as revealing investigative techniques or the
existence of confidential investigations, jeopardize the security of
third parties, or otherwise compromise law enforcement efforts.
(9)-(10)[Reserved]
(11) From subsections (f) and (g) to the extent that this system is
exempt from the access and amendment provisions of subsection (d).
(g) The following system of records is exempt pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d),
(e) (1), (2), and (3), (e)(5) and (e)(8), and (g) of 5 U.S.C. 552a. In
addition, the following system of records is exempt pursuant to the
provisions of 5 U.S.C. 552a (k)(1) and (k)(2) from subsections (c)(3),
(d), and (e)(1) of 5 U.S.C. 552a:
Bureau of Prisons, Office of Internal Affairs Investigative Records,
JUSTICE/BOP-012
(h) These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(1),
and (k)(2). Where compliance would not appear to interfere with or
adversely affect the law enforcement process, and/or where it may be
appropriate to permit individuals to contest the accuracy of the
information collected, e.g., public source materials, the applicable
exemption may be waived, either partially or totally, by the Office of
Internal Affairs (OIA). Exemptions from the particular subsections are
justified for the following reasons:
(1) From subsection (c)(3) because release of disclosure accounting
could alert the subject of an investigation of an actual or potential
criminal, civil, or regulatory violation to the existence of the
investigation and the fact that they are subjects of the investigation,
and reveal investigative interest by not only the OIA but also by the
recipient agency. Since release of such information to the subjects of
an investigation would provide them with significant information
concerning the nature of the investigation, release could result in
activities that would impede or compromise law enforcement such as: the
destruction of documentary evidence; improper influencing of witnesses;
endangerment of the physical safety of confidential sources, witnesses,
and law enforcement personnel; fabrication of testimony; and flight of
the subject from the area. In addition, release of disclosure accounting
could result in the release of properly classified information which
could compromise the national defense or disrupt foreign policy.
(2) From subsection (c)(4) because this system is exempt from the
access provisions of subsection (d) pursuant to subsections (j) and (k)
of the Privacy Act.
(3) From the access and amendment provisions of subsection (d) because
access to the records contained in this system of records could provide
the subject of an investigation with information concerning law
enforcement activities such as that relating to an actual or potential
criminal, civil or regulatory violation; the existence of an
investigation; the nature and scope of the information and evidence
obtained as to his activities; the identity of confidential sources,
witnesses, and law enforcement personnel; and information that may
enable the subject to avoid detection or apprehension. Such disclosure
would present a serious impediment to effective law enforcement where
they prevent the successful completion of the investigation; endanger
the physical safety of confidential sources, witnesses, and law
enforcement personnel; and/or lead to the improper influencing of
witnesses, the destruction of evidence, or the fabrication of testimony.
In addition, granting access to such information could disclose
security-sensitive or confidential business information or information
that would constitute an unwarranted invasion of the personal privacy of
third parties. Finally, access to the records could result in the
release of properly classified information which could compromise the
national defense or disrupt foreign policy. Amendment of the records
would interfere with ongoing investigations and law enforcement
activities and impose an impossible administrative burden by requiring
investigations to be continuously reinvestigated.
(4) From subsection (e)(1) because the application of this provision
could impair investigations and interfere with the law enforcement
responsibilities of the OIA for the following reasons:
(i) It is not possible to detect relevance or necessity of specific
information in the early stages of a civil, criminal or other law
enforcement investigation, case, or matter, including investigations in
which use is made of properly classified information. Relevance and
necessity are questions of judgment and timing, and it is only after the
information is evaluated that the relevance and necessity of such
information can be established.
(ii) During the course of any investigation, the OIA may obtain
information concerning actual or potential violations of laws other than
those within the scope of its jurisdiction. In the interest of effective
law enforcement, the OIA should retain this information as it may aid in
establishing patterns of criminal activity, and can provide valuable
leads for Federal and other law enforcement agencies.
(iii) In interviewing individuals or obtaining other forms of evidence
during an investigation, information may be supplied to an investigator
which relates to matters incidental to the primary purpose of the
investigation but which may relate also to matters under the
investigative jurisdiction of another agency. Such information cannot
readily be segregated.
(5) From subsection (e)(2) because, in some instances, the application
of this provision would present a serious impediment to law enforcement
for the following reasons:
(i) The subject of an investigation would be placed on notice as to
the existence of an investigation and would therefore be able to avoid
detection or apprehension, to improperly influence witnesses, to destroy
evidence, or to fabricate testimony.
(ii) In certain circumstances the subject of an investigation cannot
be required to provide information to investigators, and information
relating to a subject's illegal acts, violations of rules of conduct, or
any other misconduct must be obtained from other sources.
(iii) In any investigation it is necessary to obtain evidence from a
variety of sources other than the subject of the investigation in order
to verify the evidence necessary for successful litigation.
(6) From subsection (e)(3) because the application of this provision
would provide the subject of an investigation with substantial
information which could impede or compromise the investigation.
Providing such notice to a subject of an investigation could interfere
with an undercover investigation by revealing its existence, and could
endanger the physical safety of confidential sources, witnesses, and
investigators by revealing their identities.
(7) From subsection (e)(5) because the application of this provision
would prevent the collection of any data not shown to be accurate,
relevant, timely, and complete at the moment it is collected. In the
collection of information for law enforcement purposes, it is impossible
to determine in advance what information is accurate, relevant, timely,
and complete. Material which may seem unrelated, irrelevant, or
incomplete when collected may take on added meaning or significance as
an investigation progresses. The restrictions of this provision could
interfere with the preparation of a complete investigation report, and
thereby impede effective law enforcement.
(8) From subsection (e)(8) because the application of this provision
could prematurely reveal an ongoing criminal investigation to the
subject of the investigation, and could reveal investigation techniques,
procedures, and/or evidence.
(9) From subsection (g) to the extent that this system is exempt from
the access and amendment provisions of subsection (d) pursuant to
subsections (j)(2), (k)(1), and (k)(2) of the Privacy Act.
(i) Consistent with the legislative purpose of the Privacy Act of 1974
(Pub. L. 93-579) the BOP has initiated a procedure whereby federal
inmantes in custody may gain access and review their individual prison
files maintained at the institution of incarceration. Access to these
files will be limited only to the extent that the disclosure of records
to the inmate would jeopardize internal decision-making or policy
determinations essential to the effective operation of the Bureau of
Prisons; to the extent that disclosure of the records to the inmate
would jeopardize privacy rights of others, or a legitimate correctional
interest of security, custody, or rehabilitation; and to the extent
information is furnished with a legitimate expectation of
confidentiality. The Bureau of Prisons will continue to provide access
to former inmates under existing regulations as is consistent with the
interests listed above. Under present Bureau of Prisons regulations,
inmates in federal institutions may file administrative complaints on
any subject under the control of the Bureau. This would include
complaints pertaining to information contained in these systems of
records.
[Order No. 645-76, 41 FR 12640, Mar. 26, 1976, as amended by Order No.
6-86, 51 FR 15479, Apr. 24, 1986; Order No. 113-96, 61 FR 6316, Feb. 20,
1996; Order No. 114-96, 61 FR 6317, Feb. 20, 1996; Order No. 115-96, 61
FR 6319, Feb. 20, 1996]
Sec. 16.98 Exemption of the Drug Enforcement Administration (DEA)--
limited access.
(a) The following systems of records are exempt from 5 U.S.C.
552a(c)(3) and (d):
(1) Automated Records and Consummated Orders System/Diversion Analysis
and Detection System (ARCOS/DADS) (Justice/DEA-003)
(2) Controlled Substances Act Registration Records (Justice/DEA-005)
(3) Registration Status/Investigatory Records (Justice/DEA-012)
(b) These exemptions apply only to the extent that information in
these systems is subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because release of the disclosure
accounting would enable the subject of an investigation to gain valuable
information concerning the nature and scope of the investigation and
seriously hamper the regulatory functions of the DEA.
(2) From subsection (d) because access to records contained in these
systems may provide the subject of an investigation information that
could enable him to avoid compliance with the Drug Abuse Prevention and
Control Act of 1970 (Pub. L. 91-513).
(c) Systems of records identified in paragraphs (c)(1) through (c)(6)
below are exempted pursuant to the provisions of 5 U.S.C. 552a(j)(2)
from subsections (c)(3) and (4), (d), (e)(1), (2) and (3), (e)(5),
(e)(8) and (g) of 5 U.S.C. 552a. In addition, systems of records
identified in paragraphs (c)(1), (c)(3), (c)(4), and (c)(5) below are
also exempted pursuant to the provisions of 5 U.S.C. 552a(k)(2) from
subsections (c)(3), (d) and (e)(1). Finally, systems of records
identified in paragraphs (c)(1), (c)(2), (c) (3) and (c)(5) below are
also exempted pursuant to the provisions of 5 U.S.C. 552a(k)(1) from
subsections (c)(3), (d) and (e)(1):
(1) Air Intelligence Program (Justice/DEA-001)
(2) Investigative Reporting and Filing System (Justice/DEA-008)
(3) Planning and Inspection Division Records (Justice/DEA-010)
(4) Operations Files (Justice/DEA-011)
(5) Security Files (Justice/DEA-013)
(6) System to Retrieve Information from Drug Evidence (Stride/
Ballistics) (Justice/DEA-014)
(d) Exemptions apply to the following systems of records only to the
extent that information in the systems is subject to exemption pursuant
to 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2): Air Intelligence Program
(Justice/DEA-001); Planning and Inspection Division Records (Justice/
DEA-010); and Security Files (Justice/DEA-013). Exemptions apply to the
Investigative Reporting and Filing System (Justice/DEA-008) only to the
extent that information in the system is subject to exemption pursuant
to 5 U.S.C. 552a(j) (2) and (k)(1). Exemptions apply to the Operations
Files (Justice/DEA-011) only to the extent that information in the
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and
(k)(2). Exemptions apply to the System to Retrieve Information from Drug
Evidence (STRIDE/Ballistics) (Justice/DEA-014) only to the extent that
information in the system is subject to exemption pursuant to 5 U.S.C.
552a(j)(2). Exemption from the particular subsections are justified for
the following reasons:
(1) From subsection (c)(3) because release of disclosure accounting
would provide to the subjects of an investigation significant
information concerning the nature of the investigation and thus would
present the same impediments to law enforcement as those enumerated in
paragraph (d)(3) regarding exemption from subsection (d).
(2) From subsection (c)(4) to the extent that it is not applicable
because an exemption is being claimed from subsection (d).
(3) From the access provisions of subsection (d) because access to
records in this system of records would present a serious impediment to
law enforcement. Specifically, it could inform the record subject of an
actual or potential criminal, civil, or regulatory investigation of the
existence of that investigation; of the nature and scope of the
information and evidence obtained as to his activities; of the identity
of confidential sources, witnesses, and law enforcement personnel; and
of information that may enable the subject to avoid detection or
apprehension. Similarly, it may alert collateral suspects yet
unprosecuted in closed cases. It could prevent the successful completion
of the investigation; endanger the life, health, or physical safety of
confidential sources, witnesses, and law enforcement personnel, and/or
lead to the improper influencing of witnesses, the destruction of
evidence, or the fabrication of testimony; or it may simply reveal a
sensitive investigative technique. In addition, granting access to such
information could result in the disclosure of confidential/security-
sensitive or other information that would constitute an unwarranted
invasion of the personal privacy of third parties. Finally, access to
the records could result in the release of properly classified
information which would compromise the national defense or disrupt
foreign policy. From the amendment provisions of subsection (d) because
amendment of the records would interfere with ongoing investigations and
law enforcement activities and impose an impossible administrative
burden by requiring investigations to be continuously reinvestigated.
(4) From subsection (e)(1) because the application of this provision
could impair investigations and interfere with the law enforcement
responsibilities of the DEA for the following reasons:
(i) It is not possible to detect relevance or necessity of specific
information in the early stages of a civil, criminal or other law
enforcement investigation, case, or matter, including investigations
during which DEA may obtain properly classified information. Relevance
and necessity are questions of judgment and timing, and it is only after
the information is evaluated that the relevance and necessity of such
information can be established.
(ii) During the DEA's investigative activities DEA may detect the
violation of either drug-related or non-drug related laws. In the
interests of effective law enforcement, it is necessary that DEA retain
all information obtained because it can aid in establishing patterns of
activity and provide valuable leads for Federal and other law
enforcement agencies or otherwise assist such agencies in discharging
their law enforcement responsibilities. Such information may include
properly classified information, the retention of which could be in the
interests of national defense and/or foreign policy.
(5) From subsection (e)(2) because, in some instances, the application
of this provision would present a serious impediment to law enforcement
for the following reasons:
(i) The subject of an investigation would be placed on notice as to
the existence of an investigation and would therefore be able to avoid
detection or apprehension, to improperly influence witnesses, to destroy
evidence, or to fabricate testimony.
(ii) In certain circumstances the subject of an investigation cannot
be required to provide information to investigators, and information
relating to a subject's illegal acts must be obtained from other
sources.
(iii) In any investigation it is necessary to obtain evidence from a
variety of sources other than the subject of the investigation in order
to verify the evidence necessary for successful prosecution.
(6) From subsection (e)(3) because the requirements thereof would
constitute a serious impediment to law enforcement in that they could
compromise the existence of an actual or potential confidential
investigation and/or permit the record subject to speculate on the
identity of a potential confidential source, and endanger the life,
health or physical safety or either actual or potential confidential
informants and witnesses, and of investigators/law enforcement
personnel. In addition, the notification requirement of subsection
(e)(3) could impede collection of that information from the record
subject, making it necessary to collect the information solely from
third party sources and thereby inhibiting law enforcement efforts.
(7) From subsection (e)(5) because in the collection of information
for law enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light and the accuracy of such information can only be determined in a
court of law. The restrictions imposed by subsection (e)(5) would
restrict the ability of trained investigators and intelligence analysts
to exercise their judgment in reporting on investigations and impede the
development of criminal intelligence necessary for effective law
enforcement.
(8) From subsection (e)(8) because the application of this provision
could prematurely reveal an ongoing criminal investigation to the
subject of the investigation, and could reveal investigative techniques,
procedures, or evidence.
(9) From subsection (g) to the extent that this system is exempt from
the access and amendment provisions of subsection (d) pursuant to
subsections (j)(2), (k)(1) and (k)(2) of the Privacy Act.
(e) The following systems of records are exempt from 5 U.S.C. 552a
(d)(1) and (e)(1):
(1) Grants of Confidentiality Files (GCF) (Justice/DEA-017), and
(2) DEA Applicant Investigations (Justice/DEA-018).
(f) These exemptions apply only to the extent that information in
these systems is subject to exception pursuant to 5 U.S.C. 552a(k)(5).
Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (d)(1) because many persons are contacted who,
without an assurance of anonymity, refuse to provide information
concerning an applicant for a grant of confidentiality with DEA. By
permitting access to information which may reveal the identity of the
source of that information--after a promise of confidentiality has been
given--DEA would breach the promised confidentiality. Ultimately, such
breaches would restrict the free flow of information which is vital to a
determination of an applicant's qualifications for a grant.
(2) From subsection (e)(1) because in the collection of information
for investigative and evaluation purposes, it is impossible to determine
in advance what exact information may be of assistance in determining
the qualifications and suitability of a candidate. Information which may
appear irrelevant, when combined with other apparently irrelevant
information, can on occasion provide a composite picture of an applicant
which assists in determining whether a grant of confidentiality is
warranted.
(g) The following system of records is exempted pursuant to the
provisions of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d),
(e) (1), (2) and (3), (e)(5), (e)(8) and (g) of 5 U.S.C. 552a. In
addition, this system of records is exempted pursuant to the provisions
of 5 U.S.C. 552a (k)(1) and (k)(2) from subsections (c)(3), (d), and
(e)(1):
Freedom of Information/Privacy Act Records (Justice/DEA-006)
(h) These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(1),
and (k)(2). Exemptions from the particular subsections are justified for
the following reasons:
(1) From subsection (c)(3) for the reasons given in paragraphs (b)(1)
and (d)(1).
(2) From subsection (c)(4) to the extent that is not applicable
because an exemption is being claimed from subsection (d).
(3) From subsection (d) for the reasons given in paragraphs (b)(2),
(d)(3), and (f)(1).
(4) From subsection (e)(1) for reasons given in paragraphs (d)(4) and
(f)(2).
(5) From subsection (e)(2) for reasons given in paragraph (d)(5).
(6) From subsection (e)(3) for reasons given in paragraph (d)(6).
(7) From subsection (e)(5) for reasons given in paragraph (d)(7).
(8) From subsection (e)(8) for the reasons given in paragraph (d)(8).
(9) From subsection (g) to the extent that this system is exempt from
the access and amendment provisions of subsection (d) pursuant to
subsections (j)(2), (k)(1) and (k)(2) of the Privacy Act.
[Order No. 88-94, 59 FR 29717, June 9, 1994, as amended by Order No.
127-97, 62 FR 2903, Jan. 21, 1997]
Sec. 16.99 Exemption of Immigration and Naturalization Service
System--limited access.
(a) The following systems of records of the Immigration and
Naturalization Service are exempt from 5 U.S.C. 552a (c) (3) and (4),
(d), (e) (1), (2) and (3), (e) (4)(G) and (H), (e) (5) and (8), and (g):
(1) The Immigration and Naturalization Service Alien File (A-File) and
Central Index System (CIS), JUSTICE/INS-001A.
(2) The Immigration and Naturalization Service Index System, JUSTICE/
INS-001 which consists of the following subsystems:
(i) Agency Information Control Record Index.
(ii) Alien Enemy Index.
(iii) Congressional Mail Unit Index.
(iv) Air Detail Office Index.
(v) Anti-smuggling Index (general).
(vi) Anti-smuggling Information Centers Systems for Canadian and
Mexican Borders.
(vii) Border Patrol Sectors General Index System.
(viii) Contact Index.
(ix) Criminal, Narcotic, Racketeer and Subversive Indexes.
(x) Enforcement Correspondence Control Index System.
(xi) Document Vendors and Alterers Index.
(xii) Informant Index.
(xiii) Suspect Third Party Index.
(xiv) Examination Correspondence Control Index.
(xv) Extension Training Enrollee Index.
(xvi) Intelligence Index.
(xvii) Naturalization and Citizenship Indexes.
(xviii) Personnel Investigations Unit Indexes.
(xix) Service Look-Out Subsystem.
(xx) White House and Attorney General Correspondence Control Index.
(xxi) Fraudulent Document Center Index.
(xxii) Emergency Reassignment Index.
(xxiii) Alien Documentation, Identification, and Telecommunication
(ADIT) System.
(3) The Immigration and Naturalization Service Naturional
Automated Immigration Lookout System (NAILS) JUSTICE.INS-032.
The exemptions apply only to the extent that records in the system are
subject to exemptions pursuant to 5 U.S.C. 552a(j)(2) and (k)(2).
The exemptions apply to the extent that information in these
subsystems is subject to exemption pursuant to 5 U.S.C. 552a (j)(2) and
(k)(2).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because the release of the disclosure
accounting for disclosure pursuant to the routine uses published for
these subsystems would permit the subject of a criminal or civil
investigation to obtain valuable information concerning the nature of
that investigation and present a serious impediment to law enforcement.
(2) From subsection (c)(4) since an exemption is being claimed for
subsection (d), this subsection will not be applicable.
(3) From subsection (d) because access to the records contained in
these subsystems would inform the subject of a criminal or civil
investigation of the existence of that investigation, provide the
subject of the investigation with information that might enable him to
avoid detection or apprehension, and present a serious impediment to law
enforcement.
(4) From subsection (e)(1) because in the course of criminal or civil
investigations, the Immigration and Naturalization Service often obtains
information concerning the violation of laws other than those relating
to violations over which INS has investigative jurisdiction. In the
interests of effective law enforcement, it is necessary that INS retain
this information since it can aid in establishing patterns of criminal
activity and provide valuable leads for those law enforcement agencies
that are charged with enforcing other segments of the criminal law.
(5) From subsection (e)(2) because in a criminal or civil
investigation, the requirement that information be collected to the
greatest extent possible from the subject individual would present a
serious impediment to law enforcement in that the subject of the
investigation would be placed on notice of the existence of the
investigation and would therefore be able to avoid detection or
apprehension.
(6) From subsection (e)(3) because the requirement that individuals
supplying information be provided with a form stating the requirements
of subsection (e)(3) would constitute a serious impediment to law
enforcement in that it could compromise the existence of a confidential
investigation, reveal the identity of confidential sources of
information and endanger the life or physical safety of confidential
informants.
(7) From subsections (e)(4) (G) and (H) because these subsystems of
records are exempt from individual access pursuant to subsection (j) of
the Privacy Act of 1974.
(8) From subsection (e)(5) because in the collection of information
for law enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light and the accuracy of such information can only be determined in a
court of law. The restrictions of subsection (e)(5) would restrict the
ability of trained investigators and intelligence analysts to exercise
their judgment in reporting on investigations and impede the development
of criminal intelligence necessary for effective law enforcement.
(9) From subsection (e)(8) because the individual notice requirements
of subsection (e)(8) could present a serious impediment to law
enforcement as this could interfere with the Immigration and
Naturalization Service's ability to issue administrative subpoenas and
could reveal investigative techniques and procedures.
(10) From subsection (g) because these subsystems of records are
compiled for law enforcement purposes and have been exempted from the
access provisions of subsections (d) and (f).
(11) In addition, these systems of records are exempt from subsections
(c)(3), (d), (e)(1), (e)(4) (G) and (H) to the extent they are subject
to exemption pursuant to 5 U.S.C. 552a(k)(1). To permit access to
records classified pursuant to Executive Order would violate the
Executive Order protecting classified information.
(c) The Border Patrol Academy Index Subsystem is exempt from 5 U.S.C.
552a (d) and (f).
This exemption applies only to the extent that information in this
subsystem is subject to exemption pursuant to 5 U.S.C. 552a(k).
(d) Exemptions for the particular subsections are justified for the
following reasons.
(1) From subsection (d) because exemption is claimed only for those
testing and examination materials used to determine an individual's
qualifications for retention and promotion in the Immigration and
Naturalization Service. This is necessary to protect the integrity of
testing materials and to insure fair and uniform examinations.
(2) From subsection (f) because the subsystem of records has been
exempted from the access provisions of subsection (d).
(e) The Orphan Petitioner Index and Files (Justice/INS-007) system of
records is exempt from 5 U.S.C. 552a(d). This exemption applies only to
the extent that information in this system is subject to exemption
pursuant to 5 U.S.C. 552a(k)(1).
(f) Exemption from paragraph (d) of this section is claimed solely
because of the possibility of receipt of classified information during
the course of INS investigation of prospective adoptive parents.
Although it would be rare, prospective adoptive parents may originally
be from foreign countries (for example) and information received on them
from their native countries may require classification under Executive
Order 12356 which safeguards national security information. If such
information is relevant to the INS determination with respect to
adoption, the information would be kept in the file and would be
classified accordingly. Therefore, access could not be granted to the
record subject under the Privacy Act without violating E.O. 12356.
(g) The Office of Internal Audit Investigations Index and Records
(Justice/INS-002) system of records is exempt under the provisions of 5
U.S.C. 552a(j)(2) from subsections (c)(3) and (4); (d); (e)(1), (2),
(3), (5) and (8); and (g), but only to the extent that this system
contains records within the scope of subsection (j)(2), and to the
extent that records in the system are subject to exemption therefrom. In
addition, this system of records is also exempt under the provisions of
5 U.S.C. 552a(k)(2) from subsections (c)(3); (d); and (e)(1), but only
to the extent that this system contains records within the scope of
subsection (k)(2), and to the extent that records in the system are
subject to exemption therefrom.
(h) The following justification apply to the exemptions from
particular subsections:
(1) From subsection (c)(3) because the release of the disclosure
accounting for disclosure could permit the subject of an actual or
potential criminal or civil investigation to obtain valuable information
concerning the existence and nature of the investigation, the fact that
individuals are subjects of the investigation, and present a serious
impediment to law enforcement.
(2) From subsection (c)(4) to the extent that the exemption from
subsection (d) is applicable. Subsection (c)(4) will not be applicable
to the extent that records in the system are properly withholdable under
subsection (d).
(3) From the access and amendment provisions of subsection (d) because
access to the records contained in this system of records could inform
the subject of a criminal or civil investigation of the existence of
that investigation; of the nature and scope of the information and
evidence obtained as to their activities; of the identity of
confidential sources, witnesses and law enforcement personnel; and of
information that may enable the subject to avoid detection or
apprehension. Such disclosures would present a serious impediment to
effective law enforcement where they prevent the successful completion
of the investigation; endanger the physical safety of confidential
sources, witnesses, and law enforcement personnel; and/or lead to the
improper influencing of witnesses, the destruction of evidence, or the
fabrication of testimony. In addition, granting access to these records
could result in a disclosure that would constitute an unwarranted
invasion of the privacy of third parties. Amendment of the records would
interfere with ongoing investigations and law enforcement activities and
impose an impossible administrative burden by requiring investigations
to be continuously reinvestigated.
(4) From subsection (e)(1) because in the course of criminal or civil
investigations, the Immigration and Naturalization Service often obtains
information concerning the violation of laws other than those relating
to violations over which INS has investigative jurisdiction, in the
interests of effective law enforcement, it is necessary that INS retain
this information since it can aid in establishing patterns of criminal
activity and provide valuable leads for those law enforcement agencies
that are charged with enforcing other segments of the criminal law.
(5) From subsection (e)(2) because in a criminal investigation, the
requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law enforcement in that the subject of the investigation would be
placed on notice of the existence of the investigation and would
therefore be able to avoid detection or apprehension.
(6) From subsection (e)(3) because the requirement that individuals
supplying information be provided with a form stating the requirements
of subsection (e)(3) would constitute a serious impediment of criminal
law enforcement in that it could compromise the existence of a
confidential investigation, reveal the identify of confidential sources
of information and endanger the life or physical safety of confidential
informants.
(7) From subsection (e)(5) because in the collection of information
for criminal law enforcement purposes it is impossible to determine in
advance what information is accurate, relevant, timely, and complete.
With the passage of time, seemingly irrelevant or untimely information
may acquire new significance as further investigation brings new details
to light and the accuracy of such information can only be determined in
a court of law. The restrictions of subsection (e)(5) would restrict the
ability of trained investigators and intelligence analysts to exercise
their judgment in reporting on investigations and impede the development
of criminal intelligence necessary for effective law enforcement.
(8) From subsection (e)(8) because the individual notice requirements
of subsection (e)(8) could present a serious impediment to criminal law
enforcement as this could interfere with the Immigration and
Naturalization Service's ability to issue administrative subpoenas and
could reveal investigative techniques and procedures.
(9) From subsection (g) for those portions of this system of records
that were compiled for criminal law enforcement purposes and which are
subject to exemption from the access provisions of subsections (d)
pursuant to subsection (j)(2).
(i) The Law Enforcement Support Center Database (LESC) (Justice/INS-
023) system of records is exempt under the provisions of 5 U.S.C.
552a(j)(2) from subsections (c) (3) and (4); (d); (e) (1), (2), (3),
(5), (8) and (g); but only to the extent that this system contains
records within the scope of subsection (j)(2), and to the extent that
records in the system are subject to exemption therefrom. In addition,
this system of records is also exempt in part under the provisions of 5
U.S.C. 552a(k)(2) from subsections (c)(3); (d); and (e)(1), but only to
the extent that this system contains records within the scope of
subsection (k)(2), and to the extent that records in the system are
subject to exemption therefrom.
(j) The following justifications apply to the exemptions from
particular subsections:
(1) From subsection (c)(3) for reasons stated in paragraph (h)(1) of
this section.
(2) From subsection (c)(4) for reasons stated in paragraph (h)(2) of
this section.
(3) From the access and amendment provisions of subsection (d) because
access to the records contained in this system of records could inform
the subject of a criminal or civil investigation of the existence of
that investigation; of the nature and scope of the information and
evidence obtained as to their activities; and of information that may
enable the subject to avoid detection or apprehension. Such disclosures
would present a serious impediment to effective law enforcement where
they prevent the successful completion of the investigation or other law
enforcement operation such as deportation or exclusion. In addition,
granting access to these records could result in a disclosure that would
constitute an unwarranted invasion of the privacy of third parties.
Amendment of the records would interfere with ongoing investigations and
law enforcement activities and impose an impossible administrative
burden by requiring investigations to be continuously reinvestigated.
(4) From subsection (e)(1) for reasons stated in paragraph (h)(4) of
this section.
(5) From subsection (e)(2) for reasons stated in paragraph (h)(5) of
this section.
(6) From subsection (e)(3) because the requirement that individuals
supplying information be provided with a form stating the requirements
of subsection (e)(3) would constitute a serious impediment to criminal
law enforcement in that it could compromise the existence of a
confidential investigation.
(7) From subsection (e)(5) for reasons stated in paragraph (h)(7) of
this section.
(8) From subsection (e)(8) for reasons stated in paragraph (h)(8) of
this section.
(9) From subsection (g) to the extent that this system is exempt from
the access and amendment provisions of subsection (d).
(k) The Attorney/Representative Complaint/Petition File (JUSTICE/INS-
022) system of records is exempt under the provisions of 5 U.S.C. 552a
(j)(2) from subsections (c)(3) and (4); (d); (e)(1), (2), (3), (5), and
(8); and (g); but only to the extent that this system contains records
within the scope of subsection (j)(2), and to the extent that records in
this system are subject to exemption therefrom. In addition, this system
of records is also exempt in part under the provisions of 5 U.S.C. 552a
(k)(2) from subsections (c)(3); (d); and (e)(1), but only to the extent
that this system contains records within the scope of subsection (k)(2),
and to the extent that records in this system are subject to exemption
therefrom.
(l) The following justifications apply to the exemptions from
particular subsections:
(1) From subsection (c)(3) for reasons stated in paragraph (h)(1) of
this section.
(2) From subsection (c)(4) for reasons stated in paragraph (h)(2) of
this section.
(3) From the access and amendment provisions of subsection (d) for
reasons stated in paragraph (h)(3) of this section.
(4) From subsection (e)(1) for reasons stated in paragraph (h)(4) of
this section.
(5) From subsection (e)(2) for reasons stated in paragraph (h)(5) of
this section.
(6) From subsection (e)(3) for reasons stated in paragraph (h)(6) of
this section.
(7) From subsection (e)(5) for reasons stated in paragraph (h)(7) of
this section.
(8) From subsection (e)(8) for reasons stated in paragraph (h)(8) of
this section.
(9) From subsection (g) to the extent that the system is exempt from
the access and amendment provisions of subsection (d).
(m) The Worksite Enforcement Activity and Records Index (LYNX)
(JUSTICE/INS-025) system of records is exempt under the provisions of 5
U.S.C. 552a (j)(2) from subsections (c)(3) and (4); (d); (e)(1), (2),
(3), (5), and (8); and (g); but only to the extent that this system
contains records within the scope of subsection (j)(2), and to the
extent that records in this system are subject to exemption therefrom.
In addition, this system of records is also exempt in part under the
provisions of 5 U.S.C. 552a(k)(2) from subsections (c)(3); (d); and
(e)(1), but only to the extent that this system contains records within
the scope of subsection (k)(2), and to the extent that records in this
system are subject to exemption therefrom.
(n) The following justifications apply to the exemptions from
particular subsections:
(1) From subsection (c)(3) for reasons started in paragraph (h)(1) of
this section.
(2) From subsection (c)(4) for reasons stated in paragraph (h)(2) of
this section.
(3) From the access and amendment provisions of subsection (d) for
reasons sated in paragraph (h)(3) of this section.
(4) From subsection (e)(1) for reasons stated in paragraph (h)(4) of
this section.
(5) From subsection (e)(2) for reasons stated in paragraph (h)(5) of
this section.
(6) From subsection (e)(3) for reasons stated in paragraph (h)(6) of
this section.
(7) From subsection (e)(5) for reasons stated in paragraph (h)(7) of
this section.
(8) From subsection (e)(8) for reasons stated in paragraph (h)(8) of
this section.
(9) From subsection (g) to the extent that the system is exempt from
the access and amendment provisions of subsection (d).
[Order No. 645-76, 41 FR 12640, Mar. 26, 1976, as amended by Order No.
688-77, 42 FR 10001, Feb. 18, 1977; Order No. 6-84, 49 FR 20812, May 17,
1984; Order No. 25-88, 53 FR 41161, Oct. 20, 1988; Order No. 137-97; 62
FR 34169, Jun. 25, 1997; Order No. 142-97, 62 FR 44083, Aug. 19, 1997;
Order No. 196-2000, 65 FR 21139, Apr. 20, 2000; Order No. 197-2000, Apr.
20, 2000; Order No. 236-2001, 66 FR 35374, Jul. 5, 2001]
Sec. 16.100 Exemption of Office of Justice Programs--limited
access.
(a) The following system of records is exempt from 5 U.S.C. 552a(d):
(1) The Civil Rights Investigative System (JUSTICE/OJP-008).
This exemption applies only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
(b) Exemption from subsection (d) is claimed since access to
information in the Civil Rights Investigative System prior to final
administrative resolution will deter conciliation and compliance
efforts. Consistent with the legislative purpose of the Privacy Act of
1974, decisions to release information from the system will be made on a
case-by-case basis and information will be made available where it does
not compromise the complaint and compliance process. In addition, where
explicit promises of confidentiality must be made to a source during an
investigation, disclosure will be limited to the extent that the
identity of such confidential sources will not be compromised.
[Order No. 645-76, 41 FR 12640, Mar. 26, 1976, as amended by Order No.
5-78, 43 FR 36439, Aug. 17, 1978; Order No. 43-80, 45 FR 6780, Jan. 30,
1980; Order No. 6-86, 51 FR 15479, Apr. 24, 1986]
Sec. 16.101 Exemption of U.S. Marshals Service Systems--limited
access, as indicated.
(a) The following system of records is exempt from 5 U.S.C. 552(a)(c)
(3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e)(5),
(e)(8), (f) and (g):
(1) Warrant Information System (JUSTICE/USM-007).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because the release of disclosure
accounting for disclosure made pursuant to subsection (b) of the Act,
including those permitted under routine uses published for this system
of records would permit a person to determine whether he is the subject
of a criminal investigation, and to determine whether a warrant has been
issued against him, and therefore present a serious impediment to law
enforcement.
(2) From subsection (c)(4) since an exemption is being claimed for
subsection (d) of the Act, this section is inapplicable.
(3) From subsection (d) because access to records would inform a
person for whom a federal warrant has been issued of the nature and
scope of information obtained as to his activities, of the identity of
informants, and afford the person sufficient information to enable the
subject to avoid apprehension. These factors would present a serious
impediment to law enforcement in that they would thwart the warrant
process and endanger lives of informants etc.
(4) From subsections (e)(1) and (e)(5) because the requirements of
these subsections would present a serious impediment to law enforcement
in that it is impossible to determine in advance what information
collected during an investigation will be important or crucial to the
apprehension of Federal fugitives. In the interest of effective law
enforcement, it is appropriate in a thorough investigation to retain
seemingly irrelevant, untimely, or inaccurate information which, with
the passage of time, would aid in establishing patterns of activity and
provide investigative leads toward fugitive apprehension and assist in
law enforcement activities of other agencies.
(5) From subsection (e)(2) because the requirement that information be
collected to the greatest extent practical from the subject individual
would present a serious impediment to law enforcement because the
subject of the investigation or prosecution would be placed on notice as
to the existence of the warrant and would therefore be able to avoid
detection or apprehension.
(6) From subsection (e)(3) because the requirement that individuals
supplying information be provided with a form stating the requirements
of subsection (e)(3) would constitute a serious impediment to law
enforcement in that it could compromise the existence of a confidential
investigation or reveal identity of confidential informants.
(7) From subsections (e)(4) (G) and (H) since an exemption is being
claimed for subsections (f) and (d) of the Act, these subsections are
inapplicable.
(8) From subsection (e)(8) because the individual notice requirement
of this subsection would present a serious impediment to law enforcement
in that it would give persons sufficient warning to avoid warrants,
subpoena, etc.
(9) From subsection (f) because procedures for notice to an individual
pursuant to subsection (f)(1) as to existence of records pertaining to
him dealing with warrants must be exempted because such notice to
individuals would be detrimental to the successful service of a warrant.
Since an exemption is being claimed for subsection (d) of the Act the
rules required pursuant to subsections (f) (2) through (5) are
inapplicable to this system of records.
(10) From subsection (g) since an exemption is being claimed for
subsection (d) and (f) this section is inapplicable and is exempted for
the reasons set forth for these subsections.
(c) The following system of records is exempt from 5 U.S.C. 552a (c)
(3) and (4), (d), (e) (2) and (3), (e)(4) (G) and (H), (e)(8), (f)(2)
and (g):
(1) Witness Security System (JUSTICE/USM-008).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(d) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because the release of the disclosure
accounting for disclosures made pursuant to subsection (b) of the Act
including those permitted under routine uses published for this system
of records would hamper the effective functioning of the Witness
Security Program which by its very nature requires strict
confidentiality vis-a-vis the records.
(2) From subsection (c)(4) for the reason stated in (b)(2) of this
section.
(3) From subsection (d) because the U.S. Marshals Service Witness
Security Program aids efforts of law enforcement officials to prevent,
control or reduce crime. Access to records would present a serious
impediment to effective law enforcement through revelation of
confidential sources and through disclosure of operating procedures of
the program, and through increased exposure of the program to the
public.
(4) From subsection (e)(2) because in the Witness Security Program the
requirement that information be collected to the greatest extent
possible from the subject individual would constitute an impediment to
the program, which is sometimes dependent on sources other than the
subject witness for verification of information pertaining to the
witness.
(5) From subsection (e)(3) for the reason stated in (b)(6) of this
section.
(6) From subsection (e)(4) (G) and (H) for the reason stated in (b)(7)
of this section.
(7) From subsection (e)(8) for the reason stated in (b)(8) of this
section.
(8) From subsection (f)(2) since an exemption is being claimed for
subsection (d) of the Act the rules required pursuant to subsection (f)
(2) through (5) are inapplicable to this system of records.
(9) From subsection (g) for the reason stated in (b)(10) of this
section.
(e) The following system of records is exempt from 5 U.S.C. 552a (c)
(3) and (4), (d), (e) (2) and (3), (e)(4) (G) and (H), (f) and (g) and
may be additionally exempt from subsection (e)(8):
(1) Internal Investigations System (JUSTICE/USM-002)--Limited access.
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(k)(5) or
(j)(2).
(f) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) where the release of the disclosure
accounting for disclosures made pursuant to subsection (b) of the Act
would reveal a source who furnished information to the Government in
confidence.
(2) From subsection (c)(4) for the reason stated in (b)(2) of this
section.
(3) From subsection (d) because access to information in this system
which was obtained from a confidential source would impede the effective
investigation into employee conduct for purposes of determining
suitability, eligibility, or qualifications for Federal employment in
that it would inhibit furnishing of information by sources which desire
to remain confidential.
(4) From subsection (e)(2) because the requirement that information be
collected to the greatest extent practicable from the subject individual
would present a serious inpediment to law enforcement because the
subject of the investigation or prosecution would be placed on notice as
to the existence of the investigation and would therefore be able to
compromise the investigation and avoid detection or apprehension.
(5) From subsection (e)(3) for the reason stated in (b)(6) of this
section.
(6) From subsections (e)(4) (G) and (H) for the reason stated in
(b)(7) of this section.
(7) From subsection (e)(8) because the individual notice requirement
of this subsection would present a serious impediment to law enforcement
in that the subject of the investigation would be alerted as to the
existence of the investigation and therefore be able to compromise the
investigation and avoid detection, subpoena, etc.
(8) From subsection (f) because procedures for notice to an individual
pursuant to subsection (f)(1) as to the existence of records dealing
with investigations of criminal or civil law violations would enable the
individual to compromise the investigation and evade detection or
apprehension. Since an exemption is being claimed for subsection (d) of
the Act, the rules required pursuant to subsections (f)(2) through
(f)(5) are not applicable to this system.
(9) From subsection (g) for the reason stated in (b)(10) of this
section.
(g) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e)(1), (2) and (3), (e)(4) (G) and (H), (e)(5),
(e)(8), (f) and (g):
(1) U.S. Marshals Service Threat Analysis Information System (JUSTICE/
USM-009).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(h) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because to release the disclosure
accounting would permit a person to determine whether he or she has been
identified as a specific threat to USMS protectees and to determine the
need for countermeasures to USMS protective activities and thereby
present a serious impediment to law enforcement.
(2) From subsection (c)(4) because it is inapplicable since an
exemption is being claimed for subsection (d).
(3) From subsection (d) because to permit access to records would
inform a person of the nature and scope of information obtained as to
his or her threat-related activities and of the identity of confidential
sources, and afford the person sufficient information to develop
countermeasures to thwart protective arrangements and endanger lives of
USMS protectees, informants, etc. To permit amendment of the records
would interfere with ongoing criminal law enforcement and impose an
impossible administrative burden requiring criminal investigations to be
continuously reinvestigated.
(4) From subsections (e) (1) and (5) because the collection of
investigatory information used to assess the existence, extent and
likelihood of a threat situation necessarily includes material from
which it is impossible to identify and segregate information which may
not be important to the conduct of a thorough assessment. It is often
impossible to determine in advance if all information collected is
accurate, relevent, timely and complete but, in the interests of
developing effective protective measures, it is necessary that the U.S.
Marshals Service retain this information in order to establish patterns
of activity to aid in accurately assessing threat situations. The
restrictions of subsections (e) (1) and (5) would impede the protective
responsibilities of the Service and could result in death or serious
injury to Marshals Service protectees.
(5) From subsection (e)(2) because to collect information from the
subject individual would serve notice that he or she is identified as a
specific threat to USMS protectees and would enable the subject
individual to develop countermeasures to protective activities and
thereby present a serious impediment to law enforcement.
(6) From subsection (e)(3) because to inform individuals as required
by this subsection would enable the subject individual to develop
countermeasures to USMS protective arrangements or identify confidential
sources and thereby present a serious impediment to law enforcement.
(7) From subsections (e)(4) (G) and (H) because they are inapplicable
since an exemption is being claimed for subsections (d) and (f) of the
Act.
(8) From subsection (e)(8) because to serve notice would give persons
sufficient warning to develop countermeasures to protective arrangements
and thereby present a serious impediment to law enforcement through
compromise of protective procedures, etc.
(9) From subsection (f) because this system of records is exempt from
the provisions of subsection (d).
(10) From subsection (g) because it is inapplicable since an exemption
is being claimed for subsections (d) and (f).
(i) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (d):
(1) Judicial Facility Security Index System (JUSTICE/USM-010)
These exemptions apply only to the extent that information in this
system is exempt pursuant to 5 U.S.C. 552a(k)(5).
(j) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) only to the extent that release of the
disclosure accounting would reveal the identity of a confidential
source.
(2) From subsection (d) only to the extent that access to information
would reveal the identity of a confidential source.
(k) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e)(1), (2) and (3), (e)(4) (G) and (H), (e)(5),
(e)(8), (f) and (g):
(1) U.S. Marshals Service Freedom of Information/Privacy Act (FOIA/PA)
Files (JUSTICE/USM-012)
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(2)
and (k)(5).
(l) Because this system contains Department of Justice civil and
criminal law enforcement, investigatory records, exemptions from the
particular subsections are justified for the following reasons:
(1) From subsection (c)(3) because to release the disclosure
accounting would permit the subject of an investigation to obtain
valuable information concerning the existence and nature of the
investigation and present a serious impediment to law enforcement.
(2) From subsection (c)(4) because that portion of this system which
consists of investigatory records compiled for law enforcement purposes
is being exempted from the provisions of subsection (d), rendering this
provision not applicable.
(3) From subsection (d) because to permit access to investigatory
records would reveal the identity of confidential sources and impede
ongoing investigative or law enforcement activities by the premature
disclosure of information related to those efforts. To permit amendment
of the records would interfere with ongoing criminal law enforcement and
impose an impossible administrative burden by requiring criminal
investigations to be continuously reinvestigated.
(4) From subsections (e) (1) and (5) because it is often impossible to
determine in advance if investigatory records contained in this system
are accurate, relevant, timely and complete but, in the interests of
effective law enforcement, it is necessary to retain this information to
aid in establishing patterns of activity and provide leads in criminal
investigations.
(5) From subsection (e)(2) because to collect information from the
subject individual would serve notice that he or she is the subject of
criminal investigative or law enforcement activity and thereby present a
serious impediment to law enforcement.
(6) From subsection (e)(3) because to inform individuals as required
by this subsection would enable the subject individual to identify
confidential sources, reveal the existence of an investigation, and
compromise law enforcement efforts.
(7) From subsections (e)(4) (G) and (H) because they are inapplicable
since an exemption is being claimed for subsections (d) and (f) for
investigatory records contained in this system.
(8) From subsection (e)(8) because to serve notice would give persons
sufficient warning to evade law enforcement efforts.
(9) From subsection (f) because investigatory records contained in
this system are exempt from the provisions of subsection (d).
(10) From subsection (g) because it is inapplicable since an exemption
is being claimed for subsections (d) and (f).
(m) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e) (2) and (3), (e)(4) (G) and (H), (e)(8), (f) and
(g):
(1) U.S. Marshals Service Administrative Proceedings, Claims and Civil
Litigation Files (JUSTICE/USM-013).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2) or
(k)(5).
(n) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because to release the disclosure
accounting for disclosures pursuant to the routine uses published for
this system would permit the subject of a criminal or civil case or
matter under investigation, or a case or matter in litigation, or under
regulatory or administrative review or action, to obtain valuable
information concerning the nature of that investigation, case or matter,
and present a serious impediment to law enforcement or civil legal
activities, or reveal a confidential source.
(2) From subsection (c)(4) because the exemption claimed for
subsection (d) will make this section inapplicable.
(3) From subsection (d) because to permit access to records contained
in this system would provide information concerning litigation strategy,
or case development, and/or reveal the nature of the criminal or civil
case or matter under investigation or administrative review, or in
litigation, and present a serious impediment to law enforcement or civil
legal activities, or reveal a confidential source.
(4) From subsection (e)(2) because effective legal representation,
defense, or claim adjudication necessitates collecting information from
all individuals having knowledge of the criminal or civil case or
matter. To collect information primarily from the subject individual
would present a serious impediment to law enforcement or civil legal
activities.
(5) From subsection (e)(3) because to inform the individuals as
required by this subsection would permit the subject of a criminal or
civil matter under investigation or administrative review to compromise
that investigation or administrative review and thereby impede law
enforcement efforts or civil legal activities.
(6) From subsections (e)(4) (G) and (H) because these provisions are
inapplicable since this system is exempt from subsections (d) and (f) of
the Act.
(7) From subsection (e)(8) because to serve notice would give persons
sufficient warning to compromise a criminal or civil investigation or
administrative review and thereby impede law enforcement of civil legal
activities.
(8) From subsection (f) because this system of records is exempt from
the provisions of subsection (d).
(9) From subsection (g) because it is inapplicable since an exemption
is claimed for subsections (d) and (f).
(o) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e) (1), (2), (5) and (g):
(1) U.S. Marshals Service Prisoner Transportation System (JUSTICE/USM-
003).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(p) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) where the release of the disclosure
accounting for disclosures made pursuant to subsection (b) of the Act
would reveal a source who furnished information to the Government in
confidence.
(2) From subsection (c)(4) to the extent that the system is exempt
from subsection (d).
(3) From subsection (d) because access to records would reveal the
names and other information pertaining to prisoners, including sensitive
security information such as the identities and locations of
confidential sources, e.g., informants and protected witnesses; and
disclose access codes, data entry codes and message routing symbols used
in law enforcement communications systems to schedule and effect
prisoner movements. Thus, such a compromise of law enforcement
communications systems would subject law enforcement personnel and other
prisoners to harassment and possible danger, and present a serious
threat to law enforcement activities. To permit amendment of the records
would interfere with ongoing criminal law enforcement and impose an
impossible administrative burden by requiring that information affecting
the prisoner's security classification be continuously reinvestigated
when contested by the prisoner, or by anyone on his behalf.
(4) From subsections (e) (1) and (5) because the security
classification of prisoners is based upon information collected during
official criminal investigations; and, in the interest of ensuring safe
and secure prisoner movements it may be necessary to retain information
the relevance, necessity, accuracy, timeliness, and completeness of
which cannot be readily established, but which may subsequently prove
useful in establishing patterns of criminal activity or avoidance, and
thus be essential to assigning an appropriate security classification to
the prisoner. The restrictions of subsection (e) (1) and (5) would
impede the information collection responsibilities of the USMS, and the
lack of all available information could result in death or serious
injury to USMS and other law enforcement personnel, prisoners in
custody, and members of the public.
(5) From subsection (e)(2) because the requirement to collect
information from the subject individual would impede the information
collection responsibilities of the USMS in that the USMS is often
dependent upon sources other than the subject individual for
verification of information pertaining to security risks posed by the
individual prisoner.
(6) From subsection (g) to the extent that the system is exempt from
subsection (d).
(q) The following system of records is exempt from 5 U.S.C. 552a(c)(3)
and (4), (d), (e)(1), (2), (3), (e)(5) and (e)(8) and (g):
(1) U.S. Marshals Service Prisoner Processing and Population
Management System (JUSTICE/USM-005).
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2).
(r) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because to release the disclosure
accounting would permit the subject of a criminal proceeding to
determine the extent or nature of law enforcement authorities' knowledge
regarding his/her alleged misconduct or criminal activities. The
disclosure of such information could alert the subject to devise ways in
which to conceal his/her activities and/or prevent law enforcement from
learning additional information about his/her activities, or otherwise
inhibit law enforcement efforts. In addition, where the individual is
the subject of an ongoing or potential inquiry/investigation, such
release could reveal the nature thereof prematurely, and may also enable
the subject to determine the identity of witnesses and informants. Such
disclosure could compromise the ongoing or potential inquiry/
investigation, endanger the lives of witnesses and informants, or
otherwise impede or thwart law enforcement efforts.
(2) From subsection (c)(4) to the extent that the system is exempt
from subsection (d).
(3) From subsection (d) because to permit unlimited access would
permit the subject of a criminal proceeding to determine the extent or
nature of law enforcement authorities' knowledge regarding his/her
alleged misconduct or criminal activities. The disclosure of such
information could alert the subject to devise ways in which to conceal
his/her activities and/or prevent law enforcement from learning
additional information about his/her activities, or otherwise inhibit
law enforcement efforts. Disclosure would also allow the subject to
obtain sensitive information concerning the existence and nature of
security measures and jeopardize the safe and secure transfer of the
prisoner, the safety and security of other prisoners, informants and
witnesses, law enforcement personnel, and the public. In addition,
disclosure may enable the subject to learn prematurely of an ongoing or
potential inquiry/investigation, and may also permit him/her to
determine the identities of confidential sources, informants, or
protected witnesses. Such disclosure could compromise the ongoing or
potential inquiry/investigation, endanger the lives of witnesses and
informants, or otherwise impede or thwart law enforcement efforts.
Disclosure may also constitute an unwarranted invasion of the personal
privacy of third parties. Further, disclosure would reveal access codes,
data entry codes and message routing symbols used in law enforcement
communications systems. Access to such codes and symbols would permit
the subject to impede the flow of law enforcement communications and
compromise the integrity of law enforcement information, and thus
present a serious threat to law enforcement activities. To permit
amendment of the records would expose security matters, and would impose
an impossible administrative burden by requiring that security
precautions, and information pertaining thereto, be continuously
reevaluated if contested by the prisoner, or by anyone on his or her
behalf. Similarly, to permit amendment could interfere with ongoing or
potential inquiries/investigations by requiring that such inquiries/
investigations be continuously reinvestigated, or that information
collected (the relevance and accuracy of which cannot readily be
determined) be subjected to continuous change.
(4) From subsections (e)(1) and (5) because the system may contain
investigatory information or information which is derived from
information collected during official criminal investigations. In the
interest of effective law enforcement and litigation, of securing the
prisoner and of protecting the public, it may be necessary to retain
information the relevance, necessity, accuracy, timeliness and
completeness of which cannot be readily established. Such information
may nevertheless provide investigative leads to other Federal or law
enforcement agencies, or prove necessary to establish patterns of
criminal activity or behavior, and/or prove essential to the safe and
secure detention (and movement) of prisoners. Further, the provisions of
(e)(1) and (e)(5) would restrict the ability of the USMS in exercising
its judgment in reporting information during investigations or during
the development of appropriate security measures, and thus present a
serious impediment to law enforcement efforts.
(5) From subsection (e)(2) because the requirement to collect
information from the subject individual would impede the information
collection responsibilities of the USMS which is often dependent upon
sources other than the subject individual for verification of
information pertaining to security risks posed by the individual
prisoner, to alleged misconduct or criminal activity of the prisoner, or
to any matter affecting the safekeeping and disposition of the
individual prisoner.
(6) From subsection (e)(3) because to inform individuals as required
by this subsection could impede the information gathering process,
reveal the existence of an ongoing or potential inquiry/investigation or
security procedure, and compromise law enforcement efforts.
(7) From subsection (e)(8) because to serve notice would give persons
sufficient warning to compromise an ongoing or potential inquiry/
investigation and thereby evade and impede law enforcement and security
efforts.
(8) From subsection (g) to the extent that the system is exempt from
subsection (d).
(s) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e) (1), (2), (3), (e) (5) and (e) (8) and (g):
Joint Automated Booking Stations, Justice/USM-014
(t) These exemptions apply only to the extent that information in the
system is subject to exemption pursuant to 5 U.S.C. 552a(j)(2). Where
compliance would not interfere with or adversely affect the law
enforcement process, the USMS may waive the exemptions, either partially
or totally. Exemption from the particular subsections are justified for
the following reasons:
(1) From subsections (c)(3) and (d) to the extent that access to
records in this system of records may impede or interfere with law
enforcement efforts, result in the disclosure of information that would
constitute and unwarranted invasion of the personal privacy of
collateral record subjects or other third parties, and/or jeopardize the
health and/or safety of third parties.
(2) Where access to certain records may be appropriate, exemption from
the amendment provisions of subsection (d)(2) in necessary to the extent
that the necessary and appropriate justification, together with proof of
record inaccuracy, is not provided, and/or to the extent that numerous,
frivolous requests to amend could impose an impossible administrative
burden by requiring agencies to continuously review booking and arrest
data, much of which is collected from the arrestee during the arrest.
(3) From subsection (e)(1) to the extent that it is necessary to
retain all information in order not to impede, compromise, or interfere
with law enforcement efforts, e.g., where the significance of the
information may not be readily determined and/or where such information
may provide leads or assistance to Federal and other law enforcement
agencies in discharging their law enforcement responsibilities.
(4) From subsection (e)(2) because, in some instances, the application
of this provision would present a serious impediment to law enforcement
since it may be necessary to obtain and verify information from a
variety of sources other than the record subject to ensure safekeeping,
security, and effective law enforcement. For example, it may be
necessary that medical and psychiatric personnel provide information
regarding the subject's behavior, physical health, or mental stability,
etc. To ensure proper care while in custody, or it may be necessary to
obtain information from a case agent or the court to ensure proper
disposition of the subject individual.
(5) From subsection (e)(3) because the requirement that agencies
inform each individual whom it asks to supply information of such
information as is required by subsection (e)(3) may, in some cases,
impede the information gathering process or otherwise interfere with or
compromise law enforcement efforts, e.g., the subject may deliberately
withhold information, or give erroneous information.
(6) From subsection (e)(5) because in the collection of information
for law enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance and the accuracy of such information can only
be determined in a court of law. The restrictions imposed by subsection
(e)(5) would restrict the ability to collect information for law
enforcement purposes and may prevent the eventual development of the
necessary criminal intelligence or otherwise impede effective law
enforcement.
(7) From subsection (e)(8) to the extent that such notice may impede,
interfere with, or otherwise compromise law enforcement and security
efforts.
(8) From subsection (g) to the extent that this system is exempt from
the access and amendment provisions of subsection (d).
(u) Consistent with the legislative purpose of the Privacy Act of
1974, the United States Marshals Service will grant access to nonexempt
material in records which are maintained by the Service. Disclosure will
be governed by the Department's Privacy Regulations, but will be limited
to the extent that the identity of confidential sources will not be
compromised; subjects of an investigation of an actual or potential
criminal, civil or regulatory violation will not be alerted to the
investigation; the physical safety of witnesses, informants and law
enforcement personnel will not be endangered; the privacy of third
parties will not be violated; and that the disclosure would not
otherwise impede effective law enforcement. Whenever possible,
information of the above nature will be deleted from the requested
documents and the balance made available. The controlling principle
behind this limited access is to allow disclosures except those
indicated above. The decisions to release information from these systems
will be made on a case-by-case basis.
[Order No. 645-76, 41 FR 12640, Mar. 26, 1976, as amended by Order No.
8-83, 48 FR 19024, Apr. 27, 1983; Order No. 10-86, 51 FR 20275, June 4,
1986; Order No. 11-86, 51 FR 20277, June 4, 1986; Order No. 61-92, 57 FR
3284, Jan. 29, 1992; Order No. 66-92, 57 FR 20654, May 14, 1992; Order
No. 105-95, 60 FR 30467, June 9, 1995]
Sec. 16.102 Exemption of Drug Enforcement Administration and
Immigration and Naturalization Service Joint System of Records.
(a) The following system of records is exempted pursuant to provisions
of 5 U.S.C. 552a(j)(2) from subsections (c) (3) and (4), (d), (e) (1),
(2) and (3), (e)(4) (G), (H), and (I), (e)(5) and (8), (f), (g), and (h)
of 5 U.S.C. 552a; in addition the following system of records is
exempted pursuant to the provisions of 5 U.S.C. 552 (k)(1) and (k)(2)
from subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f)
of 5 U.S.C. 552a.
(1) Automated Intelligence Record System (Pathfinder), JUSTICE/DEA-
INS-111.
These exemptions apply to the extent that information in those systems
is subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(1) and
(k)(2).
(b) The system of records listed under paragraph (a) of this section
is exempted, for the reasons set forth from the following provisions of
5 U.S.C. 552a:
(1)(c)(3). The release of the disclosure accounting for disclosures
made pursuant to subsection (b) of the Act, including those permitted
under the routine uses published for these systems of records, would
permit the subject of an investigation of an actual or potential
criminal, civil, or regulatory violation to determine whether he is the
subject of investigation, or to obtain valuable information concerning
the nature of that investigation, and the information obtained, or the
identity of witnesses and informants and would therefore present a
serious impediment to law enforcement. In addition, disclosure of the
accounting would amount to notice to the individual of the existence of
a record; such notice requirement under subsection (f)(1) is
specifically exempted for these systems of records.
(2)(c)(4). Since an exemption is being claimed for subsection (d) of
the Act (Access to Records) this subsection is inapplicable to the
extent that these systems of records are exempted from subsection (d).
(3)(d). Access to the records contained in these systems would inform
the subject of an investigation of an actual or potential criminal,
civil, or regulatory violation of the existence of that investigation,
or the nature and scope of the information and evidence obtained as to
his activities, of the identity of witnesses and informants, or would
provide information that could enable the subject to avoid detection or
apprehension. These factors would present a serious impediment to
effective law enforcement because they could prevent the successful
completion of the investigation, endanger the physical safety of
witnesses or informants, and lead to the improper influencing of
witnesses, the destruction of evidence, or the fabrication of testimony.
(4)(e)(1). The notices of these systems of records published in the
Federal Register set forth the basic statutory or related authority for
maintenance of this system. However, in the course of criminal or other
law enforcement investigations, cases, and matters, the Immigration and
Naturalization Service or the Drug Enforcement Administration will
occasionally obtain information concerning actual or potential
violations of law that are not strictly within its statutory or other
authority or may compile information in the course of an investigation
which may not be relevant to a specific prosecution. In the interests of
effective law enforcement, it is necessary to retain such information in
these systems of records since it can aid in establishing patterns of
criminal activity and can provide valuable leads for federal and other
law enforcement agencies.
(5)(e)(2). In a criminal investigation or prosecution, the requirement
that information be collected to the greatest extent practicable from
the subject individual would present a serious impediment to law
enforcement because the subject of the investigation or prosecution
would be placed on notice as to the existence of the investigation and
would therefore be able to avoid detection or apprehension, to influence
witnesses improperly, to destroy evidence, or to fabricate testimony.
(6)(e)(3). The requirement that individuals supplying information be
provided with a form stating the requirements of subsection (e)(3) would
constitute a serious impediment to law enforcement in that it could
compromise the existence of a confidential investigation or reveal the
identity of witnesses or confidential informants.
(7)(e)(4) (G) and (H). Since an exemption is being claimed for
subsections (f) (Agency Rules) and (d) (Access to Records) of the Act
these subsections are inapplicable to the extent that these systems of
records are exempted from subsections (f) and (d).
(8)(e)(4)(I). The categories of sources of the records in these
systems have been published in the Federal Register in broad generic
terms in the belief that this is all that subsection (e)(4)(I) of the
Act requires. In the event, however, that this subsection should be
interpreted to require more detail as to the identity of sources of the
records in these systems, exemption from this provision is necessary in
order to protect the confidentiality of the sources of criminal and
other law enforcement information. Such exemption is further necessary
to protect the privacy and physical safety of witnesses and informants.
(9)(e)(5). In the collection of information for criminal law
enforcement purposes it is impossible to determine in advance what
information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light and the accuracy of such information can often only be determined
in a court of law. The restrictions of subsection (e)(5) would restrict
the ability of trained investigators, intelligence analysts, and
government attorneys in exercising their judgment in reporting on
information and investigations and impede the development of criminal or
other intelligence necessary for effective law enforcement.
(10)(e)(8). The individual notice requirements of subsection (e)(8)
could present a serious impediment to law enforcement as this could
interfere with the ability to issue warrants or subpoenas and could
reveal investigative techniques, procedures, or evidence.
(11)(f). Procedures for notice to an individual pursuant to subsection
(f)(1) as to the existence of records pertaining to him dealing with an
actual or potential criminal, civil, or regulatory investigation or
prosecution must be exempted because such notice to an individual would
be detrimental to the successful conduct and/or completion of an
investigation or prosecution pending or future. In addition, mere notice
of the fact of an investigation could inform the subject or others that
their activities are under or may become the subject of an investigation
and could enable the subjects to avoid detection or apprehension, to
influence witnesses improperly, to destroy evidence, or to fabricate
testimony.
Since an exemption is being claimed for subsection (d) of the Act
(Access to Records) the rules required pursuant to subsections (f) (2)
through (5) are inapplicable to these systems of records to the extent
that these systems of records are exempted from subsection (d).
(12)(g). Since an exemption is being claimed for subsections (d)
(Access to Records) and (f) (Agency Rules) this section is inapplicable,
and is exempted for the reasons set forth for those subsections, to the
extent that these systems of records are exempted from subsections (d)
and (f).
(13)(h). Since an exemption is being claimed for subsection (d)
(Access to Records) and (f) (Agency Rules) this section is inapplicable,
and is exempted for the reasons set forth for those subsections, to the
extent that these systems of records are exempted from subsections (d)
and (f).
(14) In addition, exemption is claimed for these systems of records
from compliance with the following provisions of the Privacy Act of 1974
(5 U.S.C. 552a) pursuant to the provisions of 5 U.S.C. 552a(k)(1):
subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) to
the extent that the records contained in these systems are specifically
authorized to be kept secret in the interests of national defense and
foreign policy.
[Order No. 742-77, 42 FR 40907, Aug. 12, 1977]
Sec. 16.103 Exemption of the INTERPOL-United States National Central
Bureau (INTERPOL-USNCB) System.
(a) The following system of records is exempt from 5 U.S.C. 552a(c)
(3) and (4), (d), (e) (1), (2), and (3), (e)(4) (G) and (H), (e)(5) and
(8), (f) and (g):
(1) The INTERPOL-United States National Central Bureau (INTERPOL-
USNCB) (Department of Justice) INTERPOL-USNCB Records System (JUSTICE/
INTERPOL-001).
This exemption applies only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(2),
and (k)(5).
(b) Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because the release of accounting
disclosures would place the subject of an investigation on notice that
he is under investigation and provide him with significant information
concerning the nature of the investigation, thus resulting in a serious
impediment to law enforcement.
(2) From subsections (c)(4), (d), (e)(4) (G), and (H), (f) and (g)
because these provisions concern individual access to records and such
access might compromise ongoing investigations reveal investigatory
techniques and confidential informants, and invade the privacy of
private citizens who provide information in connection with a particular
investigation.
(3) From subsection (e)(1) because information received in the course
of an international criminal investigation may involve a violation of
state or local law, and it is beneficial to maintain this information to
provide investigative leads to state and local law enforcement agencies.
(4) From subsection (e)(2) because collecting information from the
subject of criminal investigations would thwart the investigation by
placing the subject on notice.
(5) From subsection (e)(3) because supplying an individual with a
statement of the intended use of the requested information could
compromise the existence of a confidential investigation, and may
inhibit cooperation.
(6) From subsection (e)(5) because the vast majority of these records
come from local criminal justice agencies and it is administratively
impossible to ensure that the records comply with this provision.
Submitting agencies are, however, urged on a continuting basis to ensure
that their records are accurate and include all dispositions.
(7) From subsection (e)(8) because the notice requirements of this
provision could present a serious impediment to law enforcement by
revealing investigative techniques, procedures, and the existence of
confidential investigations.
[Order No. 8-82, 47 FR 44255, Oct. 7, 1982, as amended by Order No. 6-
86, 51 FR 15479, Apr. 24, 1986]
Sec. 16.104 Exemption of Office of Special Counsel--Waco System.
(a) The following system of records is exempted from subsections
(c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (5) and
(8); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j) and (k):
CaseLink Document Database for Office of Special Counsel--Waco, JUSTICE/
OSCW-001. These exemptions apply only to the extent that information in
a record is subject to exemption pursuant to 5 U.S.C. 552a(j) and (k).
(b) Only that portion of this system which consists of criminal or
civil investigatory information is exempted for the reasons set forth
from the following subsections:
(1) Subsection (c)(3). To provide the subject of a criminal or civil
matter or case under investigation with an accounting of disclosures of
records concerning him or her would inform that individual of the
existence, nature, or scope of that investigation and thereby seriously
impede law enforcement efforts by permitting the record subject and
other persons to whom he might disclose the records to avoid criminal
penalties and civil remedies.
(2) Subsection (c)(4). This subsection is inapplicable to the extent
that an exemption is being claimed for subsection (d).
(3) Subsection (d)(1). Disclosure of investigatory information could
interfere with the investigation, reveal the identity of confidential
sources, and result in an unwarranted invasion of the privacy of others.
(4) Subsection (d)(2). Amendment of the records would interfere with
ongoing criminal law enforcement proceedings and impose an impossible
administrative burden by requiring criminal investigations to be
continuously reinvestigated.
(5) Subsections (d)(3) and (4). These subsections are inapplicable to
the extent exemption is claimed from (d)(1) and (2).
(6) Subsections (e)(1) and (5). It is often impossible to determine in
advance if investigatory records contained in this system are accurate,
relevant, timely and complete; but, in the interests of effective law
enforcement, it is necessary to retain this information to aid in
establishing patterns of activity and provide leads in criminal
investigations.
(7) Subsection (e)(2). To collect information from the subject
individual would serve notice that he or she is the subject of criminal
investigative or law enforcement activity and thereby present a serious
impediment to law enforcement.
(8) Subsection (e)(3). To inform individuals as required by this
subsection would reveal the existence of an investigation and compromise
law enforcement efforts.
(9) Subsection (e)(8). To serve notice would give persons sufficient
warning to evade law enforcement efforts.
(10) Subsection (g). This subsection is inapplicable to the extent
that the system is exempt from other specific subsections of the Privacy
Act.
[Order No. 208-2000, 65 FR 75160, Dec. 1, 2000]
Sec. 16.130 Exemption of Department of Justice Systems:
Correspondence Management Systems for the Department of Justice (DOJ-
003); Freedom of Information Act, Privacy Act and Mandatory
Declassification Review Requests and Administrative Appeals for the
Department of Justice (DOJ-004).
(a) The following Department of Justice systems of records are
exempted from subsections (c)(3) and (4); (d)(1), (2), (3) and (4);
(e)(1), (2), (3), (5) and (8); and (g) of the Privacy Act pursuant to 5
U.S.C. 552a(j) and (k). These exemptions apply only to the extent that
information in a record is subject to exemption pursuant to 5 U.S.C.
552a(j) and (k).
(1) Correspondence Management Systems (CMS) for the Department of
Justice (DOJ), DOJ/003.
(2) Freedom of Information Act, Privacy Act, and Mandatory
Declassification Review Requests and Administrative Appeals for the
Department of Justice (DOJ), DOJ/004.
(b) These systems are exempted for the reasons set forth from the
following subsections:
(1) Subsection (c)(3). To provide the subject of a criminal, civil, or
counterintelligence matter or case under investigation with an
accounting of disclosures of records concerning him or her could inform
that individual of the existence, nature, or scope of that
investigation, and thereby seriously impede law enforcement of
counterintelligence efforts by permitting the record subject and other
persons to whom he might disclose the records to avoid criminal
penalties, civil remedies, or counterintelligence measures.
(2) Subsection (c)(4). This subsection is inapplicable to the extent
that an exemption is being claimed for subsection (d).
(3) Subsection (d)(1). Disclosure of investigatory information could
interfere with the investigation, reveal the identity of confidential
sources, and result in an unwarranted invasion of the privacy of others.
Disclosure of classified national security information would cause
damage to the national security of the United States.
(4) Subsection (d)(2). Amendment of the records would interfere with
ongoing criminal or civil law enforcement proceedings and impose an
impossible administrative burden by requiring investigations to be
continuously reinvestigated.
(5) Subsections (d)(3) and (4). These subsections are inapplicable to
the extent exemption is claimed from (d)(1) and (2).
(6) Subsection (e)(1). It is often impossible to determine in advance
if investigatory records contained in this system are accurate, relevant
timely and complete, but, in the interests of effective law enforcement
and counterintelligence, it is necessary to retain this information to
aid in establishing patterns of activity and provide investigative
leads.
(7) Subsection (e)(2). To collect information from the subject
individual could serve notice that he or she is the subject of a
criminal investigation and thereby present a serious impediment to such
investigations.
(8) Subsection (e)(3). To inform individuals as required by this
subsection could reveal the existence of a criminal investigation and
compromise investigative efforts.
(9) Subsection (e)(5). It is often impossible to determine in advance
if investigatory records contained in this system are accurate,
relevant, timely and complete, but, in the interests of effective law
enforcement, it is necessary to retain this information to aid in
establishing patterns of activity and provide investigative leads.
(10) Subsection (e)(8). To serve notice could give persons sufficient
warning to evade investigative efforts.
(11) Subsection (g). This subsection is inapplicable to the extent
that the system is exempt from other specific subsections of the Privacy
Act.
[Order No. 241-2001, 66 FR 41445, Aug. 8, 2001]
Sec. 16.131 Exemption of Department of Justice (DOJ)/Nationwide
Joint Automated Booking System (JABS), DOJ-005.
(a) The following system of records is exempt from 5 U.S.C. 552a(c)(3)
and (4), (d), (e)(1), (2), (3), (4)(G) and (H), (e)(5) and (8), (f) and
(g): Nationwide Joint Automated Booking System, Justice/DOJ-005. These
exemptions apply only to the extent that information in the system is
subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). Where
compliance would not interfere with or adversely affect the law
enforcement process, the DOJ may waive the exemptions, either partially
or totally.
(b) Exemption from the particular subsections are justified for the
following reasons:
(1) From subsections (c)(3), (c)(4), and (d) to the extent that access
to records in this system of records may impede or interfere with law
enforcement efforts, result in the disclosure of information that would
constitute an unwarranted invasion of the personal privacy of collateral
record subjects or other third parties, and/or jeopardize the health
and/or safety of third parties.
(2) From subsection (e)(1) to the extent that it is necessary to
retain all information in order not to impede,compromise, or interfere
with law enforcement efforts, e.g., where the significance of the
information may not be readily determined and/or where such information
may provide leads or assistance to Federal and other law enforcement
agencies in discharging their law enforcement responsibilities.
(3) From subsection (e)(2) because, in some instances, the application
of this provision would present a serious impediment to law enforcement
since it may be necessary to obtain and verify information from a
variety to sources other than the record subject to ensure safekeeping,
security, and effective law enforcement. For example, it maybe necessary
that medical and psychiatric personnel provide information regarding and
the subject's behavior, physical. health, or mental stability, etc. to
ensure proper care while in custody, or it may be necessary to obtain
information from a case agent or the court to ensure proper disposition
of the subject individual.
(4) From subsection (e)(3) because the requirement that agencies
inform each individual whom it asks to supply information of such
information as required by subsection (e)(3) may, in some cases, impede
the information gathering process or otherwise interfere with or
compromise law enforcement efforts, e.g., the subject may deliberately
withhold information, or given erroneous information.
(5) From subsection (4)(G) and(H) because the application of these
provisions would present a serious impediment to law enforcement
efforts.
(6) From subsection (e)(5) because in the collection of information
for law enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance and the accuracy of such information can only
be determined in a court of law. The restrictions imposed by subsection
(e)(5) would restrict the ability to collect information for law
enforcement purposes, may prevent the eventual development of the
necessary criminal intelligence, or otherwise impede law enforcement or
delay trained law enforcement personnel from timely exercising their
judgment in managing the arrestee.
(7) From subsection (e)(8) to the extent that such notice may impede,
interfere with, or otherwise compromise law enforcement and security
efforts.
(8) From subsection 5 U.S.C. 552a(f) to the extent that compliance
with the requirement for procedures providing individual access to
records, compliance could impede, compromise, or interfere with law
enforcement efforts.
(9) From subsection (g) to the extent that this system is exempt from
the access and amendment provisions of subsection (d).
[Order No. 241-2001, 66 FR 41445, Aug. 8, 2001]
DEPARTMENT OF JUSTICE
Tax Division
JUSTICE/TAX-001
System name:
Tax Division Central Classification Cards, Index Docket Cards,
and Associated Records--Criminal Tax Cases.
System location:
U.S. Department of Justice, Tax Division, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons referred to in potential or actual criminal tax cases and
related matters of concern to the Tax Division under the Internal
Revenue laws.
Categories of records in the system:
The system consists of an alphabetical index by individual name
of all criminal tax cases, and related matters assigned, referred, or
of interest to the Tax Division. Records in many instances are
duplicated in the criminal section of the Division which has specific
jurisdiction over criminal tax cases.
Authority for maintenance of the system:
This system is established and maintained pursuant to 28 CFR 0.70
and 0.71.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. Classification cards are maintained on each Tax Division
criminal case to identify and assign mail to the proper office within
the Division; to relate incoming material to an existing case; to
establish a file number for a new case upon receipt; and to provide a
central index of cases within the Division.
B. Docket cards are records pertaining to the flow of legal work
in the Division. They are maintained on each criminal case which is
being or was handled by the Division's sections.
C. Case files maintained allow Division attorneys immediate
access to information which is essential in carrying out their
responsibilities concerning all criminal tax cases.
D. A record maintained in this system of records may be
disseminated as a routine use as follows: (1) In any case in which
there is an indication of a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, the record in
question may be disseminated to the appropriate federal, state,
local, or foreign agency charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing such law; (2) In the course of investigating the
potential or actual violation of any law whether civil, criminal, or
regulatory in nature, or during the course of a trial or hearing or
the preparation for a trial or hearing for such violation, a record
may be disseminated to a federal, state, local or foreign agency, or
to an individual or organization, if there is reason to believe that
such agency, individual, or organization possesses information
relating to the investigation, trial, or hearing and the
dissemination is reasonably necessary to elicit such information or
to obtain the cooperation of a witness or an informant; (3) A record
relating to a case or matter may be disseminated to the appropriate
Federal, state, local, or foreign court or grand jury in accordance
with applicable constitutional, substantive, or procedural law or
practice; (4) 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; (5) A record relating to a case
or matter may be disseminated to an actual or potential party or his
attorney for the purpose of negotiation or discussion on such matters
as settlement of the case or matter, plea bargaining, or informal
discovery proceedings; (6) A record relating to a case or matter that
has been referred to the Tax Division may be disseminated to the
referring agency to notify such agency of the status of the case or
matter or of any decision or determination that has been made; (7) A
record relating to a case or matter may be disseminated to a foreign
country pursuant to an international treaty or convention entered
into and ratified by the United States or to an executive agreement;
(8) A record may be disseminated to a federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter. (9) In any health care-related civil
or criminal case, investigation, or matter, information indicating
patient harm, neglect, or abuse, or poor or inadequate quality of
care, at a health care facility or by a health care provider, may be
disclosed as a routine use to any federal, state, local, tribal,
foreign, joint, international or private entity that is responsible
for regulating, licensing, registering, or accrediting any health
care provider or health care facility, or enforcing any health care-
related laws or regulations. Further, information indicating an
ongoing problem by a health care provider or at a health care
facility may be disclosed to the appropriate health plan.
Additionally, unless otherwise prohibited by applicable law,
information indicating patient harm, neglect, abuse or poor or
inadequate quality of care may be disclosed to the affected patient
or his or her representative or guardian at the discretion of and in
the manner determined by the agency in possession of the information;
and (10) a record may be disclosed as a routine use to the National
Archives and Records Administration (NARA) in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information relating to health care fraud may be disclosed to
private health plans, or associations of private health plans, and
health insurers, or associations of health insurers, for the
following purposes: to promote the coordination of efforts to
prevent, detect, investigate, and prosecute health care fraud; to
assist efforts by victims of health care fraud to obtain restitution;
to enable private health plans to participate in local, regional, and
national health care fraud task force activities; and to assist
tribunals having jurisdiction over claims against private health
plans.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information contained in this system is stored manually on index
cards and in folders.
Retrievability:
Information is retrieved manually by the name of the individual
from the index card which in turn indicates the case number, and the
section unit or attorney assigned to work on the material.
Safeguards:
Information contained in this system is safeguarded and protected
in accordance with applicable Departmental rules and procedures
governing access, production and disclosure of any materials
contained in its official files.
Retention and disposal:
Currently there are no provisions for the disposal of the cards
in this system, however, the records of the closed classes are
forwarded to the Federal Record Center, where they are destroyed
after 25 years.
System manager(s) and address:
Assistant Attorney General; Tax Division; U.S. Department of
Justice; 10th Street and Constitution Avenue, NW, Washington, DC
20530.
Notification procedure:
An inquiry concerning this system should be directed to the
System Manager listed above.
Record access procedures:
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 applicability of an exemption as to a specific record shall be
made at the time a request for access is received. A request for
access to a record contained in this system shall be made in writing,
with the envelope and the letter clearly marked `Privacy Access
Request'. Include in the request the name of the individual involved,
his birth date and place, or any other identifying number which may
be of assistance in locating the record, the name of the case or
matter involved, if known, the name of the judicial district
involved, if known, and any other information which may be of
assistance in locating the record. The requestor will also provide a
return address for transmitting the information. Access requests will
be directed to the System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Internal Revenue Service, Department offices and employees, and
other Federal, state, local, and foreign law enforcement and non-law
enforcement agencies, private persons, witnesses, and informants.
Systems exempted from certain provisions of the act:
The Attorney General has proposed exemption of this system from
subsection (c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1),
(e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f)
and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j). 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.
JUSTICE/TAX-002
System name:
Tax Division Central Classification Cards, Index Docket Cards,
and Associated Records--Civil Tax Cases.
System location:
U.S. Department of Justice; Tax Division; 10th and Constitution
Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Persons referred to in potential or actual civil tax cases and
related matters of concern to the Tax Division under the Internal
Revenue laws.
Categories of records in the system:
The system consists of an alphabetical index by individual name
of all civil tax cases, and related matters assigned, referred, or of
interest to the Tax Division. Records in many instances are
duplicated in the various Civil Tax Sections of the Division which
have specific jurisdiction over civil tax cases.
Authority for maintenance of the system:
This system is established and maintained pursuant to 28 CFR 0.70
and 0.71.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. Classification cards are maintained on each Tax Division civil
case in order to identify and assign mail to the proper office within
the Division; to relate incoming material to an existing case; to
establish a file number for a new case upon receipt; and to provide a
central index of civil tax cases within the Division.
B. Docket cards are records pertaining to the flow of legal work
in the Division. They are maintained on each civil tax case which is
being or was handled by the Division's Sections.
C. Case files maintained allow Division attorneys immediate
access to information which is essential in carrying out their
responsibilities concerning all civil tax cases.
D. A record maintained in this system of records may be
disseminated as a routine use as follows: (1) In any case in which
there is an indication of a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, the record in
question may be disseminated to the appropriate Federal, state,
local, or foreign agency charged with the responsibility of
investigating or prosecuting such violations or charged with
enforcing or implementing such law; (2) In the course of
investigating the potential or actual violation of any law whether
civil, criminal, or regulatory in nature, or during the course of a
trial or hearing or the preparation for a trial or hearing for such
violation, a record may be disseminated to a Federal, state, local or
foreign agency, or to an individual or organization, if there is
reason to believe that such agency, individual, or organization
possesses information relating to the investigation, trial or hearing
and the dissemination is reasonably necessary to elicit such
information or to obtain the cooperation of a witness or an
informant; (3) A record relating to a case or matter may be
disseminated to the appropriate Federal, state, local, or foreign
court or grand jury in accordance with applicable constitutional,
substantive, or procedural law or practice; (4) 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; (5) A record
relating to a case or matter may be disseminated to an actual or
potential party or his attorney for the purpose of negotiation or
discussion on such matters as settlement of the case or matter, plea
bargaining, or informal discovery proceedings; (6) A record relating
to a case or matter that has been referred to the Tax Division may be
disseminated to the referring agency to notify such agency of the
status of the case or matter of any decision or determination that
has been made; (7) A record relating to a case or matter may be
disseminated to a foreign country pursuant to an international treaty
or convention entered into and ratified by the United States or to an
executive agreement; (8) A record may be disseminated to a Federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant, or other benefit by
the requesting agency, to the extent that the information relates to
the requesting agency's decision on the matter; (9) In any health
care-related civil or criminal case, investigation, or matter,
information indicating patient harm, neglect, or abuse, or poor or
inadequate quality of care, at a health care facility or by a health
care provider, may be disclosed as a routine use to any federal,
sate, local, tribal, foreign, joint, international or private entity
that is responsible for regulating, licensing, registering, or
accrediting any health care provider or health care facility, or
enforcing any health care-related laws or regulations. Further,
information indicating an ongoing problem by a health care provider
or at a health care facility may be disclosed to the appropriate
health plan. Additionally, unless otherwise prohibited by applicable
law, information indicating patient harm, neglect, abuse or poor or
inadequate quality of care may be disclosed to the affected patient
or his or her representative or guardian at the discretion of and in
the manner determined by the agency in possession of the information;
and (10) a record may be disclosed as a routine use to the National
Archives and Records Administration (NARA) in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information relating to health care fraud may be disclosed to
private health plans, or associations of private health plans, and
health insurers, or associations of health insurers, for the
following purposes: to promote the coordination of efforts to
prevent, detect, investigate, and prosecute health care fraud; to
assist efforts by victims of health care fraud to obtain restitution;
to enable private health plans to participate in local, regional, and
national health care fraud task force activities; and to assist
tribunals having jurisdiction over claims against private health
plans.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information contained in this system is stored manually on index
cards and in folders.
Retrievability:
Information is retrieved manually by the name of the individual
from the index card which, in turn, indicates the case number, and
the section unit or attorney assigned to work on the material.
Safeguards:
Information contained in the system is safeguarded and protected
in accordance with Departmental rules and procedures governing
access, production and disclosure of any materials contained in its
official files.
Retention and disposal:
Currently, there are no provisions for the disposal of the cards
in this system; however, the records of the closed classes are
forwarded to the Federal Record Center, where they are destroyed
after 25 years.
System manager(s) and address:
Assistant Attorney General, Tax Division, U.S. Department of
Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
An inquiry concerning this system should be directed to the
System Manager listed above.
Record access procedures:
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 applicability of an exemption to a specific record shall be made
at the time a request for access is received. A request for access to
a record contained in this system shall be made in writing, with the
envelope and the letter clearly marked `Privacy Access Request'.
Include in the request the name of the individual involved, his birth
date and place, or any other identifying number which may be of
assistance in locating the record, the name of the case or matter
involved, if known, the name of the judicial district involved, if
known, and any other information which may be of assistance in
locating the record. The requestor will also provide a return address
for transmitting the information. Access requests will be directed to
the System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Internal Revenue Service, Department offices and employees, and
other Federal, state, local, and foreign law enforcement and non-law
enforcement agencies, private persons, witnesses and informants.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3), (d)(1), (d)(2), (d)(3), and (d)(4), (e)(1), (e)(4)(G),
(e)(4)(H), (e)(4)(I), and (f) of the Privacy Act pursuant to 5 U.S.C.
552a(k). 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.
JUSTICE/TAX - 003
System name: Files of Applications for the Position of Attorney
with the Tax Division.
System location: U.S. Department of Justice, Tax Division, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system: Applicants who
have applied for a position as an attorney with the Tax Division.
Categories of records in the system: This system contains a card of
each applicant filed alphabetically. Files may contain background
information of the applicant, including SF 171 forms, resumes,
referral letters, letters of recommendation, interview notes,
internal notes or memoranda, and other miscellaneous correspondence.
Authority for maintenance of the system: This system is established
and maintained pursuant to the responsibilities assigned the Tax
Division under 28 CFR 0.70 and 0.71.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: (A) This system
may be used by employees and officials of the Division and the
Justice Department in making employment decisions; (B) A record from
this system of records may be disclosed to a federal agency, in
response to its request, in connection with the hiring of an
employee, to the extent that the information is relevant and
necessary to the requesting agency's decision on the matter.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Release of
information to the National Archives and Records Administration: A
record from a system of records may be disclosed as a routine use to
the National Archives and Records Administration (NARA) in records
management inspections conducted under the authority of 44 U.S.C.
2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information contained in this system is stored manually,
alphabetically by name.
Retrievability: Information is retrieved manually by using the name
of the applicant desired.
Safeguards: Information contained in the system is unclassified. It
is safeguarded and protected in accordance with Departmental rules
and procedures governing access, production and disclosure of any
materials contained in its official files.
Retention and disposal: Information is retained in the card system
for 10 years. Information in the files is retained in the system
until a decision is made as to the employment of the applicant.
System manager(s) and address: Assistant Attorney General, Tax
Division, U.S. Department of Justice, 10th Street and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure: Same as the above.
Record access procedures: A request for access to a record
contained in this system shall be made in writing, with the envelope
and the letter clearly marked `Privacy Access Request`. Include in
the request the name of the individual involved, his birth date and
place, or any other identifying number which may be of assistance in
locating the record, as well as the position applied for. The
requestor will also provide a return address for transmitting the
information. Access requests will be directed to the System Manager
listed above.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to the System Manager listed above, stating clearly and
concisely which information is being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Record source categories: Generally, sources of information
contained in the system are the individual applicants, persons
referring or recommending the applicant, and employees and officials
of the Division and the Department.
Systems exempted from certain provisions of the act: None.
JUSTICE/TAX-005
System name: Tax Division Special Projects Files.
System location: U.S. Department of Justice, Tax Division, 10th and
Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system: Persons referred
to in potential or actual cases under the jurisdiction of the
Criminal Section of the Tax Division.
Categories of records in the system: The system consists of
investigatory files, records and associated documents and information
indexed by individual name and entity and relating to matters
assigned, referred or of interest to the Criminal Section of the Tax
Division.
Authority for maintenance of the system: This system is established
and maintained pursuant to 28 CFR 0.70 and 0.71.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. Materials maintained in this system may be used by Division
attorneys and attorneys in other appropriate offices, boards and
divisions for purposes of pursuing investigative leads and for
purposes of initiating, developing, preparing and prosecuting
criminal and civil tax cases.
B. Additionally, a record maintained in this system of records
may be disseminated as a routine use as follows: (1) In any case in
which there is an indication of a violation or potential violation of
law, whether civil, criminal or regulatory in nature, the material in
question may be disseminated to the appropriate Federal, state,
local, or foreign agency charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing such law; (2) In the course of investigating the
potential or actual violation of any law whether civil, criminal, or
regulatory in nature, or during the course of a trial or hearing or
the preparation for a trial or hearing for such violation, material
may be disseminated to a Federal, state, local or foreign agency, or
to an individual or organization, if there is reason to believe that
such agency, individual, or organization possesses information
relating to the investigation, trial or hearing and the dissemination
is reasonably necessary to elicit such information or to obtain the
cooperation of a witness or an informant; (3) Material may be
disseminated to the appropriate Federal, state, local, or foreign
court or grand jury in accordance with established constitutional,
substantive, or procedural law or practice; (4) Material may be
disseminated to Federal, state or local administrative or regulatory
proceeding or hearing in accordance with the procedures governing
such proceeding or hearing; (5) Material may be disseminated to an
actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings; (6)
Material that has been referred to the Tax Division may be
disseminated to the referring agency to notify such agency of the
status of a potential or actual case or of any decision or
determination that has been made; (7) Material may be disseminated to
a foreign country pursuant to an international treaty or convention
entered into and ratified by the United States or to an executive
agreement.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Material contained in this system is stored manually.
Retrievability: Material is retrieved by the name of an individual
or entity both manually and through the use of an automated data
retrieval system.
Safeguards: Information contained in the system is safeguarded and
protected in accordance with Departmental rules and procedures
governing access, production and disclosure of any materials
contained in its official files.
Retention and disposal: Currently there are no provisions for the
disposal of material in this system.
System manager(s) and address: Assistant Attorney General, Tax
Division, U.S. Department of Justice, 10th Street and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure: An inquiry concerning this system should be
directed to the System Manager listed above.
Record access procedures: 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 applicability of an exemption to a specific
record shall be made at the time a request for access is received. A
request for access to a record contained in this system shall be made
in writing, with the envelope and the letter clearly marked `Privacy
Access Request`. Include in the request the name of the individual
involved, his birth date and place, or any other identifying number
which may be of assistance in locating the record, the name of the
case or matter involved, if known, the name of the judicial district
involved, if known, and any other information which may be of
assistance in locating the record. The requestor will also provide a
return address for transmitting the information. Access requests will
be directed to the System Manager listed above.
Contesting record procedures: Individuals desiring to contest or
amend information maintained in the system should direct their
request to the System Manager listed above, stating clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Record source categories: Internal Revenue Service, Department
Offices and employees, and other Federal, state, local, and foreign
law enforcement and non-law enforcement agencies, private persons,
witnesses, and informants.
Systems exempted from certain provisions of the act: The Attorney
General has exempted this system from subsections (c)(3), (c)(4),
(d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act
pursuant to 5 U.S.C. 552a(j). Rules have been promulgated in
accordance with the requirements of 5 USC 552a(b), (c) and (e) and
have been published in the Federal Register.
DEPARTMENT OF JUSTICE
Table of Contents
JUSTICE--001, Accounting Systems for the Department of Justice.
JUSTICE--002, DOJ Computer Systems Activity and Access Records.
JUSTICE--003, Corrspondence Management Systems (CMS) for the
Department of Justice.
JUSTICE--004, Freedom of Information Act, Privacy Act, and Mandatory
Declassification Review Requests and Administrative Appeals
for the Department of Justice.
JUSTICE--005, Nationwide Joint Automated Booking System (JABS).
Antitrust Division
JUSTICE/ATR-001, Antitrust Division Expert Witness File.
JUSTICE/ATR-003, Index of Defendants in Pending and Terminated
Antitrust Cases.
JUSTICE/ATR-004, Statement by Antitrust Division Officials (ATD
Speech File).
JUSTICE/ATR-005, Antitrust Caseload Evaluation System (ACES)--Time
Reporter.
JUSTICE/ATR-006, Antitrust Caseload Evaluation System (ACES)--Monthly
Report.
JUSTICE/ATR-007, Antitrust Division Case Cards.
JUSTICE/ATR-009, Public Complaints and Inquiries File.
JUSTICE/ATR-014, Civil Investigative Demand (CID) Tracking System.
Board of Immigration Appeals
JUSTICE/BIA-001, Decisions of the Board of Immigration Appeals.
JUSTICE/BIA-002, Roster of Organizations and their Accredited
Representative Recognized by the Board of Immigration
Appeals.
Bureau of Prisons
JUSTICE/BOP-001, Custodial and Security Record System.
JUSTICE/BOP-003, Industrial Inmate Employment Record System.
JUSTICE/BOP-004, Inmate Administrative Remedy Record System.
JUSTICE/BOP-005, Inmate Central Records System.
JUSTICE/BOP-006, Inmate Commissary Accounts Record System.
JUSTICE/BOP-007, Inmate Physical and Mental Health Record System.
JUSTICE/BOP-008, Inmate Safety and Accident Compensation Record
System.
JUSTICE/BOP-009, Federal Tort Claims Act Record System.
JUSTICE/BOP-011, Telephone Activity Record System.
JUSTICE/BOP-012, Bureau of Prisons, Office of Internal Affairs
Investigative Records.
JUSTICE/BOP-014, Employee Assistance Program Record System.
JUSTICE/BOP-101, National Institute of Corrections Technical
Assistance Resource Provider Record System
JUSTICE/BOP-102, National Institute of Corrections Field Readers
List.
JUSTICE/BOP-103, National Institute of Corrections Academy Record
System.
JUSTICE/BOP-104, National Institute of Corrections Mailing List and
Information Center Contacts Record System.
Civil Division
JUSTICE/CIV-001, Civil Division Case File System.
JUSTICE/CIV-002, Civil Division Case File System: Customs Litigation.
JUSTICE/CIV-003, Office of Alien Property File System.
JUSTICE/CIV-004, Swine Flu Administrative Claim File System.
JUSTICE/CIV-006, Consumer Inquiry/Investigatory System.
JUSYICE/CIV-008, September 11th Victim Compensation Fund of 2001 File
System.
Civil Rights Division
JUSTICE/CRT-001, Central Civil Rights Division Index File and
Associated Records System.
JUSTICE/CRT-002, Files of Applications for the Position of Attorneys
with the Civil Rights Division.
JUSTICE/CRT-003, Civil Rights Case Load Evaluation System-Time
Reporting System.
JUSTICE/CRT-004, Registry of Names of Interested Persons Desiring
Notification of Submissions under Section 5 of the Voting
Rights Act.
JUSTICE/CRT-007, Files on Employment Civil Rights Matters Referred by
the Equal Employment Opportunity Commission.
JUSTICE/CRT-009, Civil Rights Division Travel Reports.
Community Relations Service
JUSTICE/CRS-001, Operational Data Information System.
Criminal Division
JUSTICE/CRM-001, Central Criminal Division Index File and Associated
Records.
JUSTICE/CRM-002, Criminal Division Witness Security File.
JUSTICE/CRM-003, File of Names Checked to Determine If Those
Individuals Have Been the Subject of an Electronic
Surveillance.
JUSTICE/CRM-004, General Litigation and Legal Advice Section,
Criminal Division, Central Index File and Associated
Records.
JUSTICE/CRM-005, Index to Name of Attorneys, Employed by the Criminal
Division, U.S. Department of Justice, Indicating the Subject
of the Memoranda on Criminal Matters They Have Written.
JUSTICE/CRM-006, Information File on Individuals and Commercial
Entities Known or Suspected of Being Involved in Fraudulent
Activities.
JUSTICE/CRM-007, Name Card File on Criminal Division Personnel
Authorized to Have Access to the Central Criminal Division
Records.
JUSTICE/CRM-008, Name Card File on Department of Justice Personnel
Authorized to Have Access to Classified Files of the
Department of Justice.
JUSTICE/CRM-012, Organized Crime and Racketeering Section, General
Index File and Associated Records.
JUSTICE/CRM-014, Organized Crime and Racketeering Section,
Intelligence and Special Services Unit, Information Request
System.
JUSTICE/CRM-017, Registration and Propaganda Files Under the Foreign
Agents Registration Act of 1938, As Amended.
JUSTICE/CRM-018, Registration Files of Individuals Who Have Knowledge
of, or Have Received Instruction or Assignment in Espionage,
Counterespionage, or Sabotage Service or Tactics of a
Foreign Government or of a Foreign Political Party.
JUSTICE/CRM-019, Requests to the Attorney General for Approval of
Application to Federal Judges for Electronic Interceptions.
JUSTICE/CRM-021, The Stocks and Bonds Intelligence Control Card File
System.
JUSTICE/CRM-022, Witness Immunity Records.
JUSTICE/CRM-023, Weekly Statistical Report.
JUSTICE/CRM-025, Tax Disclosure Index File and Associated Records
JUSTICE/CRM-026, Index of Prisoners Transferred Under Prisoner
Transfer Treaties.
JUSTICE/CRM-027, Office of Special Investigations (OSI) Displaced
Persons Listings.
Drug Enforcement Administration
JUSTICE/DEA-001, Air Intelligence Program.
JUSTICE/DEA-003, Automated Records and Consolidated Orders System/
Diversion Analysis and Detection System (ARCOS/DADS).
JUSTICE/DEA-005, Controlled Substances Act Registration Records
(CSA).
JUSTICE/DEA-007, International Intelligence Data Base.
JUSTICE/DEA-008, Investigative Reporting and Filing System.
JUSTICE/DEA-009, Medical Records.
JUSTICE/DEA-010, Planning and Inspection Division Records.
JUSTICE/DEA-011, Operations Files.
JUSTICE/DEA-012, Registration Status/Investigation Records.
JUSTICE/DEA-013, Security Files.
JUSTICE/DEA-014, System to Retrieve Information from Drug Evidence
(STRIDE/Ballistics).
JUSTICE/DEA-015, Training Files.
JUSTICE/DEA-016, Drug Enforcement Administration Accounting System
(DEAAS II).
JUSTICE/DEA-017, Grants of Confidentiality Files (GCF).
JUSTICE/DEA-018, Applicant Investigations (DAI).
JUSTICE/DEA-020, Essential Chemical Reporting System.
JUSTICE/DEA-021, DEA Aviation Unit Reporting System.
JUSTICE/DEA-023, Clerical, Technical and Professional (CTAP) Program
Files.
JUSTICE/DEA-027, DEA Employee Profile System (DEPS).
JUSTICE/DEA-028, Regional Automated Intelligence Data System (RAIDS).
JUSTICE/DEA-030, Agent Recruit Assessment Program.
JUSTICE/DEA-INS-111, Automated Intelligence Records System
(Pathfinder).
JUSTICE/DEA-999, DEA Appendix 1--List of Record Location Addresses
Executive Office for Immigration Review
JUSTICE/EOIR-001, Records and Management Information Systems.
JUSTICE/EOIR-999, Appendix to Executive Office for Immigration Review
System of Records.
Federal Bureau of Investigation
JUSTICE/FBIBRU, Blanket Routine Uses (BRU) Applicable to More Than
One FBI Privacy Act System of Records.
JUSTICE/FBI-001, National Crime Information Center (NCIC).
JUSTICE/FBI-002, The FBI Central Records System.
JUSTICE/FBI-003, Bureau Mailing Lists.
JUSTICE/FBI-006, Electronic Surveillance (ELSUR) Indices.
JUSTICE/FBI-007, FBI Automated Payroll System.
JUSTICE/FBI-008, Bureau Personnel Management System (BPMS).
JUSTICE/FBI-009, Fingerprint Indentification Records System (FIRS).
JUSTICE/FBI-010, Employee Travel Vouchers and Individual Earning
Records.
JUSTICE/FBI-011, Employee Health Records.
JUSTICE/FBI-012, Time Utilization Record-Keeping (TURK) System.
JUSTICE/FBI-013, Security Access Control System (SACS).
JUSTICE/FBI-014, FBI Alcoholism Program.
JUSTICE/FBI-015, National Center for the Analysis of Violent Crime
(NCAVC).
JUSTICE/FBI-016, FBI Counterdrug Information Indices System (CIIS) .
JUSTICE/FBI-017, National DNA Index System (NDIS).
JUSTICE/FBI-018, National Instant Criminal Background Check system
(NICS).
JUSTICE/FBI-999, Appendix of Field Divisions and Legal Attaches for
the Federal Bureau of Investigation Field Divisions.
Foreign Claims Settlement Commission
Indexes of Claimants (Alphabetical)--Justice/FCSC-1
Bulgaria, Claims Against (2nd Program)--Justice/FCSC-2
Certifications of Awards--Justice/FCSC-3
China, Claims Against--Justice/FCSC-4
Civilian Internees (Vietnam)--Justice/FCSC-5
Correspondence (General)--Justice/FCSC-6
Cuba, Claims Against--Justice/FCSC-8
Czechoslovakia, Claims Against--Justice/FCSC-9
East Germany, Registration of Claims Against--Justice/FCSC-10
Federal Republic of Germany, Questionnaire Inquiries from--Justice/
FCSC-11
Hungary, Claims Against (2nd Program)--Justice/FCSC-12
Italy, Claims Against (2nd Program)--Justice/FCSC-13
Micronesia, Claims Arising in--Justice/FCSC-14
Poland, Claims Against--Justice/FCSC-15
Prisoners of War (Pueblo)--Justice/FCSC-16
Prisoners of War (Vietnam)--Justice/FCSC-17
Rumania, Claims Against (2nd Program)--Justice/FCSC-18
Soviet Union, Claims Against--Justice/FCSC-19
Yugoslavia, Claims Against (2nd Program)--Justice/FCSC-20
German Democratic Republic, Claims Against--Justice/FCSC-21
General War Claims Program--Justice/FCSC-22
Vietnam, Claims for Losses Against--Justice/FCSC-23
Ethiopia, Claims for Losses Against--Justice/FCSC-24
Egypt, Claims Against--Justice/FCSC-25
Albania, Claims Against--Justice/FCSC-26
Germany, Holocaust Survivors' Claims Against--Justice/FCSC-27
Iraq, Registration of Potential Claims Against--Justice/FCSC-28
Iran, Claims of less than $250,000 Against, Justice/FCSC-29
Immigration and Naturalization Service
JUSTICE/INS-001, The Immigration and Naturalization Service Index
System.
JUSTICE/INS-001A, The Immigration and Naturalization Service (INS)
Alien File (A-File) and Central Index System (CIS).
JUSTICE/INS-002, Office of Internal Audit Investigations Index and
Records.
JUSTICE/INS-004, The Asset management Information System (AMIS).
JUSTICE/INS-005, INS Image Storage and Retrieval System (ISRS).
JUSTICE/INS-007, Orphan Petitioner Index and Files.
JUSTICE/INS-008, Bond Management Information System (BMIS).
JUSTICE/INS-009, Alien Status Verification Index.
JUSTICE/INS-011, Password Issuance and Control System (PICS).
JUSTICE/INS-012, Deportable Alien Control System (DACS).
JUSTICE/INS-013, Fees and Application Receipt and Entry System
(FARES).
JUSTICE/INS-014, Security Access Control System (SACS).
JUSTICE/INS-015, Port of Entry Office Management Support System
(POMS).
JUSTICE/INS-016, Secondary Verification Automated Log (SVAL).
JUSTICE/INS-017, Global Enrollment System (GES).
JUSTICE/INS-018, Automated Data Processing Equipment Inventory
Management System (AMIS).
JUSTICE/INS-019, Employee Assistance Program (EAP) Treatment Referral
Records.
JUSTICE/INS-021, The Immigration and Naturalization Service (INS)
Designated Entity Information Management System (DEIMS).
JUSTICE/INS-022, Attorney/Representatives Complaint/Petition Files.
JUSTICE/INS-023, Law Enforcement Support Center Database.
JUSTICE/INS-024, FD-258 Fingerprint Tracking System.
JUSTICE/INS-025, Worksite Enforcement Activity Record and Index
(LYNX).
JUSTICE/INS-026, Hiring Tracking System (HITS).
JUSTICE/INS-O30, Job Swap/Job Exchange System (JOBX).
JUSTICE/INS-032, national Automated Immigration Lookout system
(NAILS).
JUSTICE/INS-33, I-551 Renewal Program Temporary Sticker Issuance I-90
Manifest System (SIIMS).
JUSTICE/INS-999, INS Appendix: List of Principal Offices of
Immigration and Naturalization Service.
INTERPOL--United States National Central Bureau
JUSTICE/Interpol-001, The INTERPOL--United States National Central
Bureau (USNCB) Records System.
Justice Management Division
JUSTICE/JMD-001, Background Investigation Check-off Card.
JUSTICE/JMD-002, Controlled Substances Act Nonpublic Records.
JUSTICE/JMD-003, Department of Justice Payroll System.
JUSTICE/JMD-005, Grievance Records.
JUSTICE-JMD-006, Debt Collection Management System.
JUSTICE/JMD-007, Accounting System for the Offices, Boards and
Divisions and the United States Marshals Service.
JUSTICE/JMD-008, Security Clearance Information System (SCIS).
JUSTICE/JMD-009, Debt Collection Offset Payment System.
JUSTICE/JMD-012, Department of Justice (DOJ) Call Detail Records.
JUSTICE/JMD-013, Employee Locator File.
JUSTICE/JMD-014, Security Access Control System (SACS).
JUSTICE/JMD-016, Employee Assistance Program (EAP) Counseling and
Referral Records.
JUSTICE/JMD-017, Department of Justice (DOJ) Employee Transportation
Facilitation System.
JUSTICE/JMD-021, Department of Justice (DOJ) Staffing and
Classification System.
Environment and Natural Resources Division
JUSTICE/ENRD-001, Appraisers, Approved Attorneys, Abstractors and
Title Companies Files Database System.
JUSTICE/ENRD-003, Environment and Natural Resources Division Case and
Related Files System.
National Drug Intelligence Agency
JUSTICE/NDIC-001, National Drug Intelligence Center Data Base.
Office of the Attorney General
JUSTICE/OAG-001, General Files Systems of the Office of the Attorney
General.
Office of the Associate Attorney General
JUSTICE/AAG-001, General Files System of the Office of the Associate
Attorney General.
Office of the Deputy Attorney General
JUSTICE/DAG-003, Drug Enforcement Task Force Evaluation and Reporting
System.
JUSTICE/DAG-004, Honor Program Applicant System.
JUSTICE/DAG-005, Master Index File of Names.
JUSTICE/DAG-006, Presidential Appointee Candidate Records System.
JUSTICE/DAG-007, Presidential Appointee Records System.
JUSTICE/DAG-008, Special Candidates for Presidential Appointments and
Noncareer SES Positions Records System.
JUSTICE/DAG-009, Summer Intern Program Records System.
JUSTICE/DAG-010, United States Judge and Department of Justice
Presidential Appointee Records.
JUSTICE/DAG-011, Miscellaneous Attorney Personnel Records System.
JUSTICE/DAG-013, General Files System of the Office of the Deputy
Attorney General.
Office of Community Oriented Policing Services (COPS)
JUSTICE/COPS-001, Police Corps System.
Office of the Inspector General
JUSTICE/OIG-001, Office of the Inspector General Record Index.
JUSTICE/OIG-004, Office of the Inspector General Employee Training
Records.
JUSTICe/OIG-005, Office of the Inspector General Firearms
Qualification System.
Office of Intelligence Policy and Review
JUSTICE/OIPR-001, Policy and Review Operational Records System.
JUSTICE/OIPR-002, Foreign Intelligence Surveillance Act (FISA)
Records.
JUSTICE/OIPR-3, Litigation Records System.
Office of Justice Programs
JUSTICE/OJP-001, Equipment Inventory.
JUSTICE/OJP-004, Grants Management Information System (PROFILE).
JUSTICE/OJP-005, Financial Management System.
JUSTICE/OJP-006, Congressional and Public Affairs System.
JUSTICE/OJP-007, Public Information System.
JUSTICE/OJP-008, Civil Rights Investigative System.
JUSTICE/OJP-009, Federal Advisory Committee Membership Files.
JUSTICE/OJP-010, Technical Assistance Resource Files.
JUSTICE/OJP-011, Registered Users File-National Criminal Justice
Reference Service (NCJRS).
JUSTICE/OJP-012, Public Safety Officers Benefits System.
JUSTICE/OJP-013, Denial of Federal Benefits Clearinghouse System
(DEBAR).
Office of Legal Counsel
JUSTICE/OLC-001, Attorney Assignment Reports.
JUSTICE/OLC-002, Office of Legal Counsel Central File.
Office of Legal Policy
JUSTICE/OLP-002, United States Judges Records System.
JUSTICE/OLP-003, General Files System of the Office of Legal Policy.
Office of Pardon Attorney
JUSTICE/OPA-001, Executive Clemency Files.
JUSTICE/OPA-002, Miscellaneous Correspondence File.
Office of Professional Responsibility:
JUSTICE/OPR-001, Office of Professional Responsibility Record Index.
Office of Public Information
JUSTICE/OPI, News Release, Document and Index System.
U.S. Parole Commission
JUSTICE/PRC-001, Docket, Scheduling and Control.
JUSTICE/PRC-003, Inmate and Supervision Files.
JUSTICE/PRC-004, Labor and Pension Case, Legal File and General
Correspondence System.
JUSTICE/PRC-005, Office Operation and Personnel System.
JUSTICE/PRC-006, Statistical, Educational and Developmental System.
JUSTICE/PRC-007, Workload Records, Decision Result, and Annual Report
System.
Office of Special Counsel for Immigration-Related Unfair Employment
Practices (OSC)
JUSTICE/OSC 001, Central Index File and Associated Records.
JUSTICE/OSC-003, Special Counsel for Immigration Related Unfair
Employment Practices Travel Reports.
Office of Special Counsel--Waco
JUSTICE/OSCW-001, CaseLink Document Database for Office of Special
Counsel--Waco.
Tax Division
JUSTICE/TAX-001, Tax Division Central Classification Cards, Index
Docket Cards, and Associated Records-Criminal Tax Cases.
JUSTICE/TAX-002, Tax Division Central Classification Cards, Index
Docket Cards, and Associated Records-Civil Tax Cases.
JUSTICE/TAX-003, Files of Applications for the Position of Attorney
with the Tax Division.
JUSTICE/TAX-005, Tax Division Special Projects Files.
United States Attorneys' Office
JUSTICE/USA-001, Administrative File.
JUSTICE/USA-002, A. U.S.A. Applicant Files.
JUSTICE/USA-003, Citizen Complaint Files.
JUSTICE/USA-005, Civil Case Files.
JUSTICE/USA-006, Consumer Complaints.
JUSTICE/USA-007, Criminal Case Files.
JUSTICE/USA-008, Freedom of Information Act/Privacy Act Files.
JUSTICE/USA-009, Kline-District of Columbia and Maryland - Stock and
Land Fraud Interrelatioinship Filing System.
JUSTICE/USA-010, Major Crimes Division Investigative Files.
JUSTICE/USA-011, Prosecutor's Management Information System (PROMIS).
JUSTICE/USA-012, Security Clearance Forms for Grand Jury Reporters.
JUSTICE/USA-013, U.S. Attorney, District of Columbia Superior Court
Operation, Criminal Files, including but not limited to the
following subsystems: (a) Criminal file folder (USA-S-1),
(b) Criminal File Folder (USA-33), (c) Criminal Docket Card
(USA-T7), and (d) Index.
JUSTICE/USA-014, Pre-Trial Diversion Program Files.
JUSTICE/USA-015, Debt Collection Enforcement System.
JUSTICE/USA-016, Assistant United States Attorneys Applicant Records
System.
JUSTICE/USA-017, Appointed Assistant United States Attorneys
Personnel System.
JUSTICE/USA-018, United States Attorney's Office, Giglio Information
Files.
JUSTICE/USA-020, Employee Assistance P{rogram (EAP) Counseling and
Referral Records.
JUSTICE/USA-999, Appendix of United States Attorney Office Locations.
U.S. Marshals Service
JUSTICE/USM-001, U.S. Marshals Service Badge and Credentials File.
JUSTICE/USM-002, Internal Affairs System.
JUSTICE/USM-003, U.S. Marshals Service Prisoner Transportation System
JUSTICE/USM-004, Special Deputation Files.
JUSTICE/USM-005, U.S.Marshals Service Prisoner Processing and
Population Management/Prisoner Tracking System (PPM/PTS).
JUSTICE/USM-006, United States Marshals Service Training Files.
JUSTICE/USM-007, Warrant Information Netswork (WIN).
JUSTICE/USM-008, Witness Security Files Information System.
JUSTICE/USM-009, Inappropriate Communications/Threat Information
System.
JUSTICE/USM-010, Judicial Facility Security Index System.
JUSTICE/USM-011, Judicial Protection Information System.
JUSTICE/USM-013, U.S. Marshals Service Administrative Proceedings,
Claims and Civil Litigation Files.
JUSTICE/USM-014, Joint Automated Booking Stations (JABS).
JUSTICE/USM-015, U.S. Marshals Service (USMS) Employee Assistance
Program (EAP) Records.
JUSTICE/USM-016, U.S. Marshals Service (USMS) Key Control Record
System.
JUSTICE/USM-017, Judicial Security Staff Inventory.
JUSTICE/USM-018, United States Marshals Service Alternative Dispute
Resolution (ADR) Files and Database Tracking System.
JUSTICE/USM-999, Appendix to U.S. Marshals Systems of Records.
U.S. Trustees
JUSTICE/UST-001, Bankruptcy Case Files and Associated Records.
JUSTICE/UST-002, Trustee Files.
JUSTICE/UST-003, U.S. Trustee Timekeeping System.
JUSTICE/UST-004, United States Trustee Program Case Referral System.
JUSTICE/UST-999, U.S. Trustee Appendix I--List of Record Retention
Addresses.
DEPARTMENT OF JUSTICE
United States Attorney's Office
JUSTICE/USA-001
System name: Administrative File.
System location:
Ninety-four United States Attorneys' Office (See appendix
identified as JUSTICE/USA-999); Executive Office for United States
Attorneys, U.S. Department of Justice, 10th & Constitution Avenue NW,
Washington, DC 20530.
Categories of individuals covered by the system:
(a) Office Personnel (present and past); (b) Expert professionals
whose services are used by the office: (c) Applicants for office
positions; (d) Witnesses in Court proceedings; (e) Prisoners-In-
Custody; (f) Defendants; (g) Debtors; (h) Vendors; (i) Citizens
making inquiries; (j) Members of local and State Bar Associations.
Categories of records in the system:
(a) Personnel Files (official/unofficial); (b) Applicant Files;
(c) Employee Record cards (SF-7B); (d) Office Rosters; (e) Tickler
File System for Promotions; (f) Personnel Address and Telephone
Number Lists; (g) Sign In/Out Sheets; (h) Time and Attendance Records
(OMF-44); (i) Wage Earnings Statement (DOJ-296); (j) Travel
Authorizations and Vouchers (OBD-1 and SF-1012); (k) Advice of
Obligations incurred (DJ-60); (l) Telephone Records and Logs; (m)
Fiscal Vouchers; (n) Witness Records (LAA-3); (o) Lists of Records at
Federal Records Center; (p) In-House Statistical Reports; (q)
Internal Meetings Records; (r) Equal Employment Opportunity (EEO)
Records; (s) Employees: Organizations and Unions Records; (t) Federal
Woman's Program Records; (u) Address and Telephone Indexes; (v) Lists
of State and Local Bar Members; (w) Lists of Expert Professionals;
(x) Requests for Expert Witnesses; (y) Telephone Files; (z)
Correspondence Files; and (aa) Assistant United States Attorneys'
Skills Inventory.
Authority for maintenance of the system:
These systems are established and maintained pursuant to 5 U.S.C.
301 and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows:
(a) In any case in which there is an indication of a violation or
potential violation of law or legal obligation, criminal, civil, or
regulatory in nature, the record in question may be disseminated to
the appropriate federal, state, local, or foreign agency charged with
the responsibility for investigating or prosecuting such violation or
charged with enforcing or implementing such law or civil remedy;
(b) In the course of investigating the potential or actual
violation of any law, criminal, civil, or regulatory in nature, or
during the course of a trial or hearing or the preparation for a
trial or hearing for such violation, a record may be disseminated to
a federal, state, local, or foreign agency, or to an individual or
organization, if there is reason to believe that such agency, or to
any individual or organization possesses information relating to the
investigation, trial or hearing and the dissemination is reasonably
necessary to elicit such information or to obtain the cooperation of
a witness or an informant;
(c) 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;
(d) 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;
(e) A record relating to a case or matter may be disseminated to
an actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings;
(f) 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;
(g) A record relating to a person held in custody pending or
during arraignment, trial, sentence, or extradition proceedings, or
after conviction or after extradition proceedings, may be
disseminated to a federal, state, local, or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person:
(h) A record relating to a case or matter may be disseminated to
a foreign country pursuant to an international treaty or convention
entered into and ratified by the United States or to an executive
agreement;
(i) 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;
(j) A record may be disseminated to a federal agency, in response
to its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter;
(k) A record may be disseminated to the public, news media, trade
associations, or organized groups, when the purpose of the
dissemination is educational or informational, such as descriptions
of crime trends or distinctive or unique modus operandi, provided
that the record does not contain any information identifiable to a
specific individual other than such modus operandi;
(l) 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 apprehending and/or returning a fugitive to a
jurisdiction which seeks his return;
(m) A record that contains classified national security
information and material may be disseminated to persons who are
engaged in historical research projects, or who have previously
occupied policymaking provisions to which they were appointed by the
President, in accordance with the provisions codified in 28 CFR
17.60; and
(n) A record may be accessed by volunteer student workers and
students working under a college work-study program, as is necessary
to enable them to perform their function.
Release of information to the news media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of information to Member of Congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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.
Release of information to the National Archives and Records
Administration:
A record from a system of records may be disclosed as a routine
use to the National Archives and Records Administration (NARA) in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
All information except that specified in this paragraph, is
recorded on basic paper/cardboard material, and stored within manila
file folders, within metal file cabinets, electric file/card
retrievers or safes. Some material is recorded and stored on magnetic
tape, card or other data processing type storage matter for
reproduction later into conventional formats.
Retrievability:
Information is retrieved primarily by name of person, case
number, complaint number or court docket number. Information within
this system of records may be accessed by various U.S. Attorney's
offices and the Executive Office for United States Attorneys by means
of catho-ray tube terminals (CRT's).
Safeguards:
Information in the system is stored in file cabinets in the
United States Attorney's offices. Some materials are located in
locked file drawers and safes, and others in unlocked file drawers.
Offices are locked during non-working hours and are secured by either
Federal Protective Service, United States Postal Service, or private
building guards. Information that is retrievable by CRT's within
various U.S. Attorneys' offices and the Executive Office for United
States Attorneys requires user identification numbers which are
issued to authorized employees of the Department of Justice.
Retention and disposal:
Records are maintained and disposed of in accordance with
Department of Justice retention plans.
System manager(s) and address:
System Manager for the system in each office is the
Administrative Officer/Assistant, for the U.S. Attorney for each
district (See appendix identified as JUSTICE/USA-999).
Notification procedure:
Address inquiries to the System Manager for the judicial district
in which the case or matter is pending (See appendix identified as
JUSTICE/USA-999).
Record access procedures:
A request for access to a record from this system shall be made
in writing with the envelope and the letter clearly marked ``Privacy
Access Request.'' Include in the request the name of the individual
involved, his birth date and place, or any other identifying number
or information which may be of assistance in locating the record and
the name of the case or matter involved, if known. The requester will
also provide a return address for transmitting the information.
Access requests will be directed to the System Manager (See appendix
identified as JUSTICE/USA-999).
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System manager (See
appendix identified as JUSTICE/USA-999) stating clearly and concisely
what information is being contested, the reasons for contesting it,
and the proposed amendment to the information sought.
Record source categories:
Sources of information contained in this system include, but are
limited to, investigative reports of federal, state and local law
enforcement agencies, client agencies of the Department of Justice;
other non-Department of Justice investigative agencies; forensic
reports; statements of witnesses and parties, data, memoranda and
reports from the Courts and agencies thereof; and the work product of
Assistant United States Attorneys, Department of Justice attorneys
and administrative staff of the divisions, offices and bureaus, work
product of secretarial and administrative staff within the U.S.
Attorneys office and the Executive Office for U.S. Attorneys, from
general public referral sources or as provided by members of the
public who participate, assist or observe in pending cases or
matters, or commercial establishments which provide goods or
services, publications and reports from the Department's other
offices, divisions and bureaus and internal U.S. Attorney work
product.
Systems exempted from certain provisions of the act:
None.
JUSTICE/USA-002
System name: A U.S.A. Applicant Files.
System location:
Executive Office for United States Attorneys, U.S. Department of
Justice, 10th & Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
Applicants tentatively selected (by nomination of a U.S.
Attorney) for the position of Assistant U.S. Attorney.
Categories of records in the system:
The system includes the applicants name, status of Bar membership
and dates of receipt, status and final determination on the
appointment of the applicant. The system is arranged chronologically
by date of receipt of file and applicants name.
Authority for maintenance of the system:
These records are kept for administrative convenience pursuant to
5 U.S.C. 301 and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
All uses are internal within the Department.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The material is stored within manila file folders, within metal
file cabinets.
Retrievability:
The system is indexed by name, arranged alphabetically.
Safeguards:
The correspondence is maintained in a room which is occupied by
office personnel during the day and locked at night.
Retention and disposal:
Records are maintained and disposed of in accordance with
Department retention plans.
System manager(s) and address:
Director, Executive Office of United States Attorneys, U.S.
Department of Justice, 10th & Constitution Avenue, NW, Washington, DC
20530.
Notification procedure:
Same as the above.
Record access procedures:
A request for access to a record from this system shall be made
in writing, with the envelope and the letter clearly marked ``Privacy
Access Request.'' Include in the request the name and address as
included in the original letter, together with the current address if
different, the date of the letter and to whom it was addressed.
Requests should be directed to the System Manager listed above.
Contesting record procedures:
Any requests for correction should also be directed to the System
Manager and should indicate the exact correction required.
Record source categories:
Sources of information in this system are the actual letter
received, the response and any transmitted information and
enclosures.
Systems exempted from certain provisions of the act:
None.
JUSTICE/USA-003
System name: Citizen Complaint Files.
System location:
U.S. Attorney's Office, Judiciary Center Bldg., 555 4th St. NW,
Washington, DC 20001; Executive Office for United States Attorneys,
U.S. Department of Justice, 10th & Constitution Avenue, NW.,
Washington, DC 20530.
Categories of individuals covered by the system:
The individuals on whom records are maintained in this system may
be broadly classified in four categories. (1) Those individuals who
have been charged with Federal and D.C. Code violations; (2) those
individuals who are currently under investigation for violations of
Federal and D.C. Code; (3) those individuals about whom complaints
have been made on upon whom investigations were conducted, but no
prosecution was initiated; and (4) complainants.
Categories of records in the system:
A file may consist of a single sheet of paper describing briefly
the nature of a complaint and its disposition or it may consist of a
more comprehensive file containing the results of a hearing,
depending on the complexity or seriousness of the complaint. If the
complaint results in criminal charges being preferred, the contents
of the file are transferred to the appropriate criminal file system.
Authority for maintenance of the system:
5 U.S.C. 301, 28 U.S.C. 547, 23 D.C. Code 101(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows:
(1) In any case in which there is an indication of a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature, the record in question may be disseminated to the appropriate
agency, federal, state, local, or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcement or implementing such laws;
(2) In the course of investigating the potential or actual
violation of any law, whether civil, criminal, or regulatory in
nature, or during the course of a trial or hearing or the preparation
for a trial or hearing for such violation, a record may be
disseminated to a federal, state, local, or foreign agency, or to an
individual, if there is reason to believe that such agency or
individual possesses information relating to the investigation,
trial, or hearing and the dissemination is reasonably necessary to
elicit such information or to obtain the cooperation of a witness or
an informant;
(3) Records or extracts thereof relating to case matters or
matter may be disseminated to a defendant or his attorney or to the
appropriate federal, state, local or foreign court or grand jury in
accordance with established constitutional, substantive, or
procedural law or practice;
(4) 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;
(5) A record relating to a case or matter may be disseminated to
an actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings;
(6) A record relating to a case or matter than has been referred
for investigation may be disseminated to the referring agency to
notify such agency of the status of the case or matter or of any
decision or determination that has been made;
(7) A record relating to a person held arraignment, trial or
sentence, or after conviction, may be disseminated to a federal,
state, local, or foreign prison, probation, parole, bail or pardon
authority, or to any agency or individual, concerned with the custody
maintenance, transportation, or release of such person;
(8) A record relating to a case or matter may be disseminated to
a foreign country pursuant to an international treaty or convention
entered into and ratified by the United States;
(9) A record may be disseminated to a federal, state, local, or
foreign 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;
(10) A record may be disseminated to a federal agency, in
response to its request, in connection with the hiring or retention
of an employee, the issuance of a security clearance, the reporting
of an investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter;
(11) A record may be accessed by volunteer student workers and
students working under a college work-study program, as is necessary
to enable them to perform their function.
(12) Release of information to the news media: Information
permitted to be released to the news media and the public pursuant to
28 CFR 50.2 may be made available from systems of records maintained
by the Department of Justice 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.
(13) Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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 and;
(14) Release of information to the National Archives and Records
Administration (NARA) and the General Services Administration (GSA):
A record from a system of records may be disclosed as a routine use
to NARA and GSA in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Citizen complaint files are maintained in one of two ways; either
on a single sheet which is a record of the complaint and disposition
thereof or in complaints which result in further proceedings, a file
folder would be established. Some material is recorded and stored on
magetic tape, card or other data processing type storage matter for
reproduction later into conventinal formats and for management
information purposes.
Retrievability:
Information is retrieved either by the name of a complainant, the
name of a person about whom a complaint is registered or by a
complaint number. If further proceedings are conducted with respect
to a citizen's complaint and the complaint materializes into a
criminal action, the file folder will become part of the criminal
files and then is retrievable in the same manner as any criminal file
is retrieved. Information may be accessed by means of cathode-ray
tube terminals (CRT'S).
Safeguards:
Information contained in the system is unclassified. It is
safeguarded and protected by being maintained in files at the Citzens
Complaint Center, and the Legal Services section of the Executive
Office for United States Attorneys, which is manned at all times when
it is open and at other times is locked. More sensitive files that
materialize into hearings or require further action by the
Misdemeanor Trial Section of the Superior Court Division, or the
Executive Office for United States Attorneys, are maintained by the
Chief of the Misdemanor Trial Section in his office in Building B of
the Superior Court, or the Assistant Director for Legal Services,
Executive Office for United States Attorneys in his safe. Information
that is retrievable by CRT's within various U.S. Attorneys' offices
and the Executive Office for United States Attorneys require user
identification numbers which are issued to authorized employees of
the Department of Justice.
Retention and disposal:
Files are retained and disposed of in accordance with Title 3,
U.S. Attorney's Manual.
System manager(s) and address:
Chief, Misdemeanor Trial Section, U.S Attorney's Office, Superior
Court, Operations, 555 4th St. NW, Washington, DC 20001; Director,
Executive Office for United States Attorneys, U.S. Department of
Justice, 10th & Constitution Avenue, NW, Washington, DC 20530.
Notification procedure:
Address inquiries to the System Manager.
Record access procedures:
The major part of these systems are exempt from this requirement
under 5 U.S.C. 552a (j)(2),(k)I1) and/or (k)(2). To the extent that
this system is not subject to exemption, it is subject to access. A
determination as to exemption shall be made at the time a request for
access is received. A request for access to a record from this system
shall be made in writing, with the envelope and the letter clearly
marked ``Privacy Access Request.'' Include in the request the general
subject matter of the document or its file number. The requestor will
also provide a return address for transmitting the information.
Access requests will be directed to the System Manager listed above.
Contesting record procedures:
The major parts of these systems are exempt from this requirement
under 5 U.S.C. 552a (j)(2),(k)(1) and/or (k)(2). To the extent that
this system is not subject to exemption, it is subject to contest. A
determination as to exemption shall be made at the time a request for
contest is received. Individuals desiring to contest or amend
information maintained in the system should direct their request to
the System Manager listed above, stating clearly and concisely what
information is being contested, the reasons for contesting it, and
the proposed amendment to the information sought.
Record source categories:
Sources of information contained in this system come primarily
from citizens walking into this unit to register complaints. Sources
also include but are not limited to investigative reports of federal,
state and local law enforcement agencies, forensic reports,
statements of witnesses and parties, as well as verbatim transcripts
for grand jury proceedings and court proceedings, memoranda and
reports from the court and agencies thereof and the work product of
Assistant United States Attorneys and legal assistants working on
particular cases.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5)
and (8), (f), (g) and (h) of the Privacy Act pursuant to 5 U.S.C.
552a (j)(2) and (k)(1) and (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.
JUSTICE/USA-005
System name:
Civil Case Files.
System location:
Ninety-four United States Attorneys' Offices (See Appendix
identified as Justice/USA-999), Executive Office for United States
Attorneys, U.S. Department of Justice, 10th and Constitution Avenue,
NW, Washington, DC 20530.
Categories of individuals covered by the system:
(a) Individuals being investigated in anticipation of Civil
suits; (b) Individuals involved in Civil suits; (c) Defense
Counsel(s); (d) Information sources; (e) Individuals relevant to the
development of Civil suits.
Categories of records in the system:
(a) All Civil Case Files (USA-34); (b) Docket Cards (USA-116);
(c) Civil Debtor Cards--(USA-117b); (d) Civil Case Activity Card
(USA-164); (e) Civil Debtor Activity Card (USA-166); (f) 3 x 5 Index
Cards; (g) Caseload Printouts; (h) General Correspondence re: Civil
Cases; (i) Reading Files re: Civil Cases; (j) Information Source
File; (k) Attorney Assignment sheets; (l) Telephone records; (m)
Miscellaneous Investigative files; (n) Lands condemnation files
(Appraisal and Negotiator Reports); (o) Tax Case Resource File; (p)
Material in Civil File related to Criminal cases arising out of Civil
Proceedings; (q) Search Warrants; (r) Files unique to District; (s)
Civil Miscellaneous Correspondence File.
Authority for maintenance of the system:
These systems are established and maintained pursuant to 5 U.S.C.
301, 28 U.S.C. 547 and 44 U.S.C. 3101.
Purpose(s):
Records are maintained for the purpose of litigating or otherwise
resolving civil cases or matters handled by the United States
Attorneys or the Executive Office for United States Attorneys.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows:
(a) In any case in which there is an indication of a violation or
potential violation of law, civil, or regulatory in nature, the
record in question may be disseminated to the appropriate Federal,
State, local or foreign agency charged with the responsibility of
investigating, defending or pursuing such violation, civil claim or
remedy, or charged with enforcing, defending or implementing such
law;
(b) In the course of investigating the potential or actual
violation or civil liability of any government action or law, civil,
or regulatory in nature or during the course of a trial or hearing or
the preparation for a trial or hearing for such civil action, a
record may be disseminated to a Federal, State, local, or foreign
agency, or to an individual or organization, if there is reason to
believe that such agency, individual, or organization possesses
information relating to the investigation or civil action trial, or
hearing and the dissemination is reasonably necessary to elicit such
information or to obtain the cooperation of a witness or an agency;
(c) 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;
(d) 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;
(e) A record relating to a case or matter may be disseminated to
an actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, or informal discovery proceedings;
(f) A record relating to a case or matter that has been referred
by an agency for investigation, civil action, 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;
(g) A record relating to a case or matter may be disseminated to
a foreign country pursuant to an international treaty or convention
entered into and ratified by the United States or to an executive
agreement;
(h) 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 or to assist
in general civil matters or cases;
(i) A record may be disseminated to a Federal agency, in response
to its request, in connection with the hiring or retention of an
employee, the issuance of security clearance as is required, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant, or other benefit by
the requesting agency, to the extent that the information relates to
the requesting agency's decision on the matter;
(j) A record may be disseminated to the public, news media, trade
associations, or organized groups, when the purpose of the
dissemination is educational or informational, such as descriptions
of types or courses of action or distinctive or unique modus
operandi, provided that the record does not contain any information
identifiable to a specific individual other than such modus operandi;
(k) 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 general crime prevention, the pursuit of general
civil, regulatory or administrative civil actions or to provide
investigative leads to such country, or assist in the location and/or
returning of witnesses and other evidence;
(l) A record that contains classified national security
information and material may be disseminated to persons who are
engaged in historical research projects, or who have previously
occupied policy making positions to which they were appointed by the
President, in accordance with the provisions codified in 28 CFR
17.96;
(m) A record relating to an actual or potential civil or criminal
violation of title 17, United States Code, may be disseminated to a
person injured by such violation to assist him in the institution or
maintenance of a suit brought under such title;
(n) A record may be accessed by volunteer student workers and
students working under a college work-study program, as is necessary
to enable them to perform their function;
(o) A record, or facts derived therefrom, may be disseminated in
a proceeding before a court or adjudicative body before which the
United States Attorney's office or the Executive Office for U.S.
Attorneys is authorized to appear when (i) the United States
Attorney's office or the Executive Office for U.S. Attorneys, or any
subdivision thereof, or (ii). any employee of the United States
Attorney's office or the Executive Office for U.S. Attorneys in his
or her official capacity, or (iii). any employee of the United States
Attorney's office or the Executive Office for U.S. Attorneys in his
or her individual capacity where the Department of Justice has agreed
to represent the employee, or (iv). the United States, where the
United States Attorney's office or the Executive Office for U.S.
Attorneys determines that the litigation is likely to affect it or
any of its subdivisions, is a party to litigation or has an interest
in litigation and such records are determined by the United States
Attorney's office or the Executive Office for U.S. Attorneys to be
arguably relevant to the litigation;
(p) A record, or facts derived therefrom, may be disseminated in
a proceeding before a court or adjudicative body before which the
United States Attorney's Office is authorized to appear, when the
United States, or any agency or subdivision thereof, is a party to
litigation or has an interest in litigation and such records are
determined by the United States Attorney's Office to be arguably
relevant to the litigation;
(q) In any health care related civil or criminal case,
investigation, or matter, information indicating patient harm,
neglect, or abuse, or poor or inadequate quality of care, at a health
care facility or by a health care provider, may be disclosed as a
routine use to any federal, state, local, tribal, foreign, joint,
international or private entity that is responsible for regulating,
licensing, registering, or accrediting any health care provider or
health care facility, or enforcing any health care related laws or
regulations. Further, information indicating an ongoing quality of
care problem by a health care provider or at a health care facility
may be disclosed to the appropriate health plan. Additionally, unless
otherwise prohibited by applicable law, information indicating
patient harm, abuse or poor or inadequate quality of care may be
disclosed to the affected patient or his or her representative or
guardian at the discretion of and in the manner determined by the
agency in possession of the information;
(r) Records relating to an individual who owes an overdue debt to
the United States may be disseminated to (1) a Federal agency which
employs the individual to enable the employing agency to offset the
individual's salary, (2) a Federal, State, local or foreign agency,
an organization, including a consumer reporting agency, or individual
to elicit information to assist the United States Attorney in the
collection of the overdue debt, (3) a collection agency or private
counsel to enable them to collect the overdue debt, and (4) the
Internal Revenue Service (IRS) to enable that agency to offset the
individual's tax refund. Records provided to the IRS may be used in a
computer matching program to identify individuals who are entitled to
refunds against which such offset for overdue debts would be
appropriate;
(s) Information permitted to be released to the news media and
the public pursuant to 28 CFR 50.2 may be made available 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;
(t) Information not otherwise required to be released pursuant to
5 U.S.C. 552, may be made available 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 this record;
(u) A record may be disclosed as a routine use to the National
Archives and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906; and Notice
of disclosure under subsection (b)(12) of the Privacy Act: Records
relating to individuals who owe a past-due debt to the United States
may be disseminated to consumer reporting agencies to encourage
payment of the past-due debt.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information relating to health care fraud may be disclosed to
private health plans, or associations of private health plans, and
health insurers, or associations of health insurers, for the
following purposes: to promote the coordination of efforts to
prevent, detect, investigate, and prosecute health care fraud; to
assist efforts by victims of health care fraud to obtain restitution;
to enable private health plans to participate in local, regional, and
national health care fraud task force activities; and to assist
tribunals having jurisdiction over claims against private health
plans.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system
Storage:
All information, except that specified in this paragraph, is
recorded on basic paper/cardboard material, and stored within manila
file folders, within metal file cabinets, electric file/card
retrievers or safes. Some material is recorded and stored on magnetic
tape, card or other data processing type storage matter for
reproduction later into conventional formats.
Retrievability:
Information is retrieved primarily by name of person, case
number, complaint number or court docket number. Information within
this system of records may be accessed by various U.S. Attorneys'
offices, and the Executive Office for United States Attorneys by
means of cathode-ray tube terminals (CRT's).
Safeguards:
Information in the system is both confidential and
nonconfidential and located in file cabinets in the United States
Attorney offices.
Confidential materials are in locked file drawers and safes, and
nonconfidential materials are in unlocked file drawers. Offices are
locked during nonworking hours and are secured by either Federal
Protective Service, United States Postal Service, or private building
guards. Information that is retrievable by CRT's within various U.S.
Attorney's offices and the Executive Office for United States
Attorneys requires user identification numbers which are issued to
authorized employees of the Department of Justice.
Retention and disposal:
Records are destroyed ten years after case is closed in
accordance with approved retention and disposal schedules.
System manager(s) and address:
System Manager for the system in each office is the
Administrative Officer/Assistant, for the U.S. Attorney for each
district. (See appendix.)
Notification procedure:
Address inquiries to the System Manager for the judicial district
in which the case or matter is pending. (See appendix.)
Record access procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a (j)(2), (k)(1) and/
or (k)(2). To the extent that this system is not subject to
exemption, it is subject to access. A determination as to examination
shall be made at the time a request for access is received. A request
for access to a record from this system shall be made in writing,
with the envelope and the letter clearly marked ``Privacy Access
Request.'' Include in the request the name of the individual
involved, his birth date and place, or any other identifying number
or information which may be of assistance in locating the record and
the name of the case or matter involved, if known. The requestor will
also provide his or her notarized signature and a return address for
transmitting the information. Access requests will be directed to the
System Manager. (See appendix.)
Contesting record procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a (j)(2), (k)(1) and/
or (k)(2). To the extent that this system is not subject to
exemption, it is subject to contest. A determination as to exemption
shall be made at the time a request for contest is received.
Individuals desiring to contest or amend information maintained in
the system should direct their request to the System Manager (see
appendix) stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in this system include, but are
not limited to, investigative reports of Federal, State, and local
law enforcement, civil litigation, regulatory and administrative
agencies; client agencies of the Department of Justice; other non-
Department of Justice investigative agencies: forensic reports;
statements of witnesses and parties; verbatim transcripts of
deposition and court proceedings; date, memoranda and reports from
the court and agencies thereof; and the work product of Assistant
United States Attorneys, Department of Justice attorneys and staff,
and legal assistants working on particular cases.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e)
(5) and (8), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a
(j)(2) and (k) (1) and (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.
JUSTICE/USA-006
System name: Consumer Complaints.
System location:
U.S. Attorney's Office, Judiciary Center Bldg., 555 4th St. NW,
Washington, DC 20001.
Categories of individuals covered by the system:
The individuals on whom records are maintained in this system may
be broadly classified in four categories: (1) Those individuals who
have been charged with Federal and D.C. Code violations; (2) Those
individuals who are currently under investigation for violations of
Federal and D.C. Code; (3) Those individuals upon whom investigations
were conducted, but no prosecution was initiated; and (4)
Complainants.
Categories of records in the system:
The system contained allegations of consumer fraud by citizens of
the District of Columbia Metropolitan area. It includes names,
addresses, and the substance of the complaints.
Authority for maintenance of the system:
5 U.S.C. 301.28 U.S.C. 547.23 D.C. Code 101(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in the system of records may be disseminated
as a routing use of such record as follows:
(1) In any case in which there is an indication of a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature, the record in question may be disseminated to the appropriate
agency, federal, state, local, or foreign, charged with enforcing or
implementing such law;
(2) In the course of investigating the potential or actual
violation of any law, whether civil, criminal, or regulatory in
nature, or during the course of a trial or hearing or the preparation
for a trial or hearing for such violation, a record may be
disseminated to a federal, state, local, or foreign agency, or to an
individual, if there is reason to believe that such agency or
individual possesses information relating to the investigation,
trial, or hearing and the dissemination is reasonably necessary to
elicit such information or to obtain the cooperation of a witness or
an informant;
(3) Records of extracts thereof relating to a case or matter may
be disseminated to a defendant or his attorney or to the appropriate
federal, state, local, or foreign, court or grand jury in accordance
with established constitutional, substantive, or procedural law or
practice;
(4) 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;
(5) A record relating to a case or matter may be disseminated to
an acutal or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings;
(6) A record relating to a case or matter that has been referred
for investigation may be disseminated to the referring agency to
notify such agency of the status of the case or matter or of any
decision or determination that has been made;
(7) A record relating to person held pending arraignment, trial
or sentence, or after conviction, may be disseminated to a federal,
state, local or foreign prison, probation parole, bail or pardon
authority, or to any agency or individual concerned with the custody
maintenance, transportation, or release of such a person;
(8) A record relating to a case or matter may be disseminated to
a foreign country pursuant to an international treaty of convention
entered into or ratified by the United States;
(9) A record may be disseminated to federal, state, local, or
foreign 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;
(10) A record may be disseminated to a federal agency, in
response to its request, in connection with the hiring or retention
of an employee, the issuance of a security clearance, the reporting
of an investigation of an employee, the letting of a contract, or the
issuance of a license, grant or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; and
(11) A record may be accessed by volunteer student workers and
students working under a college work-study program, as is necessary
to enable them to perform their function.
(12) Release of information to the news media: Information
permitted to be released to the news media and the public pursuant to
28 CFR 50.2 may be made available from systems of records maintained
by the Department of Justice 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.
(13) Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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 and;
(14) Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information relating to health care fraud may be disclosed to
private health plans, or associations of private health plans, and
health insurers, or associations of health insurers, for the
following purposes: to promote the coordination of efforts to
prevent, detect, investigate, and prosecute health care fraud; to
assist efforts by victims of health care fraud to obtain restitution;
to enable private health plans to participate in local, regional, and
national health care fraud task force activities; and to assist
tribunals having jurisdiction over claims against private health
plans.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in this system is stored in the Fraud
Section of the U.S. Attorney's Office.
Retrievability:
Information is retrieved via a cross-index by complainant and
potential defendant.
Safeguards:
Information contained in this system is unclassified. It is
protected in accordance with Departmental rules and is safeguarded in
the U.S. Attorney's Office in the Fraud Section.
Retention and disposal:
The records are stored for a period of at least the statute of
limitations for the offense charged.
System manager(s) and address:
Chief, Fraud Division, U.S. Attorney's Office, Judiciary Center
Bldg., 555 4th Street, NW, Washington, DC 20001.
Notification procedure:
Address inquiries to the System Manager.
Record access procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a (j)(2), (k)(1) and/
or (k)(2). To the extent that this system is not subject to
exemption, it is subject to access. A determination as to exemption
shall be made at the time a request for access is received. A request
for access to a record from this system shall be made in writing,
with the envelope and the letter clearly marked ``Privacy Access
Request.'' Include in the request the general subject matter of the
document or its file number. The requestor will also provide a return
address for transmitting the information. Access requests will be
directed to the System Manager listed above.
Contesting record procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a (j)(2), (k)(1) and/
or (k)(2). To the extent that this system is not subject to
exemption, it is subject to contest. A determination as to exemption
shall be made at the time a request for contest is received.
Individuals desiring to contest or amend information maintained in
the system should direct their request to the System Manager listed
above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
The sources of information contained in this system are
complaints referred to the U.S. Attorney's Office by citizens and
consumer protection agencies.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5)
and (8), (f), (g) and (h) of the Privacy Act pursuant to 5 U.S.C.
552a (j)(2) and (k)(1) and (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.
JUSTICE/USA-007
System name:
Criminal Case Files.
System location:
Ninety-four United States Attorneys' Offices (See Appendix
identified as Justice/USA-999); Executive Office for United States
Attorneys, U.S. Department of Justice, 10th and Constitution Avenue
NW, Washington, DC 20530; and posted on the internet website of the
EOUSA at http://www.usdoj.gov/eousa.
Categories of individuals covered by the system:
(a) Individuals charged with violations; (b) Individuals being
investigated for violations; (c) Defense Counsel(s); (d) Information
Sources; (e) Individuals relevant to development of Criminal Cases;
(f) Individuals investigated, but prosecution declined; (g)
Individuals referred to in potential or actual cases and matters of
concern to a U.S. Attorney's Office; (h) Individuals placed into the
Department's Pretrial Diversion program.
Categories of records in the system:
(a) All case files (USA-33); (b) Docket Cards (USA-115); (c)
Criminal Debtor Cards (USA-117a); (d) Criminal Case Activity Card
(USA-163); (e) Criminal Debtor Activity Card (USA-164); (f) 3 by 5
Index Cards; (g) Caseload Printouts; (h) Attorney Assignment Sheets;
(i) General Correspondence re: Criminal Cases; (j) Reading Files re:
Criminal Cases; (k) Grand Jury Proceedings; (l) Miscellaneous
Investigative Reports; (m) Information Source Files; (n) Parole
Recommendations; (o) Immunity Requests; (p) Witness Protection Files;
(q) Wiretap Authorizations; (r) Search Warrants; (s) Telephone
Records; (t) Criminal Complaints; (u) Sealed Indictment Records; (v)
Files Unique to a District; (w) Criminal Miscellaneous Correspondence
File; (x) Prosecution Declined Reports.
Authority for maintenance of the system:
These systems are established and maintained pursuant to 5 U.S.C.
301, 28 U.S.C. 547 and 44 U.S.C. 3101.
Purpose(s):
Records are maintained for the purpose of prosecuting or
otherwise resolving criminal cases or matters handled by the United
States Attorneys.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows:
(a) In any case in which there is an indication of a violation or
potential violation of law, criminal, or regulatory in nature, the
record in question may be disseminated to the appropriate Federal,
state, local, or foreign agency charged with the responsibility for
investigating or prosecuting such violation or charged with enforcing
or implementing such law;
(b) In the course of investigating the potential or actual
violations of any law, criminal, civil, or regulatory in nature, or
during the course of a trial or hearing or the preparation for a
trial or hearing for such violation, a record may be disseminated to
a Federal, state, local, or foreign agency, or to an individual or
organization, if there is reason to believe that such agency,
individual, or organization possesses information relating to the
investigation, trial, or hearing and the dissemination is reasonably
necessary to elicit such information or to obtain the cooperation of
a witness or an informant;
(c) 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;
(d) 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;
(e) A record relating to a case or matter may be disseminated to
an actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings;
(f) 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;
(g) A record relating to a person held in custody pending or
during arraignment, trial, sentence, or extradition proceedings, or
after conviction or after extradition proceedings, may be
disseminated to a Federal, state, local, or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person;
(h) A record relating to a case or matter may be disseminated to
a foreign country pursuant to an international treaty or convention
entered into and ratified by the United States or to an executive
agreement;
(i) 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;
(j) A record may be disseminated to a Federal agency, in response
to its request, in connection with the hiring or retention of any
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter;
(k) A record may be disseminated to the public, news media, trade
associations, or organized groups, when the purpose of the
dissemination is educational or informational, such as descriptions
of crime trends or distinctive or unique modus operandi: Provided
that the record does not contain any information identifiable to a
specific individual other than such modus operandi;
(l) 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 and/or returning a fugitive to a jurisdiction which
seeks his return;
(m) A record that contains classified national security
information and material may be disseminated to persons who are
engaged in historical research projects, or who have previously
occupied policy making positions to which they were appointed by the
President, in a accordance with the provisions codified in 28 CFR
17.96;
(n) A record relating to an actual or potential civil or criminal
violation of title 17, United States Code, may be disseminated to a
person injured by such violation to assist him in the institution or
maintenance of a suit brought under such title;
(o) Information permitted to be released to the news media and
the public pursuant to 28 CFR 50.2 may be made available 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;
(p) Information not otherwise required to be released pursuant to
5 U.S.C. 552 may be made available 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;
(q) A record may be disclosed as a routine use to the National
Archives and Records Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906;
(r) A record may be accessed by volunteer student workers and
students working under a college work-study program, as is necessary
to enable them to perform their function;
(s) A record, or facts derived therefrom, may be disseminated in
a proceeding before a court or adjudicative body before which the
United States Attorney's office or the Executive Office for U.S.
Attorneys is authorized to appear when i. the United States
Attorney's office or the Executive Office for U.S. Attorneys, or any
subdivision thereof, or ii. any employee of the United States
Attorney's office or the Executive Office for U.S. Attorneys in his
or her official capacity, or iii. any employee of the United States
Attorney's office or the Executive Office for U.S. Attorneys in his
or her individual capacity where the Department of Justice has agreed
to represent the employee, or iv. the United States, where the United
States Attorney's office or the Executive Office for U.S. Attorneys
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by the United States
Attorney's office or the Executive Office for U.S. Attorneys to be
arguably relevant to the litigation;
(t) A record, or facts derived therefrom, may be disseminated in
a proceeding before a court or adjudicative body before which the
United States Attorney's office is authorized to appear, when the
United States, or any agency or subdivision thereof, is a party to
litigation or has an interest in litigation and such records are
determined by the United States Attorney's office to be arguably
relevant to the litigation;
(u) In any health care related civil or criminal case,
investigation, or matter, information indicating patient harm,
neglect, or abuse, or poor or inadequate quality of care, at a health
care facility or by a health care provider, may be disclosed as a
routine use to any federal, state, local, tribal, foreign, joint,
international or private entity that is responsible for regulating,
licensing, registering, or accrediting any health care provider or
health care facility, or enforcing any health care related laws or
regulations. Further, information indicating an ongoing quality of
care problem by a health care provider or at a health care facility
may be disclosed to the appropriate health plan. Additionally, unless
otherwise prohibited by applicable law, information indicating
patient harm, abuse or poor or inadequate quality of care may be
disclosed to the affected patient or his or her representative or
guardian at the discretion of and in the manner determined by the
agency in possession of the information.
(v) Records relating to an individual who owes an overdue debt to
the United States may be disseminated to (1) a Federal agency which
employs the individual to enable the employing agency to offset the
individual's salary, (2) a Federal, State, local or foreign agency,
an organization, including a consumer reporting agency, or individual
to elicit information to assist the United States Attorney in the
collection of the overdue debt, (3) a collection agency or private
counsel to enable them to collect the overdue debt, and (4) the
Internal Revenue Service (IRS) to enable that agency to offset the
individual's tax refund. Records provided to the IRS may be used in a
computer matching program to identify individuals who are entitled to
refunds against which such offset for overdue debts would be
appropriate; and Notice of disclosure under Subsection (b)(12) of the
Privacy Act: Records relating to individuals who owe a past-due debt
to the United States may be disseminated to consumer reporting
agencies to encourage payment of the past-due debt.
(w) information may be disclosed to complainants and victims to
the extent necessary to provide them with information concerning the
progress or results of the investigation or case arising from the
matters of which they complained or were the victim.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
All information except that specified in this paragraph, is
recorded on basic paper/cardboard material, and stored within manila
file folders, within metal file cabinets, electric file/card
retrievers or safes. Some material is recorded and stored on magnetic
tape, card or other data processing type storage matter for
reproduction later into conventional formats.
Retrievability:
Information is retrieved primarily by name of person, case
number, compliant number of court docket number. Information within
this system of records may be accessed by various U.S. Attorney's
offices and the Executive Office for United States Attorneys by means
of catho-ray tube terminals (CRTs).
Safeguards:
Information in the system is both confidential and non-
confidential and located in file cabinets in the United States
Attorney offices.
Confidential materials are in locked file drawers and safes, and
nonconfidential materials are in unlocked file drawers. Offices are
locked during non-working hours and are secured by either Federal
Protective Service, United States Postal Service, or private building
guards. Information that is retrievable by CRTs within various U.S.
Attorney's offices and the Executive Office for United States
Attorneys requires user identification numbers which are issued to
authorized employees of the Department of Justice.
Retention and disposal:
Case files involving no sentence, or sentences of ten years or
less, are destroyed ten years after case is closed. Case files
involving sentences of more than ten years are destroyed one year
after the date of termination of sentence. Both are in accordance
with approved retention and disposal schedules.
System manager(s) and address:
System manager for the system in each office is the
Administrative Office/Assistant, for the U.S. Attorney for each
district (See appendix or EOUSA internet address of http://
www.usdoj.gov/eousa).
Notification procedure:
Address inquiries to the System Manager for the judicial district
in which the case or matter is pending (See appendix or EOUSA
internet address of http://www.usdoj.gov/eousa).
Record access procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1) and/or
(k)(2). To the extent that this system is not subject to exemption,
it is subject to access. A determination as to exemption shall be
made at the time a request for access is received. A request for
access to a record from this system shall be made in writing, with
the envelope and the letter clearly marked ``Privacy Access
Request.'' Include in the request the name of the individual
involved, his birth date and place, or any other identifying number
or information which may be of assistance in locating the record and
the name of the case or matter involved, if known. The requester will
also provide his or her notarized signature and a return address for
transmitting the information. Access requests will be directed to the
System Manager (See appendix).
Contesting record procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1) and/or
(k)(2).
To the extent that this system is not subject to exemption, it is
subject to contest. A determination as to exemption shall be made at
the time a request for contest is received. Individuals desiring to
contest or amend information maintained in the system should direct
their request to the System Manager (See Appendix) stating clearly
and concisely what information is being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Record source categories:
Sources of information contained in this system include, but are
not limited to, investigative reports of federal, state and local law
enforcement agencies; client agencies of the Department of Justice;
other non-Department of Justice investigative agencies; forensic
reports; statements of witnesses and parties; verbatim transcripts of
Grand Jury and court proceedings; data, memoranda and reports from
the Court and agencies thereof; and the work product of Assistant
United States Attorneys, Department of Justice attorneys and staff,
and legal assistants working on particular cases.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsection (c)
(3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e) (5)
and (8), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2)
and (k) (1) and (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.
JUSTICE/USA-009
System name: Kline--District of Columbia and Maryland--Stock and
Land Fraud Interrelationship Filing System.
System location:
U.S. Attorney's Office, Judiciary Center Bldg., 555 4th Street,
NW, Washington, DC 20001.
Categories of individuals covered by the system:
The individuals on whom records are maintained in this system may
be broadly classified in three categories: (1) Those individuals who
have been charged with Federal and D.C. Code violations; (2) Those
individuals who are currently under investigation for violations of
Federal and D.C. Code; (3) Those individuals upon whom investigations
were conducted, but no prosecution was initiated. These include but
are not limited to possible witnesses, corporate entities, corporate
employees, business contacts, financial institutions and governmental
contacts.
Categories of records in the system:
The system contains an index record for individual names and
types of transactions with named individuals.
Authority for maintenance of the system:
5 U.S.C. 301, 28 U.S.C. 547, 23 D.C. Code 101(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows:
(1) In any case in which there is an indication of a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature, the record in question may be disseminated to the appropriate
agency, federal, state, local, or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing such law;
(2) In the course of investigating the potential or actual
violation of any law, whether civil, criminal, or regulatory in
nature, or during the course of a trial or hearing or the preparation
for a trial or hearing for such violation, a record may be
disseminated to a federal, state, local, or foreign agency, or to an
individual, if there is reason to believe that such agency or
individual possesses information relating to the investigation,
trial, or hearing and the dissemination is reasonably necessary to
elicit such information or to obtain the cooperation of a witness or
an informant;
(3) Records or extracts thereof relating to a case or matter may
be disseminated to a defendant or his attorney or to the appropriate
federal, state, local, or foreign, court or grand jury in accordance
with established constitutional, substantive, or procedural law or
practice;
(4) 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;
(5) A record relating to a case of matter may be disseminated to
an actual or potential party or his attorney for the purpose of
negotiations or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings;
(6) A record relating to a case or matter that has been referred
for investigation may be disseminated to the referring agency to
notify such agency of the status of the case or matter or of any
decision or determination that has been made;
(7) A record relating to a person held pending arraignment, trial
or sentence, or after conviction, may be disseminated to a federal,
state, local, or foreign prison, probation, parole, bail or pardon
authority, or to any agency or individual concerned with the custody
maintenance, transportation, or release of such a person;
(8) A record relating to a case or matter may be disseminated to
a foreign country pursuant to an international treaty or convention
entered into and ratified by the United States;
(9) A record may be disseminated to a federal, state, local, or
foreign 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;
(10) A record may be disseminated to a federal agency, in
response to its request, in connection with the hiring or retention
of an employee, the issuance of a security clearance, the reporting
of an investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; and
(11) A record may be accessed by volunteer student workers and
students working under a college work-study program, as is necessary
to enable them to perform their function.
(12) Release of information to the news media: Information
permitted to be released to the news media and the public pursuant to
28 CFR 50.2 may be made available from systems of records maintained
by the Department of Justice 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.
(13) Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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 and;
(14) Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information maintained in the system is stored electronically in
the Department of Justice Juris System.
Retrievability:
Information is retrieved primarily by referencing the
individuals' names who participated in the business transactions.
Safeguards:
Information contained in this system is protected as though it
was classified as confidential. It is accessible only to holders of
the entry code: the only holders of the code are the U.S. Attorney's
Offices for the District of Columbia and Maryland.
Retention and disposal:
The records are to be retained for the period of usefulness as
determined by the U.S. Attorney's Office.
System manager(s) and address:
Chief, Fraud Division, U.S. Attorney's Office, Judiciary Center
Bldg. 55 4th Street NW, Washington DC 20001.
Notification procedure:
All inquiries should be addressed to the System Manager.
Record access procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a. (j)(2), (k)(l),
and/or (k)(2). To the extent that this system is not subject to
exemption, it is subject to access. A determination as to exemption
shall be made at the time a request for access is received. A request
for success to a record from this system shall be made in writting,
with the envelope and the letter clearly marked ``Privacy Access
Request.'' Include in the request the general subject matter of the
document or its file number. The requestor will also provide a return
address for transmitting the information. Access requests will be
directed to the System Manager listed above.
Contesting record procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1), and/
or (k)(2). To the extent that this system is not subject to
exemption, it is subject to contest. A determination as to exemption
shall be made at the time a request for contest is received.
Individuals desiring to contest or amend information maintained in
the system should direct their request to the System Manager listed
above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Source of information contained in this system are individuals
who have cooperated with the U.S. Attorney's Office in the
investigation of criminal activity.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G), and (H), (e)(5),
and (8), (f), (g), and (h) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2), and (k)(1) and (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.
JUSTICE/USA-010
System name: Major Crimes Division Investigative Files.
System location:
U.S. Attorney's Office, Judiciary Center Bldg., 555 4th St., NW,
Washington, DC 20001.
Categories of individuals covered by the system:
The individuals on whom records are maintained in the Major
Crimes Division Investigative Files may be broadly classified in four
categories: (1) Those individuals who have been charged with Federal
and D.C Code violations; (2) those individuals who are currently
under investigation for violations of Federal and D.C. Code; (3)
those individuals upon whom investigations were conducted, but no
prosecution was initiated; and (4) other informants.
Categories of records in the system:
In addition to the standard files maintained in accordance with
the U.S. Attorney's Manual and the Department of Justice Docket and
Reporting System, there are also maintained in the Major Crimes
Division of this office certain investigative and intelligence files.
The type of information maintained is identifying data, criminal
records, intelligence compiled for the purpose of investigation of
criminal offenses, criminal investigative reports, informant
debriefing summaries, and information provided in confidence during
investigative and prosecutive states of criminal cases.
Authority for maintenance of the system:
5. U.S.C. 301, 28 U.S.C. 547.23 D.C. Code 101(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows:
(1) In any case in which there is an indication of a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, the record in question may be disseminated to the appropriate
agency, federal, state local, or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing such law;
(2) In the course of investigating the potential or actual
violation of any law, whether civil, criminal or regulatory in
nature, or during the course of a trial or hearing or the preparation
for a trial or hearing for such violation, a record may be
disseminated to a federal, state, local, or foreign agency, or to an
individual, if there is reason to believe that such agency or
individual possesses information relating to the investigation,
trial, or hearing and the dissemination is reasonably necessary to
elicit such information or to obtain the cooperation of a witness or
an informant.
(3) Records or extracts thereof relating to a case or matter may
be disseminated to a defendant or his attorney or to the appropriate
federal, state, local or foreign, court or grand jury in accordance
with established constitutional, substantive, or procedural law or
practice;
(4) 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;
(5) A record relating to a case or matter may be disseminated to
an actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings;
(6) A record relating to a case or matter that has been referred
for investigation may be disseminated to the referring agency to
notify such agency of the status of the case or matter or of any
decision or determination that has been made;
(7) A record relating to a person held pending arraignment, trial
or sentence, or after conviction, may be disseminated to a federal,
state, local, or foreign prison, probation, parole, bail or pardon
authority, or to any agency or individual concerned with the custody
maintenance, transportation, or release of such a person;
(8) A record relating to a case or matter may be disseminated to
a foreign country pursuant to an international treaty or convention
entered into and ratified by the United States;
(9) A record may be disseminated to a federal, state, local, or
foreign 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;
(10) A record may be disseminated to a federal agency, in
response to its request, in connection with the hiring or retention
of an employee, the issuance of a security clearance, the reporting
of an investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; and
(11) A record may be accessed by volunteer student workers and
students working under a college work-study program, as is necessary
to enable them to perform their function.
(12) Release of information to the news media: Information
permitted to be released to the news media and the public pursuant to
28 CFR 50.2 may be made available from systems of records maintained
by the Department of Justice 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.
(13) Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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 and;
(14) Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The information is maintained in memorandum form in file folders.
Retrievability:
Information is retrieved primarily by the name of a person,
complaint number, court docket number, FBI number, Metropolitan
Police Department identification number and District of Columbia
Department of Corrections number.
Safeguards:
Information contained in the system is both unclassified and
classified and is safeguarded and protected by being maintained in
tumbler locked file safes in the Major Crimes Division which is
manned during all times that it is open and at other times is locked.
This room is located in the U.S. Courthouse which is guarded by the
Federal Protective Service twenty four hours a day with roving
patrols during non-working hours.
Retention and disposal:
Files are retained and disposed of in accordance with Title 8,
U.S. Attorney's Manual, pages 70-77.
System manager(s) and address:
Chief, Major Crimes Division, U.S. Attorney's Office, Judiciary
Center Bldg., 555 4th Street, NW, Washington, DC 20001.
Notification procedure:
Address inquiries to the System Manager.
Record access procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1), and/
or (k)(2). To the extent that this system is not subject to
exemption, it is subject to access. A determination as to exemption
shall be made at the time a request for access is received. A request
for access to a record from this system shall be made in writing,
with the envelope and the letter clearly marked `Privacy Access
Request.' Include in the request the general subject matter of the
document or its file number. The requestor will also provide a return
address for trnasmitting the information. Access requests will be
directed to the System Manger listed above.
Contesting record procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1), and/
or (k)(2). To the extent that this system is not subject to
exemption, it is subject to contest. A determination as to exemption
shall be made at the time a request for contest is received.
Individuals desiring to contest or amend information maintained in
the system should direct their request to the System Manager listed
above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendments
to the information sought.
Record source categories:
Sources of information contained in this system are investigative
reports of federal, state and local law enforcement agencies,
statement of witnesses, informants and parties, as well as verbatim
transcripts of grand jury proceedings and court proceedings,
memoranda and reports from the court and agencies thereof and the
work product of Assistant United States Attorneys and legal
assistants working on particular cases.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsection (c)
(3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e) (5)
and (8), (f), (g) and (h) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2) and (k) (1) and (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.
JUSTICE/USA-011
System name: Prosecutor's Management Information System
(PROMIS).
System location:
U.S. Attorney's Office: Judiciary Center Bldg., 555 4th Street,
NW, Washington, DC 20001.
Categories of individuals covered by the system:
The individuals on whom records are maintained in PROMIS are as
follows: (1) Those individuals who have been charged with criminal
violations: (2) those individuals who are currently under
investigation for criminal violations: (3) those individuals upon
whom criminal investigations were conducted, but no prosecution was
initiated; and (4) the names and addresses of all witnesses and
arresting police officers.
Categories of records in the system:
The data in PROMIS fall into six major categories.
1. Information about the accused or defendant. This includes
name, alias, sex, race, date of birth, address, facts about prior
arrest and convictions, and employment status. If judged appropriate,
additional data could be added, such as information about alcohol or
drug abuse. Some of this information is used to rate the gravity of
the case in terms of the defendant's criminal history.
2. Information about the crime. The date, time, and place of the
crime; the number of persons involved in the crime; and a numerical
rating reflecting the gravity of the crime in terms of the amount and
degree of personal injury, property damage or loss, and intimidation.
3. Information about the arrest. The date, time, and place of the
arrest, the type of arrest and identity of the arresting officers.
4. Information about criminal charges. The charges originally
placed by the police against the arrestee the charges actually filed
in court against the defendant, the reasons for changes in the
charges by the prosecutor, the penal statute for the charge, the FBI
Uniform Crime Report Code for the charge, and the Project SEARCH Code
for the charge.
5. Information about court events. The dates of every court event
in a case from arraignment through motion hearing, continuance
hearing, final disposition, and sentencing; the names of the
principals involved in each event, including the defense and
prosecution attorneys and judge; the outcomes of the events and the
reasons therefor.
6. Information about witnesses. The names and addresses, the
prosecutor's assessment of whether the witnesses are essential to the
case, and any indications of reluctance to testify by the witnesses.
Authority for maintenance of the system:
5 U.S.C. 301, 28 U.S.C. 547, 23 D.C. Code 101(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use by such records as follows:
(1) In any case in which there is an indication of a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature, the record in question may be disseminated to the appropriate
agency federal, state, local, or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing such law;
(2) In the course of investigating the potential or actual
violation of any law, whether civil, criminal, or regulatory in
nature, or during the course of a trial or hearing or the preparation
for a trial or hearing for such violation, a record may be
disseminated to a federal, state, local, or foreign agency, or to an
individual, if there is reason to believe that such agency or
individual possesses information relating to the investigation,
trial, or hearing and the dissemination is reasonably necessary to
elicit such information or to obtain the cooperation of a witness or
an informant;
(3) Records or extracts thereof relating to a case or matter may
be disseminated to a defendant or his attorney or to the appropriate
federal, state, local, or foreign, court or grand jury in accordance
with established constitutional, substantive, or procedural law or
practice;
(4) 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;
(5) A record relating to case or matter may be disseminated to an
actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings, or to
the Public Defender Service in connection with caseload management of
other purposes;
(6) A record relating to a case or matter that has been referred
for investigation may be disseminated to the referring agency to
notify such agency of the status of the case or matter or of any
decision or determination that has been made or to assist in
eliciting additional information;
(7) A record relating to a person held pending arraignment, trial
or sentence, or after conviction, may be disseminated to a federal,
state, local or foreign prison, probation, parole, bail or pardon
authority, or to any agency or individual concerned with the custody
maintenance, transportation, or release of such a person;
(8) A record relating to a case or matter may be disseminated to
a foreign country pursuant to an international treaty or convention
entered into and ratified by the United States;
(9) A record may be disseminated to a federal, state, local, or
foreign 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;
(10) A record may be disseminated to a federal agency, in
response to its request, in connection with the hiring or retention
of an employee, the issuance of a security clearance, the reporting
of an investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; and
(11) A record may be accessed by volunteer student workers and
students working under a college work-study program, as is necessary
to enable them to perform their function.
(12) This office utilizes it to track the workload of the
criminal court process from three separate vantage points. First, the
workload is tracked from the vantage point of the crime or criminal
incident. This is accomplished by including in PROMIS the complaint
number which the police department assigns to a reported crime. With
this number, prosecutors can follow the full history of the court
actions arising from the crime even though those actions may involve
multiple defendants, multiple cases, and multiple trials and
dispositions.
(13) PROMIS tracks the court workload from the vantage point of
the accused or defendant. This is achieved by incorporating in PROMIS
the fingerprint-based number the police department assigns to the
individual following his or her arrest. This identfication number is
used again by the department if the same individual is subsequently
arrested. Through this number, prosecuting attorneys accumulate
criminal history files on offenders and note incidents of recidivism.
(14) PROMIS tracks from the vantage point of the court
proceedings. This is accomplished by including in PROMIS the docket
number the Court assigns to the case pending before it. With this
number, prosecutors trace the history of any formal criminal action
from arraignment through final disposition and sentencing, and
account for the separate fate of each count or charge.
The inclusion of these three numbers is significant. The numbers
provide a capability to track the criminal incident, the defendant,
or the court actions and provide the basis for the routine
communication among the various Federal, state, local, and foreign
law enforcement agencies.
(15) PROMIS generates, on a recurring basis, five categories of
reports: Misdemeanor calendars, felony calendars, case status
reports, workload reports, and special reports. These reports are
prepared from information contained in the data base both by persons
employed by this office, the Justice Department and persons under
contract to the Department for this purpose.
(16) Release of information to the news media: Information
permitted to be released to the news media and the public pursuant to
28 CFR 50.2 may be made available from systems of records maintained
by the Department of Justice unless it is determined that release of
the specific information in the context of the particular case would
constitute an unwarranted invasion of personal privacy.
(17) Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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; and
(18) Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored on magnetic tapes and discs at the
District of Columbia Metropolitan Police Department Computer Center.
Printouts from the terminals are stored with case jackets. Status,
calendars, and statistical reports are stored in the files and
offices of supervisory attorneys.
Retrievability:
This system has an on-line data retrieval capability with respect
to certain information continued in the data base. These subsets of
information are retrieved on data display terminals which are located
at various work stations throughout the office. Certain of these
terminals have a printout capability. All information on these
subsets is a matter of public record. The system also has the
capability for the production of periodic reports. Both the periodic
reports and the on-line displays are utilized in accordance with the
above listed routine uses.
Safeguards:
The magnetic tapes and discs are maintained in a secure vault at
the Metropolitan Police Department Computer Center. In addition to
the physical security safeguards, there is a twenty-four hour patrol.
The data display terminals are located in semi-public areas of the
office (i.e., administrative work stations through which the public
must pass on official business). However, only trained operators may
retrieve the information, which is of public record. The terminals
are not open to the public after working hours.
Retention and disposal:
The files are retained and disposed of in accordance with Title
8, U.S. Attorney's Manual, pages 70-77.
System manager(s) and address:
Administrative Assistant, United States Attorney, Judiciary
Center Bldg., 555 4th St. NW, Washington, DC 20001.
Notification procedure:
Address inquiries to the System Manager.
Record access procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1) and/or
(j)(2). To the extent that this system is not subject to exemption,
it is subject to access. A determination as to exemption shall be
made at the time a request for access is received. A request for
access to a record from this system shall be made in writing, with
the envelope and the letter clearly marked ``Privacy Access
Request.'' Include in the request the general subject matter of the
document or its file number. The requestor will also provide a return
address for transmitting the information. Access requests will be
directed to the System Manager listed above.
Contesting record procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1) and/or
(k)(2). To the extent that this system is not subject to exemption,
it is subject to contest. A determination as to exemption shall be
made at the time a request for contest is received. Individuals
desiring to contest or amend information maintained in the system
should direct their request to the System Manager listed above,
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment to the
information sought.
Record source categories:
About 80 percent of the data contained in PROMIS is obtained at
the intake and screening stage as the by-product of the case
documentation process. Carbon copies of various forms completed
immediately before or during the case screening stage serve as input
documents for PROMIS.
As a case moves through the subsequent proceedings, additional
information about its status is fed to PROMIS. This is achieved
through turnaround documents--forms generated by PROMIS in advance of
a court event--on which the results of a given processing (e.g.,
preliminary hearing, sentencing, etc.) are recorded and then entered
in PROMIS.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e)
(5) and (8), (f), (g) and (h) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2) and (k) (1) and (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.
JUSTICE/USA-012
System name: Security Clearance Forms for Grand Jury Reports.
System location:
Ninety-four United States Attorney's Office (See attached
Appendix).
Categories of individuals covered by the system:
Proposed Grand Jury Reporters.
Categories of records in the system:
Request for security clearance of grand jury reporter(s) employed
by the reporting firm under contract with the Justice Department;
carbon copy of ``PERSONNEL INFORMATION SHEET--Grand Jury Reporting''
on which is listed name of proposed grand jury reporter, home
address, date and place of birth, and present business affiliation;
and clearance or denial of clearance for the proposed reported from
the Department of Justice.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
All uses of this information are internal within the Department
of Justice.
Release of information to the news media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of information to members of congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available to a Member or Congress or
staff acting upon the Member's behalf when the Member of staff
requests the information on behalf of and at the request of the
individual who is the subject of the record.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Security clearance forms are kept alphabetically in file cabinets
in the Administrative Office.
Retrievability:
Security clearance forms on grand jury reports are retrievable
from an alphabetical filing system.
Safeguards:
Security clearance forms are maintained in the Administrative
Division in the District Court Building which is manned at all times
during working hours and at other times is locked.
Retention and disposal:
Security clearance forms are maintained for five years, at which
time they must be renewed. Upon receipt of renewed security
clearance, old forms are destroyed.
System manager(s) and address:
Ninety-four United States Attorneys Offices (See attached
appendix).
Notification procedure:
Address inquiries to the System Manager.
Record access procedures:
A request for access to a record from this system shall be made
in writing, with the envelope and the letter clearly marked ``Privacy
Access Request.'' Include in the request the general subject matter
of the document. The requestor will also provide a return address for
transmitting the information. Access requests will be directed to the
System Manager listed above.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
The source of the information contained in these files are the
reporter's request for security clearance personnel information sheet
and the clearance or denial of clearance.
Systems exempted from certain provisions of the act:
None.
JUSTICE/USA-013
System name: U.S. Attorney, District of Columbia Superior Court
Operations, Criminal Files, including but not limited to the
following subsystems: (a) Criminal File Folder (USA-S1), (b)
Criminal File Folder (USA-33), (c) Criminal Docket Card (USA-T7),
and (d) Index.
System location:
U.S. Attorney's Office, Judiciary Center Bldg., 555 4th St. NW,
Washington, DC 20001.
Categories of individuals covered by the system:
The individuals on whom records are maintained may be broadly
classified in three categories (1) Those individuals who have been
charged with criminal violations; (2) those individuals who are
currently under investigation for criminal violations; and (3) those
individuals upon whom criminal investigations were conducted, but no
prosecution was initiated.
Categories of records in the system:
This system of records, consisting of numbered Criminal File
Folders, (USA-S1 and USA-33), contains criminal investigative reports
about named individuals submitted to this office by federal, state,
local and foreign law enforcement agencies involved with the
investigation of suspected violations as well as by complaints made
by private parties. Those matters which become cases either by way of
indictment or information in addition to the data contained in the
investigative reports, also contain copies of indictments,
informations, complaints, and all pleadings submitted to the court in
connection with the actual prosecution of the case. These files also
contain communications between the Court and agencies thereof, and
the United States Attorney, and all correspondence relative to the
case or matter. The files further contain psychiatric, chemical and
other forensic reports, documentary evidence and the work product and
internal memoranda of the Assistant United States Attorney in charge
of the investigation compiled in preparation for the prosecution of
each case. In those cases which have gone through trial and appeal,
the file would further reflect transcripts of the trial, all
pleadings and correspondence between the attorneys and the Court of
Appeals, and copies of briefs submitted in the prosecution of the
Appeal.
A synopsis record of a matter or case is maintained by means of a
criminal docket card (USA-T7), for all actions through sentencing. A
synopsis record of a case on appeal is maintained on an Appellate
Docket Card (USA-9X-199), Appellate Proceedings). All of these
subsystems comprise an internal cross-reference record keeping system
of the criminal business at the office. Through the medium of forms
and on-line data input, certain of this information is conveyed to a
computer center for inclusion in the Prosecutor's Management
Information System (a system which will be reported on separately),
from which status and statistical reports are issued and distributed
back to this office either in the form of computer printouts or on
data display terminals which contain much of the same information as
the files in different format.
Because of the number of diverse functions which must be
performed with respect to each case; and because of the large volume
of cases and because operations are conducted in three separate
buildings, there are a number of file folder locator mechanisms and
cross references utilized to constantly track a file folder when it
is not physically located in file control. These indexes or locators
are maintained in the form of `out cards,' log books index card
files, etc. They are referenced by name, number, and other
identifiers. In themselves, they are not separate systems of records,
but indexes or references to the primary system.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows:
(1) In any case in which there is an indication of a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature, the record in question may be disseminated to the appropriate
agency, federal, state, local, or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing such law;
(2) In the course of investigating the potential or actual
violation of any law, whether civil, criminal, or regulatory in
nature, or during the course of a trail or hearing or the preparation
for a trial or hearing for such violation, a record may be
disseminated to a federal, state, local, or foreign agency, or to an
individual, if there is reason to believe that such agency or
individual possesses information relating to the investigation,
trial, or hearing and the dissemination is reasonably necessary to
elicit such information or to obtain the cooperation of a witness or
an informant;
(3) Records or extracts thereof relating to a case or matter may
be disseminated to a defendant or his attorney or to the appropriate
federal, state, local, or foreign, court or grand jury in accordance
with established constitutional, substantive, or procedural law or
practice;
(4) 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;
(5) A record relating to a case or matter may be disseminated to
an actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings;
(6) A record relating to a case or matter that has been referred
for investigation may be disseminated to the referring agency to
notify such agency of the status of the case or matter or of any
decision or determination that has been made or to assist in
eliciting additional information;
(7) A record relating to a person held pending arraignment, trial
or sentence, or after conviction, may be disseminated to a federal,
state, local, or foreign prison, probation, parole, bail or pardon
authority, or to any agency or individual concerned with the custody,
maintenance, transportation or release of such a person;
(8) A record relating to a case or matter may be disseminated to
a foreign country pursuant to an international treaty or convention
entered into and ratified by the United States;
(9) A record may be disseminated to a federal, state, local, or
foreign 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;
(10) A record may be disseminated to a federal agency, in
response to its request, in connection with the hiring or retention
of employee, the issuance of a security clearance, the reporting of
an investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter; and
(11) A record may be assessed by volunteer student workers and
students working under a college work-study program, as is necessary
to enable them to perform their function;
(12) Release of information to the news media: Information
permitted to be released to the news media and the public pursuant to
28 CFR 50.2 may be made available for systems of records maintained
by the Department of Justice 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;
(13) Release of information to Members of Congress. Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available to a Member of Congress or staff acting
upon the Member's behalf when the Member or staff requests for
information on behalf of and at the request of the individual who is
the subject of the record; and
(14) Release of information to the National Archives and Records
Administration (NARA) and to the General Services Administration
(GSA): A record from a system of records may be disclosed as a
routine use to NARA and GSA in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The information in the various indexes is maintained on index
cards, log books, out cards, etc. The criminal files themselves are
maintained in criminal file folders (USA-S1 and USA-33). The synopsis
information is maintained on a Criminal Docket Card (USA-T7) and
Appellate Proceedings (USA-9X-199).
Retrievability:
Information is retrieved primarily by the name of a person,
complaint number, court docket number, FBI number, Metropolitan
Police Department identification number and District of Columbia
Department of Corrections number.
Safeguards:
Information contained in the system is both unclassified and
classified and is safeguarded and protected by being maintained in
filerooms which are manned during all times that they are open and at
other times are locked. These rooms are located in the Superior Court
for the District of Columbia, Buildings B and G which are guarded by
the federal protective service twenty-four hours a day with roving
patrols during non-working hours. Files which are not in the
filerooms but which are checked out to attorneys are maintained in
locked offices after working hours.
Retention and disposal:
The files are retained and disposed of in accordance with Title
8, U.S. Attorney's Manual, pages 70-77.
System manager(s) and address:
Administrative Officer, U.S. Attorney's Office, Superior Court
Operations, 555 4th Street. NW, Washington, DC 20001.
Notification procedure:
Address inquiries to the System Manager.
Record access procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1) and/or
(k)(2). To the extent that this system is not subject to exemption,
it is subject to access. A determination as to exemption shall be
made at the time a request for access is received. A request for
access to a record from this system shall be made in writing, with
the envelope and the latter clearly marked ``Privacy Access
Request.'' Include in the request the general subject matter of the
document or its file number. The requester will also provide a return
address for transmitting the information. Access requests will be
directed to the System Manager listed above.
Contesting record procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1) and/or
(k)(2). To the extent that this system is not subject to exemption,
it is subject to contest. A determination as to exemption shall be
made at the time a request for contest is received. Individuals
desiring to contest or amend information maintained in the system
should direct their request to the System Manager listed above,
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment to the
information sought.
Record source categories:
Sources of information contained in this system include but are
not limited to investigative reports of federal, state and local law
enforcement agencies, forensic reports, statements of witnesses and
parties, as well as verbatim transcripts of grand jury proceedings
and court proceedings, memoranda and reports from the court and
agencies thereof and work product of Assistant United States Attorney
and legal assistants working on particular cases.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e)
(5) and (8), (f), (g), and (h) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2) and (k) (1) and (2). Rules have been promulgated in
accordance with the requirements of 5 U.S.C. 533 (b), (c) and (e) and
have been published in the Federal Register.
JUSTICE/USA-014
System name: Pre-Trial Diversion Program Files.
System location:
Ninety-four United States Attorneys' Offices (See attached
appendix).
Categories of individuals covered by the system:
Individuals referred to in potential or actual pre-trial
diversion cases.
Categories of records in the system:
(a) USA Form 184--Referral letter to Probation Service; (b) USA
Form 185--Letter to defendant; (c) USA Form 186--Agreement for Pre-
Trial Diversion; (d) USA Form 187--Pre-Trial Diversion Report Form;
(e) USA Form 188--Certification of Completion of Program; (f) USA
Form 189--Defendant Application Form; (g) Telephone Records; (h)
Miscellaneous Correspondence; and (i) Files Unique to a District.
Authority for maintenance of the system:
This system is established and maintained pursuant to 5 USC 301
and 44 USC 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows:
(a) In any case in which there is an indication of a violation or
potential violation of law criminal or regulatory in nature, the
record in question may be disseminated to the appropriate Federal,
state, local, or foreign agency charged with the responsibility for
investigating or prosecuting such violation or charged with enforcing
or implementing such law;
(b) In the course of investigating the potential or actual
violation of any law, criminal, or regulatory in nature, or during
the course of a trial or hearing or the preparation for a trial or
hearing for such violation, a record may be disseminated to a
Federal, state, local, or foreign agency, or to an individual or
organization, if there is reason to believe that such agency,
individual, or organization possesses information relating to the
investigation, trial, or hearing and the dissemination is reasonably
necessary to elicit such information or to obtain the cooperation of
a witness or an informant;
(c) 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;
(d) 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;
(e) A record relating to a case or matter be disseminated to an
actual or potential party or his attorney for the purpose of
negotiation or discussion on such matters as settlement of the case
or matter, plea bargaining, or informal discovery proceedings;
(f) 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 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;
(g) A record relating to a person held in custody pending or
during arraignment, trial, sentence, or extradition proceedings, or
after conviction or after extradition proceedings, may be
disseminated to a Federal, state, local, or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person;
(h) A record relating to a case or matter may be disseminated to
a foreign country pursuant to an international treaty or convention
entered into and ratified by the United States or to an executive
agreement;
(i) 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 investigation leads to such agency;
(j) A record may be disseminated to a Federal agency, in response
to its request in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information relates to the requesting
agency's decision on the matter;
(k) A record may be disseminated to the public, news media, trade
associations, or organized groups, when the purpose of the
dissemination is educational or information, such as descriptions of
crime trends or distinctive or unique modus operandi, provided that
the record does not contain any information identifiable to a
specific individual;
(l) 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 and/or returning a fugitive to a
jurisdiction which seeks his return;
(m) A record that contains classified national security
information and material may be disseminated to persons who are
engaged in historical research projects, or who have previously
occupied policy making positions to which they were appointed by the
President, in accordance with the provisions codified in 28 CFR
17.60; and
(n) A record may be accessed by volunteer student workers and
students working under a college work-study program, as is necessary
to enable them to perform their function.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
All information, except that specified in this paragraph, is
recorded on basic paper/cardboard material, and stored within manila
file folders, within metal file cabinets, electric file/card
retrievers or safes. Some material is recorded and stored on magnetic
tape, card or other data processing type storage matter for
reproduction later into conventional formats.
Retrievability:
Information is retrieved by the name of the person, case number
or complaint number.
Safeguards:
Information in the system is both confidential and
nonconfidential and located in file cabinets in the United States
Attorney offices. Some materials are located in locked file drawers
and safes, and others in unlocked file drawers. Offices are locked
during nonworking hours and are secured by either Federal Protective
Service, United States Postal Service, or private building guards.
Retention and disposal:
Records are maintained and disposed of in accordance with
Department of Justice retention plans.
System manager(s) and address:
System Manager for the system in each office is the
Administrative Officer/Assistant, for the U.S. Attorney for each
district. (See attached appendix.)
Notification procedure:
Address inquiries to the System Manager for the judicial district
in which the diversion application or approval was made. (See
attached appendix.)
Record access procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1) and/or
(k)(2). To the extent that this system is not subject to exemption,
it is subject to access. A determination as to exemption shall be
made at the time a request for access is received. A request for
access to a record from this system shall be made in writing, with
the envelope and the letter clearly marked ``Privacy Access
Request.'' Include in the request the name of the individual
involved, his birth date and place, or any other identifying number
or information which may be of assistance in locating the record and
the name of the case or matter involved, if known. The requester
shall also provide a return address for transmitting the information.
Access requests will be directed to the System Manager. (See attached
appendix.)
Contesting record procedures:
The major part of the information maintained in this system is
exempt from this requirement under 5 U.S.C. 552a(j)(2), (k)(1) and/or
(k)(2). To the extent that this system is not subject to exemption,
it is subject to contest. A determination as to exemption shall be
made at the time a request for contest is received. Individuals
desiring to contest or amend information maintained in the system
should direct their request to the System Manager (see attached
appendix) stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Sources of information contained in this system include, but are
not limited to investigative reports of Federal, state and local law
enforcement agencies; client agencies of the Department of Justice;
other non-Department of Justice investigative agencies; forensic
reports; statements of witnesses and parties; verbatim transcripts of
Grand Jury and court proceedings; data; memoranda and reports from
the Court and agencies thereof; and the work product of Assistant
United States Attorneys, Department of Justice attorneys and staff,
and legal assistants working on particular cases.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c) (3) and (4), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e)
(5) and (8), (f), (g) and (h) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2) and (k) (1) and (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.
JUSTICE/USA-015
System name: Debt Collection Enforcement System, JUSTICE/USA-
015.
System location:
Executive Office for United States Attorneys, U.S. Department of
Justice, 10th and Constitution Avenue NW, Washington, DC 20530; and
94 United States Attorney (USA) Offices (see Appendix of USA office
locations, JUSTICE/USA-999). In addition, not to exceed 15 of the 94
Federal judicial districts, are pilot districts from which contract
private counsel are/have been employed to assist USAs in debt
collection litigation. Ten of the judicial districts are named below;
the remaining five have not been identified.
Southern District of Texas, PO Box 61129, Houston, TX 77208
Southern District of Florida, Federal Justice Building, 99 NE
4th Street, Miami, FL 33132
Eastern District of Michigan, Room 817, Federal Building, 231
W. Lafayette, Detroit, MI 48226-2784
Northern District of California, 10th Floor, Claims & Judgment
Unit; 450 Golden Gate Avenue, PO Box 36055, San Francisco, CA 94102
Middle District of Florida, room 400, Robert Timberlake
Building, 500 Zack Street, Tampa, FL 33602
Eastern District of New York, U.S. Courthouse, 225 Cadman Plaza
East, Brooklyn, NY 11201
Central District of California, 312 N. Spring Street, room
446D, Los Angeles, CA 90012-4701
District of New Jersey, room 502, Federal Building, 970 Broad
Street, Newark, NJ 07102-2506
Western District of Louisiana, Suite 2100, Louisiana Tower, 401
Edwards Street, Shreveport, LA 71101-6133
District of Columbia, Judiciary Center Building, 555 Fourth
Street NW., Washington, DC 20001
Categories of individuals covered by the system:
Persons indebted to the United States (1) who have allowed their
debts to become delinquent and whose delinquent debts have been
assigned by the Department's Justice Management Division (JMD) to a
U.S. Attorney (USA) or contract private counsel for settlement or
enforced collection through litigation, and/or (2) who have incurred
debts assessed by the court, e.g., fines or penalties, as a result of
a criminal proceeding.
Categories of records in the system:
This system of records contains records relating to the
negotiation, compromise, settlement, and litigation of debts owed the
United States. Records consist of a case file and automated and/or
hard copy support data.
The case file includes such documents as: The Claims Collection
Litigation Report; Certificate of Indebtedness; Satisfaction of
Judgment or Certificate of Discharge; court and related legal
documents such as judgments, orders, briefs, pleadings and settlement
agreements; status reports, and correspondence, and any other
documentation developed during the negotiation, compromise,
settlement and/or litigation of the debts.
The automated and/or hard copy support data contains information
extracted from the case file and any data generated or developed to
support the administrative operations of the debt collection program.
Information may include personal data, e.g., name, social security
number, date of birth, and locator information; claim information
e.g., type of claim such as benefit overpayment, loan default,
bankruptcy, etc.: Payment demand information, compromise offered,
etc.: account information, e.g., debtor payments including principal,
penalties, interests, and balances, etc.; information regarding
debtor's employment, ability to pay, property liens, etc.; value of
claim, name of source agency which provided the loan or benefit;
information on the status and disposition of cases at various
intervals of time; and any other information related to the
negotiation, compromise, settlement, or litigation of debts owed the
United States, or to the administrative management of the debt
collection program.
Authority for maintenance of the system:
31 U.S.C. 3711 and 3718, and 28 U.S.C. 3201.
Purpose(s):
Title 31 U.S.C. 3711 authorizes the Attorney General to conduct
litigation to collect delinquent debts due the United States; 31
U.S.C. 3718(b) authorizes the Attorney General to contract with
private counsel to assist the Department (specifically, the USAs) in
collecting consumer and commercial debts owed the United States on a
pilot basis; Chapter 176 of Title 28, United States Code (``Federal
Debt Collection Procedure''), authorizes the Attorney General to
obtain both prejudgment and postjudgment remedies against delinquent
debtors, and Section 3201(e) of that Chapter states that a judgment
against such a debtor creates a lien on all real property of the
debtor and renders that debtor ``ineligible'' for any grant or loan
made, insured, financed, or guaranteed by the Federal Government.
Accordingly, this system of records is maintained by the Executive
Office for U.S. Attorneys to cover records which are used by the 94
USAs, and/or private counsel in selected pilot districts where the
Department has contracted with private counsel, to perform legal
services such as the negotiation, settlement, litigation and
enforcement of debts owned the United States.\1\
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\1\ A separate but ancillary system of records entitled ``Debt
Collection Management System, Justice/JMD-006'' is maintained by JMD
to furnish automated litigation/administrative support to USAs and to
private counsel in pilot districts (and ultimately to provide,
seriatim, such support to all USAs), and to create an inventory of
debtor files in all 94 judicial districts. The inventory consists of
all debtor files referred by USAs and by client Federal agencies to
the Department (and subsequently referred/assigned by JMD to such
private counsel, and to USAs in the 94 judicial districts) for
enforced collection via litigation. The inventory enables the
Department to provide statistical data to the Congress and to the
Office of Management and Budget on debt collection as required by 31
U.S.C. 3718(c).
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Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In the course of its collection and enforcement activities, the
Department may release client Federal agency case files and any
related records or information created by the Department to contract
private counsel to negotiate, settle, and litigate debts owed the
United States.
In the course of its collection and enforcement activities, or
during the course of a trial or hearing or preparation for a trial or
hearing, the Department through contract private counsel in the pilot
judicial districts, or through its own USAs in all 94 judicial
districts, may disclose relevant records or information from this
system as follows:
(a) In any case in which there is an indication of a violation or
potential violation of law, civil or regulatory in nature--to the
appropriate Federal, State, local or foreign agency charged with the
responsibility of investigating, defending or pursuing such
violation, civil claim or remedy, or charged with enforcing,
defending or implementing such law.
(b) To a Federal, State, local, or foreign agency or to an
individual or organization; if there is reason to believe that such
agency, individual, or organization possesses information relating to
the debt, the debtor's ability to pay, or relating to any other
matter which is relevant and necessary to the settlement, effective
litigation and enforced collection of the debt, or relating to the
civil action trial or hearing, and the disclosure is reasonably
necessary to elicit such information or to obtain the cooperation of
a witness or an agency.
(c) To an actual or potential party, or to his or her attorney,
for the purpose of negotiation or discussion on such matters as
settlement of the case or matter, or informal discovery proceedings.
(d) To client agencies who have referred debt collection cases to
the Department for settlement or litigation and enforced collection
to notify such agencies of the status of the case 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.
(e) To a Federal agency in response to its request and in
connection with hiring or retention of an employee, the issuance of
the required security clearance, the reporting of an investigation of
an employee, the letting of a contract, or the issuance of a license,
grant, or other benefit by the requesting agency, to the extent that
the information relates to the requesting agency's decision on the
matter.
(f) To volunteer student workers and students working under a
college work-study program as is necessary to enable them to perform
their duties.
(g) To employees or to contract personnel to access the records
for Privacy Act training purposes.
(h) In a proceeding before a court or adjudicative body before
which the Department or contract private counsel 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 the
Department or contract private counsel to be arguably relevant to the
litigation: (1) The Department, or any subdivision thereof, or
contract private counsel, or (2) any employee of the Department or
contract private counsel in his or her official capacity or (3) any
employee of the Department or contract private counsel in his or her
individual capacity where the Department has agreed to represent the
employee, or (4) the United States, where the Department or contract
private counsel determines that the litigation is likely to affect
the Department or any of its subdivisions.
(i) In a proceeding before a court or adjudicative body before
which the Department or contract private counsel is authorized to
appear, when the United States, or any agency or subdivision thereof,
is a party to litigation or has an interest in litigation and such
records are determined by the Department or contract private counsel
to be arguably relevant to the litigation.
(j) To (1) any Federal agency which employs and/or pays pension,
annuity and/or other benefits to an individual who has been
identified as a delinquent debtor for the purpose of offsetting the
individual's salary, and/or pension, annuity or other benefit payment
received from that agency, when the Justice Department is responsible
for the enforced collection of a judgment or claim on behalf of the
United States against that person; and (2) a Federal, State, local or
foreign agency, an organization, or individual to elicit information
to assist the Department in the settlement or effective litigation
and enforced collection of the overdue debt.
(k) 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.
(l) 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.
(m) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Disclosure to consumer reporting agencies:
Disclosure to consumer reporting agencies under subsection
(b)(12) of the Privacy Act: Disclosure to consumer reporting agencies
in accordance with section 3711(f) of Title 31 (as authorized under
subsection (b)(12) of the Privacy Act): Relevant records may be
disclosed to a consumer reporting agency as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)) where such information
is directly related to the identity of debtors and the history of
claims contained in this system of records and for the purpose of
encouraging repayment of overdue debts. Such disclosure may be made
only when a claim is overdue and only after due process steps have
been taken to notify the debtor and give him or her a chance to meet
the terms of the debt. Addresses of taxpayers obtained from the
Department of the Treasury may be disclosed to consumer reporting
agencies only for the purpose of allowing such agencies to prepare a
commercial credit report on the taxpayer for use by the Department.
Prior to such disclosure, satisfactory assurances will be obtained
from such consumer reporting agency concerning compliance by that
agency with the Fair Credit Reporting Act (15 U.S.C. 1681 et seq.)
and any other Federal law governing the provision of consumer credit
information.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Case files and hard copy support data, i.e., index cards, are
stored in locked rooms; automated data is stored on magnetic tape.
Retrievability:
Data is retrieved by name of debtor.
Safeguards:
Access to records is restricted to those Department and contract
employees who must have access to perform their settlement or
litigation and enforced collection activities, and/or administrative
responsibilities. Case files are maintained separately in locked
rooms during non-duty hours. Access to automated data requires the
use of the proper password and user identification code. Access by
contract private counsel is restricted to those cases assigned.
Retention and disposal:
Case files which were assigned to private counsel during the
pilot program will remain in the physical custody of such counsel
until the debtor has paid his/her debt in full, the pilot program has
expired, or the debtor has ceased making payments. At such time, the
case file will be returned to the USA. Case files, together with any
data which has been extracted therefrom and included in the automated
data base, will be erased 10 years after close of litigation.
Administrative records in both hard copy and automated format will be
destroyed six years after the close of the Fiscal Year in which the
records were compiled.
System manager(s) and address:
System Manager is the Administrative Officer/Assistant for the
USA in each of the 94 judicial districts identified in the appendix
of USA office locations, JUSTICE/USA-999.
Notification procedure:
Address inquiries to the System Manager of the judicial district
in which collection efforts have been initiated. (See ``System
Locations.'')
Record access procedures:
Address requests for access to the System Manager of the judicial
district in which collection efforts have been initiated. (See
``System Locations.'') Clearly mark the envelope ``Privacy Access
Request.'' Include in the request the debtor's name, date of birth,
address, and any other identifying information which may be of
assistance in locating the record, e.g., name of the case or Federal
agency to whom the debtor is indebted. In addition, include notarized
signature of the debtor as well as the name and address of the
individual to receive the information if other than the debtor.
Contesting record procedures:
Address requests to the System Manager of the judicial district
in which collection efforts have been initiated. (See ``System
Locations.'') State clearly and concisely the information being
contested, the reasons for contesting it, and the proposed amendment
to the information.
Record source categories:
The individuals covered by the system; client agencies of the
Department to whom the individual is indebted; an attorney or other
representative for the debtor and/or payor; any Federal, State,
local, foreign, private organization or individual who may have
information relating to the debt, the debtor's ability to pay or any
other information relevant and necessary to assist in settlement or
effective litigation and enforced collection of the debt.
Systems exempted from certain provisions of the act:
None.
JUSTICE/USA-016
System name: Assistant United States Attorney Applicant Records
System.
System location:
Office of the Deputy Attorney General, United States Department
of Justice, 10th and Constitution Avenue, NW, Washington, DC 20530.
Categories of individuals covered by the system:
The system encompasses all applicants for Assistant United States
Attorney positions.
Categories of records in the system:
This system of records consists of records folders which may
contain up to a total of four sections. The personnel section
contains records such as resumes, letters of recommendation, law
school grade transcripts, completed Civil Service forms, and related
personnel matters. The character section contains completed or
portions of ongoing background investigations and matters related
thereto. The Congressional section contains Congressional and other
political type recommendations regarding appointment. The protest
section contains correspondence, if any exists, protesting the
appointment of applicants. Rarely does a personnel folder contain
more than the personnel and character sections.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used only by Department of Justice personnel
for recruitment purposes. However, the fact that the applicant was
being considered would be made known to the references supplied by
the applicant and others contacted. Information about the applicant,
as then known, might be supplied to contacted individuals as
necessary to verify already obtained information or to seek
elaboration of that information.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice 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.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of information to civil or criminal law enforcement
agencies: Information may be disclosed to any civil or criminal law
enforcement agency, whether Federal, State, local, or foreign, which
requires information relevant to a civil or criminal investigation.
Release of information to agencies regarding the hiring or
retention of employees; Information may be disclosed to officials and
employees of the White House or any Federal agency which requires
information relevant to an agency decision concerning the hiring,
appointment, or retention of an employee: the issuance of a security
clearance; the execution of a security or suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
Release of information to Federal, State, and local licensing
agencies: Information may be disclosed to Federal, State, and local
licensing agencies or association which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Release of information before a court or adjudicative body:
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General (ODAG) is authorized to appear when (a) ODAG, or any
subdivision thereof or (b) any employee of ODAG in his or her
official capacity, or (c) any employee of ODAG in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where ODAG
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by ODAG to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in paper folders.
Retrievability:
Information is retrieved by use of the applicant's name, as the
folders are filed alphabetically by name.
Safeguards:
These records are maintained in cabinets stored in a locked room.
Retention and disposal:
These records are retained, in the case of applicants who are not
offered positions, for two years and then destroyed. If the applicant
is offered a position and accepts it, his folder is transferred to
the Appointed Assistant United States Attorney Personnel System and
retained as specified therein.
System manager(s) and address:
Associate Deputy Attorney General, Office of the Deputy Attorney
General, United States Department of Justice, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the System Manager. These records will
be exempted from subsections (d)(1) and (e)(1) of section 552a, Title
5, United States Code, by the Attorney General under the authority of
5 U.S.C. 552a(k)(5) to the extent therein permitted.
Record access procedures:
A request for access to non-exempt portions of records from this
system should clearly be directed orally or in writing to the
Associate Deputy Attorney General. When requests are in writing, the
envelope and letter should be marked ``Privacy Access Request.''
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the Associate Deputy
Attorney General, stating clearly and concisely what information is
being contested, the reasons for contesting it, and the proposed
amendment(s) to the information.
Record source categories:
Non-exempt sources of information contained in this system
include the individual, government agencies as appropriate, and
interested third parties.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(d)(1) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
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.
JUSTICE/USA-017
System name: Appointed Assistant United States Attorneys
Personnel System.
System location:
Office of the Deputy Attorney General, United States Department
of Justice, 10th and Constitution Avenue NW, Washington, DC 20530.
Categories of individuals covered by the system:
The system encompasses all Assistant United States Attorneys.
Categories of records in the system:
This system of records consists of records folders which may
contain up to a total of five sections. The personnel section
contains personnel records such as completed Civil Service forms,
letters of recommendation, law school grade transcripts, appointment
letters, appointment affidavits, bar affidavits, locator forms and
personnel action forms. The character section contains completed or
portions of ongoing background investigations and matters related
thereto. The Congressional section contains Congressional and other
political type recommendations regarding appointment. The protest
section contains correspondence, if any exists, protesting the
appointment of applicants. The complaint section contains
correspondence from individuals or groups complaining about office
holders. Rarely does a personnel folder contain more than the
personnel and character sections.
Authority for maintenance of the system:
These records are maintained pursuant to 5 U.S.C 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used only by Department of Justice personnel.
Information contained in a folder may be used as the basis for
answering future inquires from other government agencies about a
former assistant's qualifications. The personnel section may be made
available to other federal agencies, at their request, upon the
transfer of the assistant to such an agency.
Release of information to the news media: Information permitted
to be released to the news media and the public pursuant to 28 CFR
50.2 may be made available from systems of records maintained by the
Department of Justice unless it is determined that release of the
specific information in the context of a particular case would
constitute and unwarranted invasion of personal privacy.
Release of information to Members of Congress: Information
contained in systems of records maintained by the Department of
Justice, not otherwise required to be released pursuant to 5 U.S.C.
552, may be made available to Member of Congress of 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.
Release of information to the National Archives and Records
Administration: A record from a system of records may be disclosed as
a routine use to the National Archives and Records Administration
(NARA) in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of information to civil or criminal law enforcement
agencies: Information may be disclosed to any civil or criminal law
enforcement agency, whether Federal, State, local, or foreign, which
requires information relevant to a civil or criminal investigation.
Release of information to agencies regarding the hiring or
retention of employees: Information may be disclosed to officials and
employees of the White House or any Federal agency which requires
information relevant to an agency decision concerning the hiring,
appointment, or retention of an employee; the issuance of a security
clearance; the execution of a security or suitability investigation;
the classification of a job; or the issuance of a grant or benefit.
Release of information to Federal, State, and local licensing
agencies: Information may be disclosed to Federal, State, and local
licensing agencies or associations which require information
concerning the suitability or eligibility of an individual for a
license or permit.
Release of information before a court or adjudicative body:
Information may be disclosed in a proceeding before a court or
adjudicative body before which the Office of the Deputy Attorney
General (ODAG) is authorized to appear when (a) ODAG, or any
subdivision thereof, or (b) any employee of ODAG in his or her
official capacity, or (c) any employee of ODAG in his or her
individual capacity where the Department of Justice has agreed to
represent the employee, or (d) the United States, where ODAG
determines that the litigation is likely to affect it or any of its
subdivisions, is a party to litigation or has an interest in
litigation and such records are determined by ODAG to be arguably
relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in paper folders.
Retrievability:
Information is retrieved by use of the assistant's name, as the
folders are filed alphabetically by name.
Safeguards:
These records are maintained in cabinets stored in a locked room.
Retention and disposal:
These records are retained until the subjects of the files resign
or otherwise leave their offices for non-federal government
employment. In that instance, the personnel section is sent to the
St. Louis Records Center for an indefinite period. If the assistant
transfers to another agency of the federal government, the personnel
section is sent to the gaining agency. All other sections of the
folder are destroyed six months after the assistant leaves office.
System manager(s) and address:
Associate Deputy Attorney General, Office of the Deputy Attorney
General, United States Department of Justice, 10th and Constitution
Avenue, NW, Washington, DC 20530.
Notification procedure:
Address all inquiries to the System Manager. These records will
be exempted from subsections (d)(1) and (e)(1) of section 552a, Title
5, United States Code, by the Attorney General under the authority of
5 U.S.C. 552a(k)(5) to the extent therein permitted.
Record access procedures:
A request for access to non-exempt portions of records from this
system should be directed orally or in writing to the System Manager.
When requests are in writing, the envelope and letter should clearly
be marked `Privacy Access Request.'
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager,
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Sources of information contained in this system include the
individuals, government agencies as appropriate, and interested third
parties.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(d)(1) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
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.
JUSTICE/USA-018
System name:
United States Attorney's Office, Giglio Information Files.
System location:
Ninety-four United States Attorney's offices (see Appendix
identified as Justice/USA-999, last published 2-3-93 (58 FR 6983))
and offices posted on the Internet web site of the Executive Office
for United States Attorneys (EOUSA) at http://www.usdoj.gov/eousa;
and the EOUSA, U.S. Department of Justice, 950 Pennsylvania Avenue,
NW, Washington, DC 20530.
Categories of individuals covered by the system:
Individuals who may serve as affiants or testify as witnesses in
criminal proceedings brought by the ninety-four United States
Attorneys' offices.
Categories of records in the system:
This system contains potential witness impeachment information
including records of disciplinary actions. Records will include, but
are not limited to: (a) Specific instances of witness conduct that
may be used for the purpose of attacking the witness' credibility or
character for truthfulness; (b) evidence in the form of opinion as to
a witness' character or reputation for truthfulness; (c) prior
inconsistent statements; and (d) information that may be used to
suggest that a witness is biased. The system may also contain any
judicial rulings, related pleadings, correspondence, or memoranda
pertaining to the relevant criminal case.
Authority for maintenance of the system:
This system is established and maintained under the authority of
5 U.S.C. 516 and 547.
Purpose(s):
This system has been established to enable the Department of
Justice's prosecuting offices to maintain and disclose records of
potential impeachment information from the Department's investigative
agencies, in accordance with Giglio v. United States, 405 U.S. 150
(1972).
It permits the United States Attorneys' offices to obtain
information from federal and state agencies and to maintain and
disclose for law enforcement purposes records of impeachment
information that is material to the defense of federal criminal
prosecutions.
Primary users of this system will be Requesting Officials, who
are senior officials serving as the points of contact concerning
potential impeachment information within each of the United States
Attorneys' offices, and Assistant United States Attorneys who are
prosecuting cases and have an obligation to disclose impeachment
material under the Giglio decision.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record maintained in the system of records may be disseminated
as a routine use of such record as follows:
(a) A record will be provided to a court and/or defense attorney
in satisfaction of the Department's obligations under the Giglio
decision.
(b) A record, or facts derived therefrom, may be disseminated in
a proceeding before a court or adjudicative body before which the
United States Attorney's office or the Executive Office for United
States Attorneys is authorized to appear when (i) the United States
Attorney's office or the Executive Office for United States
Attorneys, or any subdivision thereof, or (ii) any employee of the
United States Attorney's office or the Executive Office for United
States Attorneys in his or her official capacity, or (iii) any
employee of the United States Attorney's office or the Executive
Office for United States Attorneys in his or her individual capacity
where the Department of Justice has agreed to represent the employee,
or (iv) the United States, or any agency or subdivision thereof,
where the United States Attorney's office or the Executive Office for
United States Attorneys determines that the litigation is likely to
affect it or any of its subdivisions, is a party to litigation or has
an interest in litigation and such records are determined by the
United States Attorney's office or the Executive Office for United
States Attorneys to be arguably relevant to the litigation;
(c) In any case in which there is an indication of a violation or
potential violation of law, criminal or regulatory in nature, the
record in question may be disseminated to the appropriate federal,
state, local, or foreign agency charged with the responsibility for
investigating or prosecuting such violation or charged with enforcing
or implementing the law;
(d) In the course of investigating any potential or actual
violation of any law, criminal, civil, or regulatory in nature, or
during the course of a trial or hearing or the preparation for a
trial or hearing for such violation, a record may be disseminated to
a federal, state, local, or foreign agency, or to an individual or
organization, if there is reason to believe that such agency,
individual, or organization possesses information relating to the
investigation, trial, or hearing and the dissemination is reasonably
necessary to elicit such information or to obtain the cooperation of
a witness or an informant;
(e) A record relating to a case or matter may be disseminated in
connection with a federal, state, or local administrative or
regulatory proceeding or hearing in accordance with the procedures
governing such proceeding or hearing;
(f) 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;
(g) 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;
(h) Subject to the limitations of 28 CFR 50.2 and after a
determination that release of the specific record in the context of a
particular case would not constitute an unwarranted invasion of
personal privacy, a record may be disseminated to the news media and
public;
(i) Records not otherwise required to be released pursuant to 5
U.S.C. 552a may be made available to a Member of Congress or staff
acting upon the Member's behalf when the Member or staff requests
information on behalf of and at the request of the individual who is
the subject of the record;
(j) A record may be disclosed as a routine use to the National
Archives and Records Administration (NARA) and to the General
Services Administration (GSA) in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Generally, all records are recorded on basic paper/cardboard
material and stored in file folders in file cabinets. Some offices
also may maintain the records in electronic format available through
the Requesting Official's computer terminal.
Retrievability:
Records are retrieved primarily by the name of the prospective
witness. A record within this system of records may be accessed
within a United States Attorney's office by the Requesting Official
or appropriate Assistant United States Attorney.
Safeguards:
Records in the system are confidential and are located in file
cabinets in the United States Attorneys' offices. Offices are locked
during non-working hours and are secured by either the Federal
Protective Service, the United States Postal Service, or in a private
building with controlled access to the various United States
Attorneys' offices and the Executive Office for United States
Attorneys. The ability to access electronically is restricted to
those who have a valid ID and password. Authorized access is limited
to those with a need-to-know and for the appropriate functions.
Retention and disposal:
Records are to be retained and disposed of in accordance with
agency retention plans. All records will also be maintained in
accordance with the Attorney General's Giglio Policy found in the
United States Attorney's Manual, Title 9, paragraph 5.100. Potential
impeachment information, together with any judicial rulings, related
pleadings, and related correspondence or memoranda, will be placed in
the office's Giglio Information File; copies will be provided to the
agency official that provided the information and to the employing
agency official for retention. When an employee has retired and any
litigation pending in the prosecuting office in which the employee
could be an affiant or witness is resolved, the Requesting Official
shall remove any record that can be accessed by the identity of the
employee.
System manager(s) and address:
System Manager for the system in each office is the Giglio
Requesting Official, as defined in the United States Attorney's
Manual, Title 9, paragraph 5.100, for the United States Attorney for
each district (see Appendix USA-999 or EOUSA Internet addresses at
http://www.usdoj.gov/eousa).
Notification procedure:
Address inquiries to the System Managers listed above.
Record access procedures:
Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), this record system
has been exempted from the access provisions in 5 U.S.C. 552a(d).
Contesting recORDS PROCEDURE:
Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), this record system
has been exempted from the record contesting provisions in 5 U.S.C.
552a(d)(3)-(4).
Record source categories:
Sources of records contained in this system include, but are not
limited to, reports of federal, state and local law enforcement
agencies; client agencies of the Department of Justice; other non-
Department of Justice investigative agencies; data, memoranda and
reports from the Court and agencies thereof; and the work product of
Assistant United States Attorneys, Department of Justice attorneys
and staff, and legal assistants working on particular cases.
System exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(4), (e)(2), (e)(5), and (g) of the Privacy Act, pursuant to 5
U.S.C. 552a(j)(2) and exempted this system from subsections (c)(3),
(d), (e)(1), (e)(4)(G) and (H), and (f), pursuant to 5 U.S.C. 552a
(j)(2) and (k)(2). These exemptions apply to the extent that
information in the system is subject to exemption pursuant to 5
U.S.C. 552a (j)(2) and (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 of this date and
proposed as additional to Title 28 Code of Federal Regulations (28
CFR part 16.81).
JUSTICE/USA-020
System name:
Employee Assistance Program (EAP) Counseling and Referral
Records, Justice/USA-020.
System location:
Records are maintained by the Executive Office for United States
Attorneys (EOUSA) Employee Assistance Program (EAP) staff. Interested
parties wishing to correspond regarding records should direct their
inquiries to the EAP Administrator, Executive Office for United
States Attorneys, 600 E St. NW., Room 6800, Washington, DC 20530,
(202) 514-1036.
Categories of individuals covered by the system:
Current and former employees of United States Attorneys Offices
(USAOs) throughout the country and employees of the Executive Office
for United States Attorneys (EOUSA) who have sought counseling or
have been referred for counseling or treatment through the EAP. To
the limited degree that counseling and referral may be provided to
family members of these employees, these individuals also are covered
by the system. The remainder of this notice will refer to all persons
covered by the system as ``EAP client(s).''
Categories of records in the system:
Records include any record, written or electronic, which may
assist in referring, diagnosing, evaluating, counseling and/or
follow-up with an EAP client, or resolving an EAP client's complaint
or management's concerns (management consultation) regarding the EAP
client's performance, attendance, or conduct problems. Included are
the EAP counselor's intake, follow-up, and termination notes;
pertinent psychosocial, medical, and employment histories; relevant
personnel documents; medical tests or screenings, including drug and
alcohol tests and information on positive drug tests generated by the
staff of the Drug Free Workplace Program or treatment facilities from
which the EAP client may be receiving treatment; treatment and
rehabilitation plans; and records of referrals. Referrals include
those to community treatment resources and social service agencies
that provide financial or other assistance which may or may not be
related to mental health or general medical services. Where clinical
referrals have been made, records may include relevant information
related to counseling, diagnosis, prognosis, treatment, and
evaluation, together with follow-up information that may be generated
by the community program providing the relevant services. Other
records included in the system are the written consent forms used to
permit the flow of information outside the EAP. Records may also
include account information, such as contractor billings and
government payments, when EAP services are provided by an EAP
contractor.
Authority for maintenance of the system:
42 U.S.C. 290dd et seq.; 42 CFR part 2; 5 U.S.C. 3301, 7361,
7362, 7901 and 7904; 44 U.S.C. 3103; Executive Order 12564; and Pub.
L. 100-71, sec. 503 (July 11, 1987).
Purpose(s):
Records are maintained to document the work performed by the EAP
on behalf of the EAP client and to allow for the tracking of the EAP
client's progress and the client's participation in the EAP or
community programs. These records may also be used to track
compliance with Abeyance or Last Chance agreements that include
treatment options, in which the EAP is an integral part of
establishing and/or monitoring treatment compliance as agreed by the
EAP client and management.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
In addition to those disclosures permitted by the Privacy Act
itself, 5 U.S.C. 552a(b), relevant information may be disclosed form
this system of records without EAP client consent as follows: \1\
---------------------------------------------------------------------------
\1\ To the extent that the release of alcohol and drug abuse
records is more restricted than other records subject to the Privacy
Act, EOUSA EAP staff will follow such restrictions. See 42 U.S.C.
290dd et seq.; 42 CFR part 2.
---------------------------------------------------------------------------
a. To contractors that may provide EAP counseling and other
services related to the administrative and financial management of
the EAP program to the extent that it is appropriate, relevant, and
necessary to enable the contractor to perform his or her counseling,
treatment, rehabilitation, and evaluation responsibilities.
b. To appropriate state or local authorities to report, where
required under state law, incidents of suspected child, elder or
domestic abuse or neglect.
c. To any person or entity to the extent necessary to prevent
imminent threat of serious bodily harm to client or others.
d. When an individual to whom a record pertains has been
determined to be mentally incompetent by a physician or under legal
disability, to any person who is legally responsible for the care of
the individual.
e. To any person or entity to the extent necessary to meet a bona
fide medical emergency.
f. Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information in this system is maintained on paper and computer
discs in accordance with 42 CFR 2.16.
Retrievability:
Records are indexed and retrieved by identifying number or
symbol, cross-indexed to EAP client names.
Safeguards:
Paper records and computer discs are kept in locked GSA-approved
security containers, and the computer discs are password-protected.
Only EOUSA EAP staff will have access to the records. Records may be
reviewed by any EAP staff member as may be needed to provide EAP
services. No record may be released by the EAP staff without prior
approval of the EAP System Manager.
Retention and disposal:
Records are retained for three years after the EAP client ceases
contact with the counselor (in accordance with General Records
Schedule No. 1, Item No. 26) unless a longer retention period is
necessary because of administrative or judicial proceedings. In such
cases, the records are retained for six months after the conclusion
of the legal proceedings. Paper records are destroyed by shredding,
which must be performed by an EAP staff member. Computer discs are
erased, degaussed, or physically destroyed by an EAP staff member.
System manager(s) and address:
The System Manager is the EAP Administrator, Executive Office for
United States Attorneys, 600 E St. NW., Room 6800, Washington, DC
20530 (202) 514-1036.
Notification procedure:
Same as Record Access Procedures.
Record access procedures:
Make all requests for access in writing to the EAP System Manager
identified above. Clearly mark the envelope and letter ``Freedom of
Information Act/Privacy Act Request.'' Provide the full name and
notarized signature of the individual who is the subject of the
record, the dates during which the individual was in EAP counseling,
any other information which may assist in identifying and locating
the record, and a return address. Pursuant to 28 CFR 16.41(d), an
original signature on a ``Certification of Identity'' form (DOJ-361)
may be submitted in lieu of a notarized signature. This form may be
obtained from the Department of Justice web site at http://
www.usdoj.gov.
Contesting record procedures:
Direct all requests to contest or amend information to the EAP
System Manager identified above. The request should follow the Record
Access Procedures, listed above, and should state clearly and
concisely the information being contested, the reason for contesting
it, and the proposed amendment thereof. Clearly mark the envelope and
letter ``Freedom of Information Act/Privacy Act Request.''
Record source categories:
Records are generated by EAP personnel, referral counseling and
treatment programs or individuals, the EAP client who is the subject
of the record, the personnel office, the EOUSA Legal Counsel's
Office, and the EAP client's supervisors. In the case of drug abuse
counseling, records may also be generated by the staff of the Drug-
Free Workplace Program and the Medical Review Officer.
Exemptions claimed for this system:
None.
JUSTICE/USA-999
System name: Appendix of United States Attorneys' office
locations: (Written requests for access to records in any of the
following U.S. Attorneys' offices except the District of Columbia
may be addressed to: FOIA/Privacy Unit, Patrick Henry Building,
601 D Street NW, room 6410, Washington, DC 20530.
Requests for access to records in the District of Columbia may be
addressed to: FOIA/Privacy, United States Attorney's Office for the
District of Columbia, Judiciary Center Building, 555 4th Street NW,
Washington, DC 20001.)
Systems are located as listed below:
ALABAMA
Northern District
200 Federal Bldg., 1800 5th Ave. N., Birmingham 35203
Middle District
PO Box 197, Montgomery 36101
Southern District
169 Dauphin St., Suite 200, Mobile 36602
ALASKA
222 W. 7th Ave., No. 9, Federal Bldg. & Courthouse, Rm.
C-253, Anchorage, 99513-7567
*Rm. 310, New Federal Bldg. & Courthouse,
101 12th Ave., Box 2, Fairbanks 99701
ARIZONA
4000 U.S. Courthouse, 230 N. First Ave., Phoenix 85025
*Suite 8310, 110 South Church Ave., Tucson 85701
ARKANSAS
Eastern District
PO Box 1229, Little Rock 72203
Western District
PO Box 1524, Fort Smith 72902
CALIFORNIA
Northern District
450 Golden Gate Ave., Box 36055, San Francisco 94102
*280 South First St., Rm. 371, San Jose 95113
Eastern District
3305 Federal Bldg., 650 Capitol Mall, Sacramento 95814
*4304 Federal Bldg., 1130 O St., Fresno 93721
Central District
312 N. Spring St., Los Angeles 90012
*751 West Santa Ana Blvd., Santa Ana 92701
Southern District
5-N-19 U.S. Courthouse, 940 Front St., San Diego 92189
COLORADO
Suite 1200, Federal Bldg., Drawer 3615, 1961 Stout St.,
Denver 80294
CONNECTICUT
PO Box 1824, New Haven 06508
*250 Federal Bldg., 450 Main St., Hartford 06103
*309 Federal Building & Courthouse, 915 Lafayette
Blvd., Bridgeport 06603
DELAWARE
Manufacturer's Hanover Plaza, 1201 Suite 1100, PO Box
2046, Wilmington 19899-2046
DISTRICT OF COLUMBIA
Judiciary Center Bldg. 555 4th St., NW, Washington, DC
20001 (Information)
Superior Court Division (Information)
FLORIDA
Northern District
315 S. Calhoun St., Suite 510, Tallahassee, 32301
*114 East Gregory St., Pensacola 32501
*401 SE 1st Ave., Room 318, Gainesville, 32602
Middle District
Rm. 400 Robert Timberlake Bldg., 500 Zack Street, Tampa
33602
*PO Box 600, Jacksonville 32201
*201 Federal Bldg., 80 N. Hughey Ave., Orlando 32801
*2000 Main St., The Barnett Centre, Suite 701,
Fort Myers, 33901
Southern District
155 South Miami Ave., Miami 33130
*Rm. 202B, 299 E. Broward Blvd., Fort Lauderdale 33301
*701 Clematis St., West Palm Beach 33401
*505 S. 2nd St., Suite 200, Ft. Pierce, 34950
GEORGIA
Northern District
Rm. 1800 Richard Russell Bldg., 75 Spring St. SW,
Atlanta 30335
Middle District
PO Box U, Macon 31202
Southern District
PO Box 8999, Savannah 31412
*PO Box 2017, Augusta 30903--All mail goes to Savannah
GUAM
Suite 502-A, Pacific News Bldg., 238 Archbishop Flores
St., Agana 96910
*3rd Floor, Horiguchi Bldg., PO Box 377, Saipan, MP
96950
HAWAII
Rm. 6100, PJKK Federal Bldg., Box 50183, 300 Ala Moana
Blvd., Honolulu 96850
IDAHO
Rm. 328, Federal Bldg., Box 037, 550 W. Fort St., Boise
83724
ILLINOIS
Northern District
1500 South, Everett McKinley Dirksen Bldg., 219 S.
Dearborn St., Chicago 60604
*211 South Court St., Rockford 61101
Southern District
9 Executive Dr., Suite 300, Fairview Heights, 62208
Central District
PO Box 375, Springfield 62705
*Rm. 253, Federal Building, 100 NE Monroe St., Peoria
61602
*14 Towne Centre, 2 East Main St., Danville 61832
*211 19th St., Room 14, Rock Island 61201
INDIANA
Northern District
1001 Main St., Suite A, Dyer 46311
*3128 Federal Bldg., 1300 S. Harrison St., Fort Wayne
46802
*MO-1 Federal Bldg., 204 S. Main St., South Bend 46601
Southern District
U.S. Courthouse, 5th Floor, 46 East Ohio St.,
Indianapolis 46204
IOWA
Northern District
425 2nd St., SE, Suite 950, The Center, Cedar Rapids
52401
*PO Box 3629, Sioux City 51102
Southern District
115 U.S. Courthouse, East 1st & Walnut Sts., Des Moines
50309
KANSAS
1200 Epic Center, 301 N. Main, Wichita 67202-4812
*444 Quincy St., Topeka 66683
*412 Federal Bldg., 812 N. Seventh St., Kansas City
66101
KENTUCKY
Eastern District
110 W. Vine St., Suite 400, Lexington 40507
*PO Box 72, Covington 41012
Western District
Bank of Louisville Bldg., 510 W. Broadway, 10th Floor,
Louisville 40202
LOUISIANA
Eastern District
Hale Boggs Federal Bldg., Rm., 210, 501 Magazine St.,
New Orleans 70130
Middle District
339 Florida St., 6th Floor, Baton Route 70801
Western District
401 Edwards St., Suite 2100, Shreveport 71101-6133
*600 Jefferson St., Suite 1000, Lafayette 70501-7206
MAINE
East Tower, 6th Floor, 100 Middle St. Plaza, Portland
04101
99 Franklin St., Bangor 04401
MARYLAND
8th Floor, U.S. Courthouse, 101 W. Lombard St.,
Baltimore 21201
MASSACHUSETTS
1107 John W. McCormack Federal Bldg., USPO &
Courthouse, Boston 02109
*1550 Main Street, Rm. 533, U.S. Courthouse,
Springfield 01103
MICHIGAN
Eastern District
817 Federal Bldg., 231 W. Lafayette, Detroit 48226
*PO Box 26, 204 Federal Bldg., 1000 Washington St., Bay
City 48707
*204 Federal Bldg., 600 Church St., Flint 48502
Western District
399 Federal Bldg., 110 Michigan St. NW, Gerald Ford
Fed. Bldg., Grand Rapids 49503
*D&N Bank of Marquette Bldg., PO Box 20, Marquette
29855
MINNESOTA
234 U.S. Courthouse, 110 South 4th St., Minneapolis
55401
*678 U.S. Courthouse, 316 N. Robert St., St. Paul 55101
MISSISSIPPI
Northern District
PO Drawer 886, Oxford 38655
Southern District
188 East Capitol St., Rm. 500, Jackson 39201
*PO Box 1417, Biloxi 39533
MISSOURI
Eastern District
401 U.S. Court & Custom House, 1114 Market St., St.
Louis 63101
*PO Box 2107, Cape Girardeau, 63702-2107
Western District
1201 Walnut, Suite 300, Kansas City 64106-2149
*Hammons Tower Suite 500, 901 St. Louis St.,
Springfield 65806-2511
MONTANA
PO Box 1478, Billings 59103
*167 Federal Bldg., 400 N. Main, Butte 59703
*PO Box 3447, Great Falls 59401
*Drawer 10031, Federal Bldg., 301 South Park Ave.,
Helena 59626
NEBRASKA
PO Box 1228, DTS, Omaha 68101-1228
*487 Federal Bldg., 100 Centennial Mall North, Lincoln
68508
NEVADA
Box 16030, Las Vegas 89101
*Rm. 2-032, 300 Booth St., Reno 89509
NEW HAMPSHIRE
55 Pleasant Street Rm. 439, PO Box 480, Concord 03302-
0480
NEW JERSEY
Federal Bldg., 970 Broad St., Room 502, Newark 07102
*402 East State St., Rm. 502, Trenton 08608
*PO Bldg., 401 Market St., Fifth Floor, Camden 08101
NEW MEXICO
PO Box 607, Albuquerque 87103
*U.S. Courthouse, 200 East Griggs St., Rm. E-108, Las
Cruces 88001
NEW YORK
Northern District
PO Box 7198, 100 South Clinton St., Syracuse 13261-7198
* U.S. Courthouse & Post Office, Room 231, 445
Broadway, Albany 12207
*319 Federal Bldg., Binghamton 13901
Eastern District
U.S. Courthouse, 225 Cadman Plaza East, Brooklyn 11201
*825 East Gate Blvd., Garden City 11530
*300 Rabro Drive, Hauppauge 11788
Western District
502 U.S. Courthouse, 68 Court St., Buffalo 14202
*233 U.S. Courhouse, 100 State St., Rochester 14614
Southern District
One St. Andrews Plaza, New York 10007
*150 Grand St., 4th Floor, White Plains, NY 10601
NORTH CAROLINA
Eastern District
310 New Bern Ave., Suite 800, Raleigh 27601-1461
Middle District
PO Box 1858, Greensboro 27402
Western District
Rm. 306, U.S. Courthouse, 100 Otis St., Asheville
28801-2611 (all mail goes to Charlotte)
*Rm. 260, U.S. Courthouse, 401 W. Trade St., Charlotte
28202
NORTH DAKOTA
PO Box 2505, Fargo 58108
*PO Box 699, Bismarck 58502
OHIO
Northern District
1800 Bank One Center, 600 Superior Ave. East, Cleveland
44114-2600
*208 Federal Bldg., 2 South Main St., Akron 44308
*307 U.S. Courthouse, 1716 Spielbusch Ave., Toledo
43624
Southern District
2 Nationwide Plaza, 280 N High St., 4th Floor, Columbus
43215
*5th & Walnut Sts., 220 U.S. Post Office & Courthouse,
Cincinnatti 45202
PO Box 280, Mid City Station, Dayton 45402
OKLAHOMA
Northern District
3900 U.S. Courthouse, 333 W. Fourth St., Tulsa 74103
Eastern District
333 Federal Courthouse, 5th & Okmulgee, Muskogee 74401
Western District
Rm. 4434, U.S. Courthouse & Federal Office Bldg.,
Oklahoma City 73102
OREGON
888 SW 5th Ave., Suite 1000, Portland 97204-2024
*701 High St., Eugene 97401
PENNSYLVANIA
Eastern District
3310 U.S. Courthouse, Independence Mall West, 601
Market St., Philadelphia 19106
Middle District
PO Box 309, Scranton 18501-0309 (send USA mail to
Harrisburg)
*Suite 1162 Federal Bldg. 3rd & Walnut Sts., PO Box
11754 Harrisburg 17108
*Rm. 307, US Post Office Bldg., Lewisburg 17837
Western District
633 USPO & Courthouse, 7th Ave. & Grant St., Pittsburgh
15219
*Rm. 137, U.S. Courthouse & Federal Bldg., 617 State
St., Erie 16501
*Suite 224, 10 Traffic Bldg., 319 Washington Ave.,
Johnstown, 15901
PUERTO RICO
Federal Office Bldg., Rm. 452, Carlos E. Chardon Ave.,
Hato Rey 00918
RHODE ISLAND
10 Dorrance St., 10th Floor, Providence 02903
SOUTH CAROLINA
1st Union Blvd., 1441 Main St., Suite 500, Columbia
29201
*PO Box 978, Charleston 29402
*PO Box 10067, Greenville 29603
*PO Box 1567, Florence 29503
SOUTH DAKOTA
PO Box 1073, Sioux Falls 57101
*PO Box 2893, Rapid City 57709
*326 Federal Bldg. & Courthouse, 225 S. Pierre St.,
Pierre 57501
*311 PO & Courthouse Bldg., 102 SE Fourth Ave.,
Aberdeen 57401
TENNESSEE
Eastern District
PO Box 872, Knoxville 37901
*1100 Market St., Suite 301, Chattanooga 37402
*104 \1/2\ W. Summer St., Greenville 37743
*208 Sunset Drive, Suite 509, Johnson City 37604
Middle District
110 9th Ave. S., Suite A961, Nashville 37203-3870
Western District
1026 Federal Office Bldg., 167 N. Main St., Memphis
38103
USPO & Courthouse Bldg., Rm. 308, 109 South Highland,
Jackson 38302
TEXAS
Northern District
Burnett Plaza, Suite 1700, 801 Cherry St., Ft. Worth
76102-6897
*Rm. 16G28, U.S. Federal Bldg. & Courthouse, 1100
Commerce St., Dallas 75242
*Rm. C-201, U.S. Federal Bldg. & Courthouse, 1205 Texas
Ave., Lubbock 79401
PO Box 13236, Amarillo 79101-1559
Southern District
PO Box 61129, Houston 77208
*PO Box 886, Laredo 78042-0886
*PO Box 1671, Brownsville 78522
*Wilson Plaza, Suite 1400, 606 N. Carancahua, Corpus
Christi 78476
*Texas Commerce Bldg., 1701 West Highway 83, Suite 305,
McAllen 78501-5159
Eastern District
350 Magnolia St., Suite 150, Beaumont 77701-2237
*110 N. College, Suite 600, Tyler 75702
*One Grand Centre, Suite 504, 1 Grand Ave., Sherman
75090
Western District
727 East Durango Blvd., Suite A-601, San Antonio 78206
*Rm. 353 U.S. Courthouse Bldg., 511 E. San Antonio
Ave., El Paso 79901
*816 Congress Ave., Suite 650, First City Centre,
Austin 78701
*U.S. Courthouse, 200 E. Wall St., Midland 79701
*700 University Parks Dr., Suite 770, Waco 76706
UTAH
U.S. Courthouse, Room 476, 350 South Main Street, Salt
Lake City 84101
VERMONT
PO Box 570, Burlington 05402
*PO Box 10, Rutland 05701
VIRGIN ISLANDS
PO Box 1440, Charlotte Amalie, St. Thomas 00804-1440
All Mail to This Office
*1108 King St., Suite 201, Christiansted, St. Croix
00820-4951
VIRGINIA
Eastern District
1101 King Street, Suite 502, Alexandria 22314
*Main Street Center, Suite 1800, 600 E. Main St.,
Richmond 23219
*World Trade Center, Suite 1800, 101 W Main St.,
Norfolk 23510
Western District
*PO Box 1709, Roanoke 24008
*PO Box 1098, Abingdon 24210
WASHINGTON
Eastern District
PO Box 1494, Spokane 99210-1494
*PO Box 1363, Yakima 98907-1363
Western District
3600 Seafirst 5th Ave. Plaza, 800 5th Ave., Seattle
98104
*Suite 400, 1201 Pacific Ave., Tacoma 98402
WEST VIRGINIA
Northern District
PO Box 591, Wheeling 26003
*PO Box 190, Elkins 26241
*PO Box 750, Clarksburg 26302
*U.S. Courthouse, Room 236, Martinsburg 25401
Southern District
PO Box 3234, Charleston 25332
*PO Box 1239, Huntington 25714
---------------------------------------------------------------------------
*Branch Office
---------------------------------------------------------------------------
WISCONSIN
Eastern District
330 Federal Bldg., 517 E. Wisconsin Ave., Milwaukee
53202
Western District
600 West Washington Ave., PO Box 1585, Suite 200,
Madison 53703
WYOMING
PO Box 668, Cheyenne 82003
NORTH MARIANNA ISLANDS
c/o U.S. Attorney's Office, 6th Floor, Naura Bldg., PO
Box 377, Saipan, CM 96950
DEPARTMENT OF JUSTICE
United States Marshall Service
JUSTICE/USM-001
System name:
U.S. Marshals Service Badge & Credentials File.
Security classification:
Limited official use.
System location:
Human Resources Division, United States Marshals Service, 600
Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
U.S. Marshals Service (USMS) personnel.
Categories of records in the system:
Personnel data system established to control issuance of badges
and credentials to USMS personnel which contains photographs of all
employees and hand receipts showing the employee's name, title, duty
location, badge and credential numbers, and date of issuance.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
The Badge & Credentials File system assists in controlling the
issuance of badges and credentials to USMS personnel which are used
for identification purposes in the performance of official duties.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This file serves as a record of issuance of credentials.
Information from this file may be disclosed:
(a) To the appropriate law enforcement agency, e.g., FBI, Secret
Service, State, county and municipal police responsible for
investigating, prosecuting, enforcing, defending, or implementing a
statute, rule, regulation, or order, to the extent that the
information is relevant to the recipient's functions or where there
is an indication of an actual or potential violation of civil or
criminal law, statute, rule, regulation, or order within the
jurisdiction of the recipient agency;
(b) In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions;
(c) To student volunteers and other workers, who technically do
not have the status of federal employees, when they are performing
work for the USMS as authorized by law, and they need access to
personally identifiable information in USMS records in order to
perform their assigned agency functions;
(d) 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;
(e) 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;
(f) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are kept in standard folders.
Retrievability:
Indexed by name of individual and numerical order of badges and
credentials.
Safeguards:
Access restricted to personnel of the Background and Suitability
Team, Human Resources Division. Records are maintained in metal
filing cabinets which are locked during non-duty hours.
Retention and disposal:
Records are kept for duration of employee's tenure in the
service.
System manager(s) and address:
Assistant Director, Human Resources Division, USMS, 600 Army Navy
Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
A request for access to a record from this system shall be made
in writing with the envelope and the letter clearly marked ``privacy
Act Request.'' It should clearly indicate the name of requester, the
nature of the record sought and the approximate dates covered by the
record. The requester shall also provide the required verification of
identity (28 CFR 16.41(d)) and provide a return address for
transmitting the information. Access requests will be directed to the
System Manager listed above, Attention: FOI/PA Officer.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Record of Notification of Employment by U.S. Marshals Service,
Human Resources Division.
Exemptions claimed for the system:
None.
JUSTICE/USM-002
System name:
Internal Affairs System.
Security classification:
Limited Official Use.
System location:
United States Marshals Service (USMS), Executive Services
Division, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
USMS employees.
Categories of records in the system:
The Internal Affairs System contains statements of the
investigator and witnesses interviewed, exhibits and reports of
investigations prepared by the Office of Internal Affairs, USMS, on
findings of alleged misconduct of USMS employees, and records on the
disposition of the investigation.
Authority for maintenance of the system:
28 U.S.C. 509, and 510; 5 U.S.C. 301; 44 U.S.C. 3101; and 28 CFR
0.111(n).
Purpose(s):
The Internal Affairs system is maintained in order to carry out
the responsibility of investigating allegations of improper conduct
on the part of USMS employees, and to support adverse personnel
actions and proceedings which may result based on the findings of the
investigation.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records or information may be disclosed:
(a) To complainants of alleged civil rights violations and/or
victims of civil rights violations to the extent necessary to provide
such persons with information and explanations concerning the
progress and/or results of the civil rights investigation, and
discipline imposed in substantiated cases.
(b) To the extent that investigations reveal actual or potential
violations of criminal or civil laws, to the appropriate Federal,
State or local law enforcement agencies for further investigations,
or to the appropriate agency responsible for investigating,
prosecuting, enforcing, defending, or implementing a statute, rule,
regulation or order, to the extent the information is relevant to the
recipient's function.
(c) To public and private organizations, individuals, and
Federal, State, local, and foreign agencies to the extent necessary
to obtain information or cooperation in investigations of alleged
misconduct by USMS employees.
(d) To students volunteers or other workers, who technically do
not have the status of Federal employees, when they are performing
work for the USMS as authorized by law and they need access to
personally identifiable information in USMS records in order to
perform their assigned USMS functions.
(e) To a Federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the conducting of a security or suitability
investigation of an individual, the classifying of jobs, the letting
of a contract or the issuance of grant, license or other benefit by
the requesting agency, to the extent the information is relevant and
necessary to the requesting agency's decision on the matter.
(f) In a proceeding before a Court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation;
the USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity, where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
(g) 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.
(h) 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.
(i) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Originals stored in standard file folders. Duplicate copies are
maintained on compact discs.
Retrievability:
Information is retrieved by name of employee and case file
number.
Safeguards:
Records are stored in locked safe. Access to automated records is
protected by user identification and passwords.
Retention and disposal:
Records are transferred to the Washington National Records Center
three years after close of case or investigation, and destroyed 10
years after close of case or investigation.
System manager(s) and address:
Chief, Office of Internal Affairs, Executive Services Division,
U.S. Marshals Services, 600 Army Navy Drive, Arlington, Virginia
22202-4210.
Notification procedure:
Same as the ``Records access procedures.''
Record access procedures:
To the extent that this system is not subject to exemption, it is
subject to access and contest. A determination as to exemption shall
be made at the time a request for access is received. A request for
access to a record from this system shall be made in writing, with
the envelope and the letter clearly marked ``Privacy Act Request.''
It should clearly indicate name of the requestor, the nature of the
record sought and approximate dates covered by the record. The
requestor shall also provide the required verification of identity
(28 CFR 16.41(d)) and provide a return address for transmitting the
information. Access requests will be directed to the System Manager
listed above, Attention: FOI/PA Officer.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
identified above, stating clearly and concisely what information is
being contested, the reason for contesting it, and the proposed
amendment to the information sought.
Record source categories:
Information derived from investigation of alleged malfeasance by
USMS, Office of Internal Affairs.
Exemption claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G) and (H), (e)(5),
(f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2) and
(k)(5). To the extent that investigations reveal actual or potential
criminal or civil violations, this system is additionally exempt from
subsection (e)(8) of the Privacy Act pursuant to 5 U.S.C. 552(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.
JUSTICE/USM-003
System name: U.S. Marshals Service Prisoner Transportation
System.
System location:
Prisoner Transportation Division, U.S. Marshals Service (USMS),
Department of Justice, 911 Walnut Street, Kansas City, Missouri
64106.
Categories of individuals covered by the system:
Prisoners taken into custody of and transported by the U.S.
Marshal.
Categories of records in the system:
Any and all information necessary to schedule and effect the safe
and efficient movement of prisoners for court appearances and service
of sentence. Information will include: (1) Requests for prisoner
movement generated by the U.S. Marshal having custody of the
prisoner. These requests include identifying information for each
prisoner taken into U.S. Marshal custody; the offense(s) for which
the prisoner is charged and the disposition of the charge(s); the
process code defining the purpose of the prisoner movement (e.g.,
judgment and commitment, warrant of removal); names and information
on other prisoners scheduled for movement on the trip, including
sensitive security data, e.g., cautions to be considered in
scheduling the prisoner for movement and observed during the prisoner
movement, such as informant or protected witness status and location,
or any special medical requirements; jail location where the prisoner
is housed; the final destination for the prisoner; the deadline date
for the prisoner movement; and the security classification (and any
information relevant thereto) of the prisoner movement; (2) trip
authorization messages which include the trip itinerary, cost data,
mode of travel, names and grades of USMS personnel assigned to the
trip, names of prisoners transported, and access codes, data entry
codes and message routing symbols used in law enforcement
communications systems to schedule and effect prisoner movements; (3)
trip completion reports; (4) notifications to the U.S. Marshal
regarding out-of-district prisoners to be housed overnight within his
or her district during transit; and (5) reports of incidents,
accidents, or illnesses during transit.
Authority for maintenance of the system:
18 U.S.C. 3193, 3621, 3623, 4002, 4008, 5001; 28 U.S.C. 509, 510,
568, 569, 573; 5 U.S.C. 301; 44 U.S.C. 3101; and 28 CFR 0.111(j).
Purpose(s):
To manage the overall prisoner transportation program by
coordinating and effecting the movement of prisoners in custody of
the USMS for necessary court appearances or service of sentence.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Relevant records or information may be disclosed as a routine
use:
(a) To other Federal, State and local law enforcement officials
to schedule and effect safe and efficient prisoner movements, e.g.,
to make appropriate travel arrangements, to arrange for overnight
housing spaces for prisoners during transit, to coordinate medical
and security requirements for prisoner movements, and to otherwise
ensure the safe delivery of prisoners at the designated institution
or U.S. Marshal's office.
(b) 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.
(c) To a Member of Congress or staff acting upon the Member's
behalf where the Member or staff requests the information on behalf
of and at the request of the individual who is the subject of the
record.
(d) To the National Archives and Records Administration (NARA)
and to the General Services Administration in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is stored in standard file cabinets. Duplicate copies
of paper records are stored on magnetic discs.
Retrievability:
Information is retrieved by name of prisoner and number.
Safeguards:
Access restricted to Operations Personnel. File cabinets are
locked during non-duty hours. Access to automated records is
protected by user identification numbers and passwords.
Retention and disposal:
The USMS is reviewing a proposed disposition schedule for these
records. Upon approval by the USMS Records Management Officer and
NARA, this section of the notice will be revised to identify the
approved schedule.
System manager(s) and address:
Chief, Prisoner Transportation Division, United States Marshals
Service, U.S. Department of Justice, 911 Walnut Street, Kansas City,
Missouri 64106.
Notification procedure:
Same as System Manager.
Record access procedures:
A request for access to a record from this system shall be made
in writing, with the envelope and the letter clearly marked ``Privacy
Access Request.'' It should clearly indicate name of requester, the
nature of the record sought and approximate dates covered by the
record. The requestor shall also provide the required verification of
identity (28 CFR 16.41(d)) and provide a return address for
transmitting the information. Access requests will be directed to the
System Manager listed above, Attention: FOI/PA Officer.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
listed above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Information contained in this system is obtained from each
prisoner taken into custody by the U.S. Marshal, court records,
physicians, law enforcement agencies, and informants.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsection (c)
(3) and (4), (d), (e)(1), (2), (5) 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.
JUSTICE/USM-004
System name:
Special Deputation Files.
Security classification:
Limited Official Use.
System location:
United States Marshals Service (USMS), Executive Services
Division, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Special Deputies, who are selected law enforcement officers and
employees of the U.S. Government, and selected employees of private
security companies.
Categories of records in the system:
Special Deputation files contain the oath of office and
credential of persons utilized as deputy marshals and include
identifying data on the special deputy, expiration date of special
deputation, requests for special deputation submitted by the
employing agency, and certification of firearms qualification.
Authority for maintenance of the system:
28 CFR subpart T, Sec. 0.112, 28 U.S.C. 562.
Purpose(s):
The USMS is authorized to deputize selected persons to perform
the functions of a Deputy U.S. Marshal whenever the law enforcement
needs of the USMS so require, to provide courtroom security for the
Federal judiciary, and as designated by the Associate Attorney
General pursuant to 28 CFR 0.19(a)(3). USMS Special Deputation files
serve as a centralized record of the special deputations granted by
the USMS to assist in tracking, controlling and monitoring the
Special Deputation Program.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records of information may be disclosed:
(a) To Federal agencies for whom the USMS has deputized
employees.
(b) In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
(c) To student volunteers or other workers, who technically do
not have the status of Federal employees, when they are performing
work for the USMS as authorized by law and they need access to
personally identifiable information in USMS records in order to
perform their assigned USM functions.
(d) 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.
(e) 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.
(f) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are filed in standard file cabinets. Duplicate copies of
paper records are stored on magnetic discs.
Retrievability:
Files are indexed by name and by government department.
Safeguards:
Records are kept in a locked file. Computerized records are
password protected.
Retention and disposal:
Records and closed annually upon expiration of special deputation
and destroyed when give years old.
System manager(s) and address:
Assistant Director, Executive Services Division, U.S. Marshals
Service, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as the ``Records access procedures.''
Record access procedures:
A request for access to a record from this system shall be made
in writing, with the envelope and the letter clearly, marked
``Privacy Act Request.'' It should clearly indicate name of the
requester, the nature of the record sought and approximate dates
covered by the record. The requestor shall also provide the required
verification of identity (28 CFR 16.41(d)) and provide a return
address for transmitting the information. Access requests will be
directed to the System Manager listed above, Attention: FOI/PA
Officer.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
identified above, stating clearly and concisely what information is
being contested, the reasons for contesting it and the proposed
amendment to the information sought.
Record source categories:
Federal agencies requesting special deputations provide all
necessary information required by the USMS in making the special
deputations.
Exemptions claimed for the system:
None.
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, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Decentralized Segments: Each district office of the U.S.
Marshalls Service (USMS) maintains 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
(www.usdoj.gov/marshals/usmsofc.html).
Categories of individuals covered by the system:
Prisoners taken into U.S. Marshal custody.
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; name and address of
treatment facility, dates of service, provider tax identification
numbers; medical care given, cost of care, and billing records.
Medical records generated by health care providers maybe included in
this system as authorized by the prisoner for treatment purposes 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, 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 (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 their safe and
efficient transfer to other jurisdictions, to court appearances, or
to the designated 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. To the appropriate Federal, State, local or foreign agency
responsible for investigating, prosecuting, enforcing, defending, or
implementing a statute, rule, regulation, or order to the extent that
the information is relevant to the recipient's law enforcement
function.
3. To the appropriate Federal, State, local or foreign law
enforcement agency where there is an indication of an actual or
potential violation of civil or criminal laws, statutes, rules, or
regulations within the jurisdiction of the recipient agency.
4. To Federal, State or local public health agencies for
infectious disease control.
5. In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
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 should 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) and
to the General Services Administration in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices 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 records are stored on magnetic discs.
Retrievability:
Information is retrieved by name of prisoner and/or prisoner
number.
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.
Retention and disposal:
Records are kept in active files until a prisoner has been
transferred out of the district's custody or until his/her judicial
proceedings have been completed. Records are then transferred to
inactive files. The USMS is reviewing a proposed disposition schedule
for these records. Upon approval by the USMS Records Management
Officer and NARA, this section of the notice will be revised to
identify the approved schedule.
System manager(s) and address:
Assistant Director, Prisoner Services Division, United States
Marshals Service, 600 Army Navy Drive, Arlington, Virginia 22202-
4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
A request for access to a record from this system shall be made
in writing, with the envelope and the letter clearly marked ``Privacy
Act Request.'' It should clearly indicate name of requester, the
nature of the record sought and approximate dates covered by the
record. The requester shall also provide the required verification of
identity (28 CFR 16.41(d)) and provide a return address for
transmitting the information. Access requests will be directed to the
system manager listed above, Attention: FOI/PA Officer.
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 what information is being contested, the reasons for
contesting it, and the proposed amendment sought.
Record source categories:
Information is received from the prisoner, the courts, Federal,
State, local 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 5U.S.C. 553(b),
(c) and (e) and have been published in the Federal Register.
JUSTICE/USM-006
System name:
United States Marshals Service Training Files.
Security classification:
Limited official use.
System location:
a. Primary system: Human Resources Division, United States
Marshals Service, 600 Army Navy Drive, Arlington, Virginia 22202-
4210.
b. Decentralized segments: Individual training files and the
Fitness in Total (FIT) Program training assessment files, identified
as items (1) and (3) under ``Category of Records in the System,'' are
located also at the USMS Training Academy, Department of Justice,
Building 70, Glynco, Georgia 31524. Each district office of the USMS
maintains FIT files only on their respective participants in the FIT
Program. The addresses of USMS district offices are on the Internet
(www.usdoj.gov/marshals/usmsofc.html).
Categories of individuals covered by the system:
USMS employees.
Categories of records in the system:
(1) Individual training files contain information on the
individual's educational background and employee training history,
and an individual career development plan; (2) skills files identify
languages and other special skills possessed by the individual USMS
employee; and (3) individual FIT Program training assessment files
contain records on physical and medical examinations, blood tests,
health histories, physical assessments, and administrative records on
participation, goal setting and progress while in the program. The
Certificate of Medical Examination (SF-78) is maintained in the
primary system at USMS headquarters only unless obtained and placed
in the district file by the individual FIT participant.
Authority for maintenance of the system:
28 U.S.C. 509, 510, and 569; 5 U.S.C. 301; 44 U.S.C. 3101; and 28
CFR 0.111(h).
Purpose(s):
Individual training files are used to make employment, promotion,
or retention determinations for all Deputy U.S. Marshals; to develop
training histories; and to determine training and/or promotion
eligibility. In addition, FIT Program training assessment files are
used to make hiring/retention determinations for Deputy U.S. Marshal
personnel entering on duty as of July 1, 1984 and later; to determine
employees' eligibility to participate in the program; to tailor an
individual fitness program for each employee; to chart employee
progress in the program; to determine the need for and to chart
progress toward weight reduction; to develop physical fitness
standards for performance appraisal purposes; and to examine
statistically the physical fitness level of the USMS workforce
against law enforcement populations and the general population of the
United States. Skills files re used to identify special skills and
language abilities possessed by personnel to aid in staffing special
assignments which require such skills.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records or information may be disclosed as a routine use:
(a) In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
(b) To student volunteers and other workers, who technically do
not have the status of federal employees, when they are performing
work for the USMS as authorized by law, and they need access to
personally identifiable information in USMS records in order to
perform their assigned agency functions.
(c) To a Federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the conducting of a security or suitability
investigation of an individual, the classifying of jobs, the letting
of a contract or the issuance of a grant, license 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.
(d) 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.
(e) To congressional members or staff on behalf of and at the
request of the constituent who is the subject of the record.
(f) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of title 44 of the United States Code.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Originals of paper records contained in this system are kept in
standard file cabinets. Skills files, summaries of FIT Program
training assessment records, and duplicates of paper records are
stored on magnetic discs.
Retrievability:
Records are retrieved by name of employee.
Safeguards:
Records are maintained in metal filing cabinets which are locked
during nonduty hours. Entry to headquarters is restricted by 24-hour
guard service to employees with official and electronic
identification. Entry to the Training Academy and district offices is
restricted generally to trainees/employees with official
identification. Access to computerized records in this system is
restricted to the responsible headquarters employees by assigned
code.
Retention and disposal:
Files are maintained until the employee leaves the USMS at which
time paper records are shredded and magnetic discs are erased.
System manager(s) and address:
Assistant Director, Human Resources Division, USMS, 600 Army Navy
Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter
and envelop ``Freedom of Information Act/Privacy Act Request.''
Clearly indicate name of the requester, nature of the record sought,
approximate dates of the records, and provide the required
verification of identity (28 CFR 16.41(d)). Direct all requests to
the system manager identified above, Attention: FOI/PA Officer, and
provide a return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager listed above. State clearly and concisely the information
being contested, the reasons for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Freedom of Information Act/Privacy Act Request.''
Record source categories:
Information contained in this system is collected from the
individual, training personnel, the Combined Federal Law Enforcement
Training Academy, examining physicians, fitness coordinators, and
personnel records.
Exemptions claimed for the system:
None.
JUSTICE/USM-007
System name:
Warrant Information Network (WIN).
Security classification:
Limited Official Use.
System location:
Primary System: Investigative Services Division, U.S. Marshals
Service (USMS), 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Decentralized Segments: Each district office of the USMS
maintains their own files. The addresses of USMS district offices are
available on the Internet at www.usdoj.gov/marshals/usmsofc.html.
Categories of individuals covered by the system:
Individuals for whom Federal warrants have been issued;
individuals for whom State or local warrants have been issued when
the warrant is part of a USMS sponsored multi-agency task force; and
associates who may provide information, assistance or leads in USMS
fugitive investigations.
Categories of records in the system:
Computerized records in this system consist of information
related to the warrant, including dates, issuing Federal district,
nature of the offense, investigative notes; information related to
subjects, including biographical data, physical description, and
criminal history, and their association with other individuals,
dangerous gangs, extremist groups, or other organizations;
information on associates including physical description,
photographs, numerical identifiers, addresses, and driver's license
information; and investigative information furnished by other
Federal, State or local law enforcement or other government agencies
and non-government sources. In addition to the abbreviated data
described above, the complete file contains the warrant and other
court records and internal correspondence related to the warrant;
photograph; wanted flyers/posters and investigative reports
reflecting patterns of activity, leads developed and statements of
witnesses and other persons cooperating with USMS fugitive
investigations. Investigative reports and criminal record information
from other Federal, State, local and foreign law enforcement agencies
participating in or cooperating with USMS fugitive investigations and
apprehension efforts are also included in this system.
Authority for maintenance of the system:
28 U.S.C. 509, 510 and 561 et seq.; 28 CFR 0,111(a) and (q).
Purpose(s):
The USMS is responsible for ensuring the effective operation of
the judicial system through the execution of Federal arrest warrants,
parole violator warrants, Federal custodial and extradition warrants,
and for investigating fugitive matters, domestic and foreign,
involving escaped federal prisoners, and probation, parole, mandatory
release, and bond default violators. The WIN system facilitates the
efficient management and administration of USMS fugitive
investigations through the collection, flow, analysis, dissemination
and maintenance of records and information necessary to accomplish
this mission.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records or information may be disclosed: (a) To public and
private organizations, individuals, and Federal, State, local and
foreign agencies to the extent necessary to obtain information or
cooperation in USMS fugitive investigations and apprehension efforts.
(b) Upon request, to the appropriate Federal, State, local or
foreign law enforcement agency responsible for investigating,
prosecuting, enforcing, defending, or implementing a statute, rule;
regulation; or order, to the extent that the information is relevant
to the recipient's function.
(c) Without a request, to an appropriate Federal, State or local
law enforcement agency where there is an indication of an actual or
potential violation of civil or criminal laws, statutes, rules, or
regulations within the jurisdiction of the recipient agency.
(d) In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
(e) 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.
(f) 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.
(g) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in standard file folders. Duplicate copies of
paper records are stored on magnetic discs.
Retrievability:
Records are retrieved by individual names or identifying numbers.
Safeguards:
Except as otherwise noted in paragraph (b) under ``Routine
uses,'' access is restricted to personnel in the Investigative
Services Division and in each USMS district office. Access to
computerized records is safeguarded by user identification and
password restrictions. Paper records are maintained in filing
cabinets within supervised areas of the U.S. Marshals' offices.
District and headquarters offices are locked during working and non-
duly hours and entry is restricted to employees with official
identification.
Retention and disposal:
Records are kept in an operating file until warrant is executed
and then transferred to closed file. Closed files are retained for
one year after file is closed, then transferred to the Federal
Records Center and destroyed after 55 years. Computerized records are
retained indefinitely as an operating file or as a closed case file.
System manager(s) and address:
Assistant Director, Investigative Services Division, U.S.
Marshals Service, U.S. Department of Justice, 600 Army Navy Drive,
Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter
and envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate the name of the requester, nature of the record sought,
approximate date of the record, and provide the required verification
of identity (28 CFR 16.41(d). Direct all requests to the system
manager identified above, Attention: FOI/PA Officer, and provide a
return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager identified above. State clearly and concisely the information
being contested, the reason for contesting it, and the proposed
amendment to the information sought. Clearly mark the envelope
``Freedom of Information/Privacy Act Request.''
Record source categories:
Information is obtained from the courts, Federal, State, local
and foreign law enforcement agencies, public and private
organizations, witnesses, informants, and other persons interviewed
during the course of the fugitive investigation.
Exemptions claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5),
(e)(8), (f) 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.
JUSTICE/USMS-008
System name:
Witness Security Files Information System.
Security classification:
Limited Official use.
System location:
Witness Security Program, United States Marshals Service (USMS),
600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Government witnesses who are participants in the Federal Witness
Security Program.
Categories of records in the system:
(1) Authorization to enter the program; (2) background
information (education, experience, medical history, names,
relatives, etc.); (3) funding information; (4) moving information;
(5) documentation of all of the above.
Authority for maintenance of the system:
28 U.S.C. 509, 510, 524 and 561 et seq.; 5 U.S.C. 301; 44 U.S.C.
3101; 28 CFR 0.111(c); 18 U.S.C. 3521.
Purpose(s):
The USMS provides for the security, health and safety of
government witnesses and their immediate dependants whose lives are
in danger as a result of their testimony against organized crime,
drug traffickers, terrorists and other major criminals. The Witness
Security Files are used to plan and accomplish the major functions
involved in the protection of government witnesses and their
families. Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses of records in the system, including categories of
users and the purposes of such uses:
Records or information may be disclosed as follows:
(a) In a proceeding before a Court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions, any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions;
(b) 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;
(c) 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;
(d) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are kept in file folders and in a computerized database.
Retrievability:
Filed and retrieved by special ID number.
Safeguards:
Access is restricted to Witness Security personnel using locks
and alarm devices, passwords and/or encrypting data communications.
The records are located in a restricted area of USMS Headquarters
under 24-hour guard protection with entry controlled by official and
electronic identification.
Retention and disposal:
All records at this time are being indefinitely maintained with
the exception of financial records, which are destroyed after three
years and three months in accordance with General Records Schedules
6, 7 and 8.
Chief, Witness Security Program, U.S. Marshals Service, 600 Army
Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as the ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter
and envelope ``Privacy Act Request.'' Clearly indicate name of the
requester, nature of the record sought, approximate dates of the
record, and provide the required verification of identity (28 CFR
16.41(d)). Direct all requests to the system manager identified
above, Attention: FOI/PA Officer, and provide a return address for
transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager listed above. State clearly and concisely the information
being contested, the reasons for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Privacy Act Request.''
Record source categories:
All identifying background criteria of individual: (1) Education;
(2) job history; (3) medical history; (4) history of residence; (5)
relatives, etc., is provided by the individual, the court, other
Federal, State, local and foreign law enforcement agencies, and
medical personnel.
Exemptions claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(2) and (3), (e)(4)(G) and (H), (e)(8), (f)
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.
JUSTICE/USM-009
System name:
Inappropriate Communications/Threat Information System.
Security classification:
Limited Official Use.
System location:
Primary System: Investigative Services Division, U.S. Marshals
Service (USMS), 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Decentralized Segments: Each district office of the USMS
maintains their own files. The addresses of USMS district offices are
available on the Internet at www.usdoj.gov/marshals/usmsofc.html.
Categories of individuals covered by the system:
Individuals who have inappropriately communicated with, directly
threatened, or pose a threat to USMS protectees, including Federal
judges, prosecutors, and other court officials. U.S. Marshals,
deputies and other law enforcement officers, courtroom security, and
federal property and buildings; associates of such individuals; and
individuals reported by State or local agencies to the USMS who have
threatened to harm State or local judicial officials.
Categories of records in the system:
Manual and automated records which consist of information related
to the inappropriate communication or threat, including type of
communication, the means by which it was issued, and information
contained in the communication such as dates, locations, and events;
analysis of the communication or threat and other in internal USMS
correspondence related the communication; biographical data including
physical description, photograph, and criminal history information--
in particular, known history of violence and skills related to the
nature of the threat; investigative information including
associations with other individuals and dangerous gangs, extremist
groups, or other organizations; information on associates including
physical descriptions, photographs, numerical identifiers,
address(es), driver's license information; and investigative
information furnished by other Federal, State and local law
enforcement or other government agencies and non-government sources.
Authority for maintenance of the system:
28 U.S.C. 509, 510, and 561 et seq.; 5 U.S.C. 301; 44 U.S.C.
3101; and 28 CFR 111(c) through (f).
Purpose(s):
The USMS is required to protect government witnesses, U.S.
Attorneys and their assistants, Federal jurists and other court
officers; to provide for courtroom security; and to assist in
protecting Federal property and buildings. The USMS also conducts
Federal law enforcement activities itself, e.g., warrant apprehension
investigations, which subject its officers to security danger. These
operations require acquiring information to allow an accurate
assessment of the existence and extent of the dangers posed,
including specific threats, to aid in responding to specific security
assignments and needs, as well as developing protective measures and
plans in advance. With the information collected, officials determine
and carry out operating plans, funding, personnel, and any special
resources needed to counteract threat situations.
Individuals reported by State and local agencies to the USMS who
have threatened to harm State or local judicial officials often
appear before the Federal bar as a result of appeals, civil rights
suits, continuing criminal behavior, etc. Such individuals may
continue their inappropriate communications or threats at the Federal
level. In that event, information concerning these individuals
provided by the State and local agencies assists the USMS in
assessing the dangers they pose to Federal Officials and in
developing protective measures and responding to specific security
requirements. This information also assists in researching
inappropriate communications directed toward judicial officials of
all jurisdictions to gain a full and comprehensive picture of the
diverse circumstances involved, to analyze trends based upon a
statistically reliable study, and to more fully address the problem.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Records or information may be disclosed:
(a) To other appropriate Federal, State and local law enforcement
agencies in connection with actual or potential violation of criminal
or civil laws, statutes, or regulations, or in conjunction with
investigative of litigative responsibilities of the recipient agency,
or to the extent that disclosure is necessary to obtain additional
case-related information or to develop protective measures.
(b) To other law enforcement agencies to develop protective
measures where a specific threat is posed to their members; and to an
individual or organization where the recipient is or could become the
target of a specific threat.
(c) In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguable relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
(d) 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.
(e) As is necessary to appropriately respond to congressional
inquiries on behalf of and at the request of the constituent who is
the subject of the record.
(f) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records are kept in file folders. Duplicate copies of paper
records are stored on magnetic discs.
Retrievability:
Records are retrieved by name and identifying number or a
combination of the name and number.
Safeguards:
Except as otherwise noted in paragraphs (a) and (b) under
``Routine uses,'' access to computerized records is restricted to
personnel in the Investigative Services Division and in each district
office by user identification and password. Paper records are
maintained in filing cabinets within supervised areas. District and
headquarters offices are locked during working and non-duty hours and
entry is restricted to employees with official identification.
Retention and disposal:
Records are maintained indefinitely until a detailed records
retention plan and disposal schedule is developed by NARA and the
USMS.
System manager(s) and address:
Assistant Director, Investigative Services Division, U.S.
Marshals Service, 600 Army Navy Drive, Arlington, Virginia 22202-
4210.
Notification procedure:
Same as ``Record access procedure.''
Record access procedures:
Make all requests for access in writing and clearly mark letter
and envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate name of the requester, nature of the record sought,
approximate date of the record, and provide the required verification
of identity (28 CFR 16.41(d)). Direct all requests to the system
manager identified above, Attention: FOI/PA Officer, and provide a
return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager identified above. State clearly and concisely the information
being contested, the reason for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Freedom of Information/Privacy Act Request.''
Record source categories:
Information is obtained from public and confidential sources and
from Federal, State and local law enforcement agencies.
Exemptions claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5),
(e)(8), (f) 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.
JUSTICE/USM-010
System name:
Judicial Facility Security Index System.
Security classification:
Limited Official Use.
System location:
Judicial Security Division, United States Marshals Service
(USMS), 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Individuals employed, or offered employment as contract court
security officers (CSO's) by companies contracting with the USMS to
provide judicial area security in Federal courthouses.
Categories of records in the system:
An alphabetical index contains the name, date of birth and social
security number of the CSO, name of the contracting security firm
(employer), completion dates and cost data for limited background
investigation and orientation, district of employment, dates contract
performance started and ended, posts and hours of duty and the status
of employment, i.e., active or inactive. For inactive CSO's, the
index contains the reason for inaction, e.g., CSO resigned; applicant
rejected based on the preliminary records check; CSO removed based on
Office of Personnel Management (OPM) background investigation; etc.
In addition to providing abbreviated date, the index assists in
locating records on the CSO related to the initial screening process
for eligibility, e.g., application and preliminary checks for arrest
records, which are filed under the contract number and name of the
contracting security firm (employer). The index also assists sin
locating files containing OPM reports on the limited background
investigation and internal suitability memoranda which are segregated
by categories ``active'' and ``inactive.''
Authority for maintenance of the system:
28 U.S.C. 509, 510 and 561 et seq.; 5 U.S.C. 301; 44 U.S.C. 3101
and 28 CFR 0.111.
Purpose(s):
The USMS administers and implements courtroom security
requirements for the federal judiciary and provides assistance in the
protection of federal property and buildings. The Judicial Facility
Security Program provides uniformed security officers and security
systems and equipment for judicial area security in Federal
courthouses throughout the country. It is funded by the Judiciary
through the Administrative Office of the U.S. Courts (AOUSC) and is
managed by the USMS. This system of records is used to make security/
suitability determinations in the hiring of CSO's to monitor
orientation completed, to track costs related to background
investigations and attendance at Government-sponsored orientation,
and to monitor contractor performance. It enables program officers to
compile data for reports to AOUSC on actual and projected expenses,
to list CSO's their posts and hours of duty, and to determine
turnover and reemployment ratios among CSO's.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records may be disclosed as follows: Individual cost data may be
disclosed to the contractor (employer) in connection with billing and
recovering reimbursable costs. In addition, records or information
also may be disclosed as follows:
(a) To an appropriate Federal, State or local law enforcement
agency to the extent necessary to obtain information on arrest, or to
the extent relevant to an actual or potential criminal or civil
investigation, litigation or enforcement proceedings of that agency;
(b) In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions;
(c) 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;
(d) To congressional members or staff on behalf of and at the
request of the constituent who is the subject of the record;
(e) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
An index record is stored on magnetic disks and original paper
records are kept in file folders.
Retrievability:
Records are retrieved by name of the contract CSO.
Safeguards:
Records are stored in locked metal filing cabinets during off-
duty hours. Access to computerized records is controlled by
restricted code to personnel on a need-to-know basis. Entry to USMS
Headquarters is restricted by 24-hour guard service to employees with
official and electronic identification.
Retention and disposal:
Records are maintained indefinitely until a detailed records
retention plan and disposal schedule is developed by the National
Archives and Records Administration and the USMS.
System manager(s) and address:
Chief, Judicial Facility Security Program, Judicial Security
Division, U.S. Marshals Service, 600 Army Navy Drive, Arlington,
Virginia 22202-4210.
Notification procedure:
Same as the ``Records access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter
and envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate name of the requester, nature of the record sought,
approximate dates of the record, and provide the required
verification of identity (28 CFR 16.41(d)). Direct all request to the
system manager identified above, Attention: FOI/PA Officer, and
provide a return address for transmitting the information.
Contesting record procedures:
Direct all request to contest or amend information to the system
manager listed above. State clearly and concisely the information
being contested, the reasons for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Freedom of Information/Privacy Act Request.''
Record source categories:
Information contained in this system is collected from the
individual, USMS orientation records, other law enforcement agencies,
OPM and from the contractor (employer).
Exemptions claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (d) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
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.
JUSTICE/USM-011
System name:
Judicial Protection Information System.
Security classification:
Limited Official Use.
System location:
Judicial Security Division, United States Marshals Service
(USMS), 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Individuals who have been directly threatened or are subject to
violent threat by virtue of their responsibilities within the
judicial system, e.g., U.S. Attorneys and their assistants, Federal
jurists and other court officials.
Categories of records in the system:
Manual and automated indices contain abbreviated data, e.g., case
number, name of protected subject, name of control district and
district number, an indication of the type and source of threat, and
the means by which the threat was made. In addition to the
abbreviated data named above, the complete file may contain
descriptive physical data of the protectee, and other information to
identify security risks and plan protective measures in advance of or
during periods of active protection, e.g., individual practices and
routines, including associational memberships. Information regarding
the expenditure of funds and allocation of resources assigned to the
protectee may also be included in the file to enable officials to
develop operating plans to counteract threat situations.
Authority for maintenance of the system:
28 U.S.C. 509, 510 and 561 et seq., 5 U.S.C. 301; 44 U.S.C. 3101;
and 28 CFR 0.111 (c) through (f).
Purpose(s):
The USMS is required to protect U.S. Attorneys and their
assistants, Federal jurists and other court officers; to provide for
courtroom security, and to assist in protecting federal property and
buildings. This operation requires obtaining information to allow an
accurate assessment of the individual security needs of such
threatened persons to aid in developing protective measures and
advance planning of specific security assignments. With the
information collected, USMS officials determine and carry out
operating plans, funding, personnel assignments and any special
resources needed to counteract specific threat situations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records or information may be disclosed:
(a) To other Federal, State and local law enforcement agencies to
the extent that disclosure is necessary to develop and/or implement
protective measures;
(b) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation and such records are determined by the USMS to be
arguably relevant to the litigation: The USMS or any of its
subdivisions; any USMS employee in his or her official capacity or in
his or her individual capacity where the Department of Justice agrees
to represent the employees; or the United States where the USMS
determines that the litigation is likely to affect it or any of its
subdivisions;
(c) 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;
(d) To congressional members or staff on behalf of and at the
request of the constituent who is the subject of the record;
(e) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
An index record is stored on index cards and magnetic tape.
Original paper records are kept in file folders.
Retrievability:
Records are indexed and retrieved by name of protectee.
Safeguards:
Access to computerized records is restricted to Court Security
Program personnel by assigned user code and password. In addition,
records are stored in locked metal cabinets during off-duty hours.
The records are located in a restricted area, and USMS Headquarters
is under 24-hour guard protection with entry controlled by official
and electronic identification.
Retention and disposal:
Records are maintained indefinitely until a detailed records
retention plan and disposal schedule is developed by the National
Archives and Records Administration and the USMS.
System manager(s) and address:
Chief, Court Security Program, Judicial Security Division, U.S.
Marshals Service, 600 Army Navy Drive, Arlington, Virginia 22202-
4210.
Notification procedure:
Same as the ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter
and envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate the name of the requester, nature of the record sought,
approximate dates of the record, and provide the required
verification of identity (28 CFR 16.41(d)). Direct all requests to
the system manager identified above, Attention: FOI/PA Officer, and
provide a return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager identified above. State clearly and concisely the information
being contested, the reason for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Freedom of Information/Privacy Act Request.''
Record source categories:
Information is obtained from individual protectees. Where
information is maintained in this system on identified threat sources
to a particular protectee, such information is obtained from public
and confidential sources and from Federal, State and local law
enforcement agencies, and is not retrievable by name or other
identifying particular assigned to the threat source.
Exemptions claimed for the system:
None.
JUSTICE/USM-013
System name:
U.S. Marshals Service Administrative Proceedings, Claims and
Civil Litigation Files
Security classification:
Limited Official Use
System location:
Office of General Counsel, U.S. Marshals Service (USMS), 600 Army
Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Individuals who have filed tort and employee claims against the
USMS; individuals who have initiated administrative proceedings
against the USMS; individuals who have filed civil suits naming the
USMS and/or personnel as defendants, including those suits arising
from authorized criminal law enforcement activities; individuals
named as defendants in Federal court actions initiated by the USMS;
and USMS attorneys assigned to defend such claims and litigation.
Categories of records in the system:
In addition to the names of individuals covered by the system and
the title of cases, a computerized case tracking system contains
certain summary data, e.g.; a summary of correspondence and pleadings
received in a case, names of parties involved; names of attorneys
handling the case or matter, court in which action is brought, and
civil action number, thereby facilitating location of the complete
file. Cases or matters include adverse actions, grievances, unfair
labor practice charges, tort claims, Equal Employment Opportunity and
other employee claims, and suits against USMS employees in their
official capacities, etc. Files contain correspondence/claim forms
submitted by claimants and internal reports and related documents
concerning the merits of the claim, attorney or staff recommendations
and findings related to the claim; records on actions taken by USMS
giving rise to appeals, attorney notes, recommendations and strategy
for defending appeals; copies of civil actions filed and criminal
investigative records related to the action e.g., criminal
investigative reports relating the underlying criminal matter which
relates to or constitutes the basis of the claim or suit (including
those from on-Federal law enforcement participants in USMS criminal
or civil law enforcement activities), witness statements, reports of
interviews, exhibits, attorney notes, pleadings, and recommendations
and strategy for defending civil actions.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
Among other responsibilities, the Office of General Counsel, U.S.
Marshals Service, provides legal representation to USMS management in
all administrative matters including, but not limited to, adverse
actions, grievances, unfair labor practices, EEO, tort and employee
claim proceedings; represents the Service and its employees in
district court actions brought against them for acts taken in the
course of official duties; and represents the Service in other
actions in which its interests are involved. Effective representation
in such matters requires that records be retrievable by individual
identifiers.
Routine uses of records maintained in the system including
categories of users and the purposes of such uses:
Records maintained in this system of records may be disseminated
as follows:
(a) To any component of the Department of Justice for
consideration in connection with the case or matter to which the
record related;
(b) To the appropriate Federal, State or local agency responsible
for investigating, prosecuting or defending an action where there is
an indication of actual or potential violation of criminal or civil
laws or regulations or civil liability of any government agency;
(c) To any Federal, State or local agency, organization or
individual to the extent necessary to elicit information or witness
cooperation if there is reason to believe the recipient possesses
information related to the case or matter;
(d) In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions;
(e) To a Federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the conducting of a security or suitability
investigation of an individual, the classifying of jobs, the letting
of a contract or the issuance of a grant, license 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;
(f) To respond to a request for discovery or for appearance of a
witness when the information is relevant to the subject matter
involved in a pending judicial or administrative proceeding;
(g) To student volunteers or other workers, who technically do
not have the status of Federal employees, when they perform work for
the USMS as authorized by law and they need access to personally
identifiable information in USMS records in order to perform their
assigned USMS functions;
(h) 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;
(i) To Congressional members or staff on behalf of the
constituent who is the subject of the record;
(j) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Administrative claim, appeal, and litigation files are stored in
standard file cabinets. The computerized case track system and
duplicate copies of some paper records are stored on magnetic discs.
Retrievability:
Records are retrieved by name of claimant, litigant or USMS
attorney, or by caption of civil action or administrative proceeding.
Safeguards:
Access to computerized records is restricted to Office of General
Counsel personnel by user identification and passwords. In addition,
files are stored in metal filing cabinets within the Office of
General Counsel, USMS Headquarters during off-duty hours. Access to
USMS Headquarters is restricted to employees with official
identification.
Retention and disposal:
Records in the case tracking system are retained indefinitely.
Claim files are destroyed after 7 years. Litigation files are
destroyed after 10 years. Cases designated by the General Counsel as
significant or precedential are retained indefinitely.
System manager(s) and address:
General Counsel, Office of General Counsel, U.S. Marshals
Service, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter
and envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate name of the requester, nature of the record sought,
approximate dates of the records, and provide the required
verification of identity (28 CFR 16.41(d)). Direct all requests to
the system manager identified above. Attention: FOI/PA Officer, and
provide a return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager listed above. State clearly and concisely what information is
being contested, the reason for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Freedom of Information/Privacy Act Request.''
Record source categories:
The sources of information contained in this system are the
individual claimant/litigant, USMS officials, law enforcement
agencies, statements of witnesses and parties, transcripts of
depositions and court proceedings, administrative hearings and
arbitrations, and work product of staff attorneys and legal
assistants working on a particular case or matter.
Exemptions claimed for the system:
The Attorney General has exempted certain categories of records
in this system from subsections (c)(3) and (4); (d); (e)(2) and (3);
(e)(4)(G) and (H); (e)(8); (f) and (g) of the Privacy Act pursuant to
5 U.S.C. 552a(j)(2) and (k)(5). The system is exempted pursuant to
subsection (j)(2) only to the extent that information in a record
pertaining to a particular individual relates to a criminal
investigation which relates to or constitutes the basis of a
particular suit or claim. The system is exempted pursuant to
subsection (k)(5) only to the extent necessary to protect a
confidential source. 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.
JUSTICE/USM-014
System name:
Joint Automated Booking Stations (JABS), USM-014.
System location:
U.S. Marshals Service (USMS) headquarters, 600 Army Navy Drive,
Arlington, Va. 22202-4210; and regional office of the Drug
Enforcement Administration (DEA) at 6320 NW 2nd Avenue, North Miami
Beach, FL 33167.\1\
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\1\ The Miami repository will be physically housed at DEA
facilities; nevertheless, management and oversight--including the
physical security of the system--will be the responsibility of USMS
personnel. When appropriate, the ``system location'' will be revised
to include additional repositories.
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Categories of individuals covered by the system:
Alleged criminal offenders who have been arrested and booked.
Categories of records in the system:
Records may include certain generic or ``common'' data elements
which have been collected by an arresting Federal, State, or local
agency and booked by that agency at its automated booking station
(ABS), or booked by an agency on behalf of another agency which
performed the arrest.\2\ Such common data (approximately 60 data
elements) have been identified by law enforcement as those case and
biographical data generally collected by the law enforcement
community during booking arrests, e.g., name, date and place of
birth, citizenship, hair and eye color, height and weight,
occupation, social security number, place, date and time of arrest
and jail location, charge, armed description, sentenced or
unsentenced, and health status, etc. Such data may also include case
agent name, notes and observations regarding subjects' physical or
mental condition, degree of psychological stability or acumen,
reported use of habit forming substances, substances for which the
subject has a valid prescription, names of individuals from which the
subject is to be segregated, extraordinary handling procedures to
include precautionary warnings, names of acquaintances (criminal/non-
criminal), Federal writ, and any other pertinent information related
to known activities relevant or unique to the record subject.
Finally, as the technology is developed, such data may include
electronic fingerprints, mugshots, and voice samples.
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\2\ Initially, these records will include only those of the
Department of Justice (DOJ) law enforcement components. However, at
such time as other Federal, State and local agencies either establish
similar ABS's or use the ABS of another agency to upload ``common''
data to the repositories (i.e., ``common'' data as described by this
system of records), this system of records will also include records
provided by non-DOJ law enforcement agencies.
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Categories of records may include paper records where the USMS
has a need to print copies, e.g., copies of mugshots.
Authority for maintenance of the system:
28 U.S.C. 534, 564; 5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
The primary purpose of the JABS system is to enable Federal,
State, and local agencies which conduct arrests and/or booking
activities to store such data in regional repositories to eliminate
duplication efforts among multiple law enforcement agencies
participating in a single booking/arrest, to follow the arrestee
through the booking process, and thereby share ``realtime'' booking
and arrest data within a region. It will also assist in ancillary law
enforcement efforts by permitting law enforcement to learn of the
arrest and apprehension of a fugitive by another agency in that
region; verify the identity of an arrestee or, as the technology is
developed, obtain identifying data that will assist with surveillance
and wiretap activities in the event the arrestee becomes a fugitive
subsequent to booking. Finally, it may assist other judicial/law
enforcement agencies in obtaining such information as will permit
them to perform their official duties.
JABS will also assist law enforcement at the national level
through interface of its regional repositories with the Federal
Bureau of Investigation's (FBI) Identification Division Records
System, Justice/FBI-009 (IDENT). IDENT currently serves as a
``national'' repository for fingerprint data. As the technology is
developed, electronic fingerprint, mugshot, and voice sample data,
together with certain personally identifying data, date of arrest,
etc. may be copied from JABS regional repositories to IDENT.
(Consistent with published routine use disclosures for the IDENT
system of records, IDENT may then respond to electronic inquiries
from other JABS regional repositories to verify fingerprint or other
identifying data, to learn of the arrest of a fugitive in another
regional jurisdiction; and/or, where indicated by the IDENT record,
to allow an inquiring regional repository to determine that a more
complete arrest record resides with, and may be requested from,
another JABS regional repository; and/or to otherwise assist in the
conduct of other authorized law enforcement activities such as
surveillance and wiretap.)
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(a) The regional repositories may be electronically accessed by
Federal, State, and local law enforcement agencies to input and
retrieve booking and arrests data on criminal offenders and thereby
eliminate the need for duplicate bookings in that region, i.e., the
collection of much the same data by multiple agencies in prisoner
processing activities involving such agencies from arrest through
incarceration. (For example, an individual arrested by the Bureau of
Alcohol, Tobacco, and Firearms (ATF) and transported by the USMS to a
Federal correctional institution may be processed by ATF, USMS, and
the Bureau of Prisons.) Such repositories may be electronically
accessed by these and other local law enforcement agencies in the
region also for other law enforcement purposes such as to learn about
the arrest of a fugitive wanted in several local jurisdictions, to
verify the identity of an arrestee, or to assist in the conduct of
surveillance and/or wiretap activities. In addition, access by one
regional repository to the complete record residing in another
regional repository, e.g., to obtain access to the record of a
fugitive wanted in one or more regional jurisdictions, may be
accomplished by a telephone request until such time as technology may
permit electronic requests between regional repositories. Further, at
such time as the technology is available, other judicial/law
enforcement agencies such as the courts, probation, and parole
agencies may have direct electronic access to JABS in order to obtain
data which may assist them in performing their official duties. For
example, the courts may need direct electronic access to verify the
identity of an individual who appears in court claiming not to be the
individual identified by the arresting agency.
Finally, where necessary and/or appropriate, the USMS may
disclose relevant information from the repositories as follows:
(b) To any Federal, State, and/or local authorities to the extent
necessary to permit them to perform their law enforcement
responsibilities; or to any Federal, State, and/or local authorities,
or to any other entity or person, to the extent required to solicit
information necessary for law enforcement purposes;
(c) To other judicial/law enforcement agencies such as the
courts, probation, and parole agencies to assist them in performing
their official duties;
(d) To a Federal agency in response to its request and in
connection with hiring or retention of an employee, the issuance of
the required security clearance, the reporting of an investigation of
an employee, the letting of a contract, or the issuance of a license,
grant or other benefit by the requesting agency, to the extent that
the information relates to the requesting agency's decision on the
matter;
(e) To private contractors and/or maintenance personnel but only
to the extent that access is needed to perform contractual duties
such as maintenance or other administrative support operations;
(f) 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;
(g) 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;
(h) To a court or adjudicative body before which the USMS or
other appropriate DOJ component 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 the USMS or other
appropriate DOJ component to be arguably relevant to the litigation:
(i) The USMS or DOJ component, or any subdivision thereof, or (ii)
any employee of the USMS or DOJ in his or her official capacity, or
(iii) any employee of the USMS or DOJ in his or her individual
capacity where the DOJ has agreed to represent the employee, or (iv)
the United States, where the DOJ determines that the litigation is
likely to affect it or any of its subdivisions;
(i) To the National Archives and Records Administration (NARA)
and the General Services Administration in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906;
(j) To complainants and/or victims to the extent necessary to
provide such persons with information and explanations concerning the
progress and/or results of an investigation or case (e.g. an arrest)
arising from the matters of which they complained and/or of which
they were a victim; and
(k) To any person or entity to the extent necessary to prevent an
imminent and potential crime which directly threatens loss of life or
serious bodily injury.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in computerized media and on printed copy.
Retrievability:
Data may be retrieved by name or identifying number.
Safeguards:
Access will be limited to those with a need to know. Facilities
and offices which house computer systems will be protected at all
times by appropriate locks, security guards, and/or alarm systems.
Access to the systems equipment is limited to those with a need-to-
know through encryption and password protection measures.
Retention and disposal:
A disposition schedule will be developed for approval by the USMS
Records Management Officer and NARA. Upon approval of such schedule,
this notice will be revised to reflect the correct retention and
disposal schedule for these records.
System manager(s) and address:
Director, U.S. Marshals Service, 600 Army-Navy Drive, Arlington,
Virginia 22202-4210
Notification procedure:
Same as ``Record Access Procedures.''
Record access procedure:
Address all requests for access to JABS records, in writing, to
the system manager identified above, ``Attention: FOIA/PA Officer.''
Clearly mark the letter and envelope ``Privacy Act request.'' Clearly
indicate the name of the requester, nature of the record sought, and
approximate date of the record. In addition, provide the required
verification of identity (28 CFR 16.41(d)) and a return address for
transmitting the information.
Contesting records procedure:
Same as above.
Record source categories:
The record subject; Federal, State, and local law enforcement
personnel; the courts; and medical personnel.
Systems exempted from certain provisions of the act:
The Attorney General has exempted records in this system from
subsections (c) (3) and (4), (d), (e) (1), (2) and (3), (e)(5),
(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.
JUSTICE/USM-015
System name:
U.S. Marshals Service (USMS) Employee Assistance Program (EAP)
Records.
Security classification:
Limited official use.
System location:
Records of the Employee Assistance Program Office, Health and
Safety Team, Human Resources Division, are located at 600 Army Navy
Drive, Arlington, Virginia 22202-4210. Records of the contractor with
whom the USMS has contracted for health services and records of
individual licensed mental health providers with whom the contractor
has subcontracted for health services, are located at the respective
offices of these licensed providers. Addresses of these service
providers may be obtained by contacting the USMS Employee Assistance
Program (EAP) Office.
Categories of individuals covered by the system:
Current and former employees of the USMS (and in limited cases,
immediate family members) who have sought counseling or have been
referred for counseling or treatment through the USMS EAP.
Categories of records in the system:
Records of the USMS EAP Office, the contractor, and the
subcontractors include written consent forms used to manage referrals
and the exchange or flow of personal information, and account
information such as billings and payments. (Where relevant, certain
records may be duplicated in these offices.) Other records generally
maintained by the USMS EAP Office, the contractor and subcontractors
are described as follows:
A. Records located in the USMS EAP Office include only records
which may assist in managing and monitoring self referrals or
management referrals, and participation in the EAP. Examples of such
records are: The name, location and telephone number(s) of the
employee, family member or supervisor manager who makes the initial
contact with the EAP staff; the date and manner of initial contact,
i.e., by telephone or in person; notes of presenting problem(s) upon
initial contact with EAP staff; documents received from supervisors
or personnel on work-lace problems or performance; insurance data;
name and address of treatment facilities; number of sessions attended
by the participating employee or family member; leave records;
written consent forms, and abeyance/back-to-work agreements (made to
mitigate adverse actions based upon treatment); information on
confirmed, unjustified positive drug tests provides by the Drug Free
Workplace Program and the Medical Review Officer under E.O. 12564;
and ``sanitized'' audit records of the EAP/Contractor/Subcontractors
Program. Records may also include any records which may assist in (1)
assessing and counseling the individual on a short-term basis, and
(2) identifying those individuals who may need long-term professional
counseling, treatment and/or rehabilitation services. Records may
also contain date of intake at the contractor and/or subcontractors;
pertinent psychological, medical, employment and/or financial
histories; address(es) and credentials of subcontractors providing
short-term counseling; attendance at short-term counseling sessions;
prognosis information; information of problem resolution through
short-term counseling, and, if applicable, date closed. Records may
also include recommendations and referrals to community resources for
long-term counseling, treatment and/or rehabilitation programs beyond
the services provided by the USMS EAP, contractor and/or
subcontractors, including referrals for other assistance not related
to financial concerns, or psychological or medical health.
B. Records of the contractor and/or subcontractors include a
statement of understanding, diagnostic evaluation, treatment plan,
and a termination summary of all active clients. They may also
include any records which may assist in (1) assessing and counseling
the individual on a short-term basis, and (2) identifying those
individuals who may need long-term professional counseling, treatment
and/or rehabilitation services. Records of the contractor may also
include any records which may assist in monitoring and evaluating the
performance of various subcontractors outside the Washington, DC
metropolitan area. Examples of contractor and/or subcontractor(s)
records are: Personal identifying data on the employee and/or family
member such as name, social security number, gender, home address and
telephone number(s); notes and documentation of problem(s) presented
upon initial contact with the contractor and/or subcontractor(s),
date of intake at the contractor and/or subcontractor(s); pertinent
psychological, medical, employment and/or financial histories;
address(es) and credentials of subcontractor(s) providing short-term
counseling; clinical notes and documentation on short-term
counseling; attendance at short-term counseling sessions; prognosis
information; information of problem resolution through short-term
counseling, if applicable; date the case closed; information on
confirmed, unjustified positive drug tests; and client employee/
family member evaluations of services provided by the USMS EAP, the
contractor and/or subcontractor(s). Records may also include
recommendations and referrals to community resources for long-term
counseling, treatment and/or rehabilitation programs beyond the
services provided by the USMS EAP, contractor and/or
subcontractor(s), including referrals for other assistance not
related to financial concerns, or psychological or medical health.
C. Other records included in the system (and which may be
duplicated by the USMS EAP and the contractor and/or subcontractor(s)
offices, when relevant, necessary, and proper) are those obtained
from specialized service providers (SSPs) with the written consent of
the subject individuals.\1\ Generally, such records are limited to
those which relate to attendance at sessions, prognosis for recovery,
motivation, and progress toward recovery. However, where the record
subject deems it necessary or desirable to furnish additional
records, such records could include: medical tests and screenings;
treatment and rehabilitation plans as well as behavioral improvement
plans; notes and documentation on counseling; and relevant
information pertaining to assistance provided on matters other than
financial concerns, or psychological or medical health.
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\1\ SSPs are health service, community-based organizations, which
offer long-term treatment and rehabilitation services. The USMS EAP
and/or the contractor and/or subcontractors may recommend that the
individual seek professional assistance beyond that provided by the
USMS EAP Program contracted out with the contractor and/or
subcontractors. Where the individual chooses to pursue further
treatment, he may elect to provide the USMS EAP and/or the contractor
and/or subcontractor(s) with such information as may be relevant to
the back-to-work agreement.
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Authority for maintenance of the system:
42 U.S.C. 290dd, et seq. and 290ee, et seq.; 42 CFR 2.1, et seq.;
E.O. 12564, 5 U.S.C. 3301 and 7901; 44 U.S.C. 3101 and Pub. L. 100-
71, sec. 503 (July 11, 1987).
Purpose(s):
The EAP is a voluntary program designed to assist the employee in
obtaining necessary help in handling personal problem(s) affecting
job performance, and to provide emotional support and assistance
during periods of crises, including those arising from traumatic
work-related incidents. No records are maintained on traumatic work-
related incidents. Records are maintained to document participation
in the EAP program; the nature and effects of the employee's personal
problem(s); and efforts to counsel the employee. Records may be used
also to monitor compliance with abeyance and back-to-work agreements
made to mitigate adverse actions based upon treatment. Routine uses
of records maintained in the system, including categories of users
and the purpose of such uses:
In addition to those disclosures permitted by the Privacy Act
itself, 5 U.S.C. 552a(b),\2\ permissive disclosures, without
individual consent, are as follows:
1. To the extent that it is appropriate, relevant, and necessary
to enable the contractor and/or subcontractor(s) to perform
counseling, referral and program performance evaluation
responsibilities, the USMS will provide those records--identified in
paragraph A of the ``Category of Records in the System'' to the
contractor and/or subcontractor(s) who, on behalf of the USMS,
maintain and operate a portion of this system of records--identified
in paragraph B of the same caption.
2. Either the USMS or the contractor and/or subcontractor(s) may
disclose as follows: (a) To the appropriate State or local agency or
authority to the extent necessary to comply with the laws governing
reporting incidents of suspected child abuse or neglect, and (b) to
Federal, State and/or local authorities or to any other entity or
person to the extent necessary to prevent an imminent and potential
crime which directly threatens loss of life or serious bodily injury.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Information is stored in locked metal safes.
Retrievability:
Records are retrieved by name of employee and, in limited cases
immediate family members.
Safeguards:
In accordance with the requirements of 42 CFR 2.16, USMS EAP and
contractor and subcontractors records are stored in secure
environment. Access to USMS EAP records is restricted to designated
USMS EAP personnel, except as otherwise permitted by law or with the
written consent of the individual. Vouchers prepared to effect
payment for services rendered by the contractor and/or subcontractors
in performance of the contract do not contain individual identifiers.
Invoices prepared by contractor and/or subcontractors located outside
the Washington, DC metropolitan area are sent by first-class mail to
the designated member(s) of the local contractor and/or
subcontractors contracted with the USMS. In turn, invoices or other
records prepared in support of payment vouchers which contain
individual identifiers are hand-carried by the local contractor and/
or subcontractors to the EAP Administrator who retains the supporting
documentation. Records are maintained in locked metal safes. Entry to
headquarters is restricted by 24-hour guard service to employees with
official and electronic identification.
Access to contractor and/or subcontractors records is restricted
to a designated member(s) of the contractor and/or subcontractors,
except as otherwise provided by law or with the written consent of
the individual. Contractor and/or subcontractors records are stored
in locked files also.
Retention and disposal:
Records are retained for three years after the individual ceases
contact with the USMS EAP and/or the contractor and/or
subcontractor(s) unless a longer retention period is necessary
because of pending administrative or judicial proceedings. In such
cases, the records are retained for six months after the case is
closed. At that time the records are destroyed by shredding (General
Records Schedules 26 and 36).
System manager(s) and address:
Employee Assistance Program Administrator, Health and Safety
Team, Human Resources Division, United Stats Marshals Service, 600
Army Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Address all requests for access to the USMS EAP records
(identified in paragraphs A and C of ``Category of records in the
system'') in writing to system manger identified above. Address all
requests for records maintained by the contractor and/or
subcontractors (identified in paragraph B of the same caption) to
these service providers. Address(es) of these service providers may
be obtained by contacting the USMS EAP Office. Clearly mark the
envelope and letter ``Privacy Act Request.'' Clearly indicate the
name of the requester, nature of the record sought, and approximate
date of the record. In addition, provide the required verification of
identity (28 CFR 16.41(d)) and a return address for transmitting the
information.
Contesting record procedures:
Direct all requests to contest or amend information in accordance
with the procedures outlined under ``Record access procedures.''
State clearly and concisely the information being contested, the
reasons for contesting it, and the proposed amendment to the
information sought. Clearly mark the letter and envelope ``Privacy
Act Amendment Request.''
Record source categories:
Records are generated by the employee who is the subject of the
record; USMS EAP personnel; the contractor and/or subcontractor(s),
and the SSP; the USMS Human Resources Division; and the employee's
supervisor. In the case of a confirmed, unjustified positive drug
test, records may also be generated by the staff of the Drug-Free
Workplace Program and the Medical Review Officer.
Exemptions claimed for the system:
None.
JUSTICE/USM-016
System name:
U.S. Marshal Service (USMS) Key Control Record System.
Security classification:
Limited Official Use.
System location:
Office of Security, Executive Services Division, United States
Marshals Service, 600 Army Navy Drive, Arlington, Virginia 22202-
4210.
Categories of individuals covered by the system:
Current and former employees of the USMS who have been issued
office keys for USMS Headquarters locations.
Categories of records in the system:
Records contained in this system consist of an automated index
which includes the name of the employee to whom a key is issued; the
social security number (only when two or more employees have
identical names, including middle initial); unique key identification
code number; key type (e.g., grand master, master, submaster,
change); storage container hook number; description (e.g., number
identification) of door(s), room(s), and/or area(s) the key opens or
accesses; transactions type and/or status (e.g., key issued,
transferred, retrieved, lost, broken) and transaction date; and, any
other appropriate comment, e.g., comments regarding key, door, room,
area, etc. In addition, a manual index with abbreviated data is
maintained as a backup system. This manual index includes the room/
suite number, the name of the employee to whom a key is issued, the
key identification code number, and date(s) of issuance and
retrieval.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
The USMS Key Control Record System serves as a record of keys
issued and facilitates continuing security at USMS Headquarters
locations. Records are maintained to assist in restricting office and
work area access to authorized USMS personnel by controlling,
monitoring and tracking keys issued. In addition, the records assist
in identifying any repairs, changes, or additional security measures
that may be necessary as a result of lost or broken keys.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records or information may be disclosed:
(a) In the event that a record(s) indicate a violation of
potential violation of law, whether civil, criminal, or regulatory in
nature, and whether arising by general statute or particular program
statute, or by rule, regulation, or order pursuant thereto, the
relevant record(s) may be disclosed to the appropriate agency,
whether Federal, State, or local, charged with the responsibility of
investigating or prosecuting such violation, and/or charged with
enforcing or implementing such statute, rule, regulation or order;
(b) In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions;
(c) To student volunteers or other workers, who technically do
not have the status of Federal employees, when they are performing
work for the USMS as authorized by law and they need access to
personally identifiable information in USMS records in order to
perform their assigned USMS functions;
(d) 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;
(e) 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;
(f) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Automated index records are stored on magnetic disks. Paper
copies of automated records are kept in file folders and original
paper records of the manual index are stored in card files.
Retrievability:
Records are retrieved by name of the individuals covered by the
system.
Safeguards:
Access to these records is restricted to personnel of the USMS,
Office of Security. Computerized records may be accessed only by
assigned code and password. Paper records are located in a restricted
area and are maintained in metal filing cabinets or safes which are
locked during non-duty hours.
Retention and disposal:
Records are retained for three years after turn-in of the key at
which time they are destroyed (General Records Schedule 18).
System manager(s) and address:
Chief, Office of Security, Executive Services Division, United
States Marshals Service, 600 Army Navy Drive, Arlington, Virginia
22202-4210.
Notification procedure:
Same as the ``Records access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter
and envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate the name of the requester, nature of the record sought,
approximate dates of the record, and provide the required
verification of identity (28 CFR 16.41(d)). Direct all requests to
the system manager identified above, Attention: FOI/PA Officer, and
provide a return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager listed above. State clearly and concisely the information
being contested, the reasons for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Freedom of Information/Privacy Act Request.''
Record source categories:
Information contained in this system is collected from the
individual and the system manager.
Exemptions claimed for the system:
None.
JUSTICE/USM-017
System name:
Judicial Security Staff Inventory.
Security classification:
Limited Official Use.
System location:
Judicial Security Division (JSD), U.S. Marshals Service (USMS),
600 Army Navy Drive, Arlington, Virginia 22202-4210. Categories of
individuals covered by the system: USMS employees assigned to JSD.
Categories of records in the system:
Records contained in this computerized system consist of (1) an
individual's name, date of birth, social security number, and type of
passport with expiration date; (2) inventory of accountable property
assigned to individual, including: Weapon, protective body armor with
expiration date of warranty, vehicle, credit cards, cell phone,
pager, and office equipment.
Authority for maintenance of the system:
5 U.S.C. 301; 28 U.S.C. 509 and 510; 44 U.S.C. 3101 and 28 CFR
0.111.
Purpose(s):
This system will be used to assist JSD management in the
effective control of accountable property and to ensure that JSD
personnel maintain equipment necessary and in proper working order to
perform their functions, especially law enforcement functions, and to
respond quickly to urgent operational law enforcement activities as
they develop.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records or information may be disclosed:
(a) to appropriate Federal, State or local law enforcement
agencies in connection with actual or potential violation of criminal
or civil laws, statutes, or regulations, or in conjunction with
investigative or litigative responsibilities of the recipient agency;
(b) In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity, where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions:
(c) 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;
(d) 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;
(e) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing
retaining, and disposing of records in the system:
Storage:
Records are kept in a computerized database.
Retrievability:
Informatiion is retrieved by name and social security number.
Safeguards:
Access is limited to designated staff of JSD by assigned user
code and password. JSD is located in a restricted area of USMS
Headquarters which is under 24-hour guard protection with entry
controlled by official and electronic identification.
Retention and disposal:
Files are maintained until the employee leaves JSD at which time
all records on the individual will be erased from the database.
System manager(s) and address:
Assistance Director, Judicial Security Division, U.S. Marshals
Service, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as the ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter
and envelope ``Privacy Act Request.'' Clearly indicate the name of
the requester, nature of the record sought, approximate dates of the
record, and provide the required verification of identity (28 CFR
16.41(d)). Direct all requests to the system manager identified
above, attention: FOI/PA Officer, and provide a return address for
transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager identified above. State clearly and concisely the information
being contested, the reasons for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Privacy Act Request.''
Record source categories:
Information is obtained from subject JSD employees and office and
records on accountable property.
Exemptions claimed for the system:
None.
JUSTICE/USM-018
System name:
United States Marshals Service Alternative Dispute Resolution
(ADR) Files and Database Tracking System.
Security classification:
Limited official use.
System location:
Human Resources Division, United States Marshals Service (USMS),
600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Employees of the USMS who are designated as complainants who
select ADR mediation as the mechanism to resolve disagreements and
designated respondents to such complaints.
Categories of records in the system:
ADR files contain a statement of issue(s) which include type of
dispute, parties involved, and date ADR requested or notified by
complainant; mediator appointed; correspondence or letters which may
include ground rules, acknowledgement of time requirements and issues
related thereto; pre-conference agreements; minutes of ADR activity;
written agreement, and dispute resolution and date resolved.
The ADR data tracking system contains names of complainant and
respondent; type of dispute, e.g., job assignment, leave, promotion;
source of complaint, e.g., Equal Employment Opportunity (EEO) or
grievance; process utilized, e.g., mediation, conciliation, fact
finding; district/office; ADR contact individual; date ADR request
received; date resolved; and calculation of time spent in resolving
matters and, if applicable, name of mediator.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
The ADR process is a parallel system to the grievance process and
Equal Employment Opportunity (EEO) complaint process which offers the
possibility of a simpler, quicker, less expensive, and less
adversarial resolution of disputes. The ADR files are used to
facilitate the effective operation of the ADR process in resolving
discrimination complaints and workplace grievances by USMS employees
and applicants for employment. The ADR database is used to track case
activity, primarily for completion of reports. Routine uses of
records maintained in the system, including categories of users and
the purposes of such uses:
Information from this file may be disclosed:
(a) To appropriate Federal, State or local law enforcement
agencies in connection with actual or potential violation of criminal
or civil laws, statutes, or regulations, or in conjunction with
investigative or litigative responsibilities of the recipient agency;
(b) In a proceeding before a court or adjudicative body before
which the USMS 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 the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivision; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigaton is likely to
affect it or any of its subdivisions;
(c) 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;
(d) 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; and
(e) To the National Archives and Records Administration and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in standard file cabinets. Computerized
records are stored in a database server in a secured file room.
Retrievability:
Records are retrieved by name of employee.
Safeguards:
Access is restricted to authorized personnel with the need to
know in the Human Resources Division, Equal Employment Opportunity
Division, and the Office of General Counsel. Computerized records may
be accessed only by assigned code and password. In addition, records
are stored in metal file cabinets within the Human Resources Division
and access to USMS headquarters is controlled by 24-hour guard
services.
Retention and disposal:
Records are maintained for 7 years and then data in the system,
as well as hard copies, are purged.
System manager(s) and address:
Assistant Director, Human Resources Division, USMS, 600 Army Navy
Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Make all request for access in writing and clearly mark letter
and envelope ``Privacy Act Request.'' Clearly indicate name of the
requester, nature of the record sought, approximate dates of the
records, and provide the required verification of identity (28 CFR
16.41(d)). Direct all requests to the system manager identified
above, Attention: FOI/PA Officer, and provide a return address for
transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager in accordance with the procedures outlined above. State
clearly and concisely the information being contested, the reasons
for contesting it, and the proposed amendment to the information
sought.
Record source categories:
Employee complainants who select the ADR process to resolve their
disputes, respondents, and ADR mediator.
Exemption claimed for the system:
None.
JUSTICE/USM-999
Appendix to U.S. Marshals Service Systems of Records, Official
Addresses of United States Marshals.
Northern Alabama
1729 5th Avenue, North, Room 240, Birmingham, Alabama 35203
Middle Alabama
PO Drawer 4249, Montgomery, Alabama 36103
Southern Alabama
PO Box 343, Mobile, Alabama 36601
District of Alaska
U.S. Courthouse & Federal Building, 222 W. 7th Avenue, No. 28,
Anchorage, Alaska 99513-7568
District of Arizona
8204 U.S. Courthouse, 230 North First Avenue, Phoenix, Arizona
85025
Eastern Arkansas
PO Box 8, Little Rock, Arkansas 72203
Western Arkansas
PO Box 2625, Fort Smith, Arkansas 72902
Northern California
20005 U.S. Courthouse, 450 Golden Gate Avenue, San Francisco,
California 94102
Eastern California
1020 U.S. Courthouse, 750 Capitol Mall, Sacramento, California
95814
Central California
U.S. Courthouse, 312 North Spring Street G-23, Los Angeles,
California 90012-4798
Southern California
LLB-71 U.S. Courthouse, 940 Front Street, San Diego, California
92189
District of Colorado
Drawer 3599, Denver, Colorado 80294
District of Connecticut
PO Box 904, New Haven, Connecticut 06504
District of Delaware
4311 U.S. Courthouse, 844 King Street, Wilmington, Delaware 19801
District of Columbia
1103 U.S. Courthouse, 3rd & Constitution Avenue, NW, Washington,
DC 20001
District of Columbia Superior Court
Superior Courthouse, 500 Indiana Avenue, NW, Room C-250,
Washington, DC 20001
Northern Florida
PO Box 10229, Tallahassee, Florida 32302
Middle Florida
PO Box 2907, Tampa, Florida 33601-2907
Southern Florida
205 Federal Courthouse Square, 301 North Miami Avenue, Miami,
Florida 33218-7785
Northern Georgia
1669 Federal Building, 75 Spring Street, SW, Atlanta, Georgia
30303
Middle Georgia
PO Box 7, Macon, Georgia 31202
Southern Georgia
PO Box 9765, Savannah, Georgia 31412
District of Guam
507 Pacific News Building, 238 Archbishop Flores Street, Agana,
Guam 96910
District of Hawaii
PO Box 50184, Honolulu, Hawaii 96850
District of Idaho
741 U.S. Courthouse, 550 West Fort Street, Boise, Idaho 83724
Northern Illinois
219 S. Dearborn Street, Room 2444, Chicago, Illinois 60604
Southern Illinois
127 U.S. Courthouse, 750 Missouri Avenue, East St. Louis,
Illinois 62201
Central Illinois
PO Box 156, Springfield, Illinois 62705
Northern Indiana
233 Federal Building, 204 South Main Street, South Bend, Indiana
46624
Southern Indiana
PO Box 44803, Indianapolis, Indiana 46244
Northern Iowa
320 Federal Building, 101 1st Street SE, Cedar Rapids, Iowa 52401
Southern Iowa
208 U.S. Courthouse, East First & Walnut Streets, Des Moines,
Iowa 50309
District of Kansas
456 Federal Building, 444 Southeast Quincy, Topeka, Kansas 66683
Eastern Kentucky
PO Box 30, Lexington, Kentucky 40501
Western Kentucky
114 U.S. Courthouse, 601 West Broadway, Louisville, Kentucky
40202
Eastern Louisiana
C-600 U.S. Courthouse, 500 Camp Street, New Orleans, Louisiana
70130
Middle Louisiana
PO Box 3653, Baton Rouge, Louisiana 70821
Western Louisiana
PO Box 53, Shreveport, Louisiana 71161-0053
District of Maine
PO Box 349 DTS, Portland, Maine 04112
District of The Northern Mariana Islands
PO Box 570, Susupe, Saipan 96950
District of Maryland
605 U.S. Courthouse, 101 West Lombard Street, Baltimore, Maryland
21201
District of Massachusetts
PO Box 352, Boston, Massachusetts 02101
Eastern Michigan
120 Federal Building, 231 West Lafayette Street, Detroit,
Michigan 48226
Western Michigan
514 Federal Building, 110 Michigan Avenue, Grand Rapids, Michigan
49503
District of Minnesota
523 U.S. Courthouse, 110 South 4th Street, Minneapolis, Minnesota
55401
Northern Mississippi
PO Box 887, Oxford, Mississippi 38655
Southern Mississippi
PO Box 959, Jackson, Mississippi 39205
Eastern Missouri
108 U.S. Courthouse, 1114 Market Street, St. Louis, Missouri
63101
Western Missouri
509 U.S. Courthouse, 811 Grand Avenue, Kansas City, Missouri
64106
District of Montana
5110 Federal Building, 316 North 26th Street, Billings, Montana
59101-1362
District of Nebraska
PO Box 1477, Omaha, Nebraska 68101
District of Nevada
PO Box 16039, Las Vegas, Nevada 89101
District of New Hampshire
PO Box 1435, Concord, New Hampshire 03302
District of New Jersey
PO Box 186, Newark, New Jersey 07101
District of New Mexico
PO Box 444, Albuquerque, New Mexico 87103
Northern New York
213 Federal Building, 10 Broad Street, Utica, New York 13501
Eastern New York
172 U.S. Courthouse, 225 Cadman Plaza East, Brooklyn, New York
11201
Southern New York
114 U.S. Courthouse Annex, 1 St. Andrew's Plaza, New York, New
York 10007
Western New York
129 U.S. Courthouse, 68 Court Street, Buffalo, New York 14202
Eastern North Carolina
PO Box 25640, Raleigh, North Carolina 27611
Middle North Carolina
PO Box 1528, Greensboro, North Carolina 27402
Western North Carolina
PO Box 710, Ashevile, North Carolina 28802
District of North Dakota
PO Box 2425, Fargo, North Dakota 58108-2425
Northern Ohio
B-1 U.S. Courthouse, 201 Superior Avenue, Cleveland, Ohio 44114
Southern Ohio
PO Box 688, Cincinnati, Ohio 45201
Northern Oklahoma
PO Box 1097, Tulsa, Oklahoma 74101
Eastern Oklahoma
PO Box 738, Muskogee, Oklahoma 74402
Western Oklahoma
PO Box 886, Oklahoma City, Oklahoma 73101
District of Oregon
420 U.S. Courthouse, 620 Southeast Main Street, Portland, Oregon
97205-3087
Eastern Pennsylvania
2110 U.S. Courthouse, 601 Market Street, Philadelphia,
Pennsylvania 19106
Middle Pennsylvania
PO Box 310, Scranton, Pennsylvania 18501
Western Pennsylvania
539 U.S. Courthouse, 7th & Grant Streets, Pittsburgh,
Pennsylvania 15219
District of Puerto Rico
PO Box 3748, San Juan, Puerto Rico 00904
District of Rhode Island
PO Box 1524, Providence, Rhode Island 02901
District of South Carolina
PO Box 1774, Columbia, South Carolina 29202
District of South Dakota
PO Box 1193, Sioux Falls, South Dakota 57101
Eastern Tennessee
PO Box 551, Knoxville, Tennessee 37901
Middle Tennessee
866 U.S. Courthouse, 801 Broadway, Nashville, Tennessee 37203
Western Tennessee
1029 Federal Building, 167 North Main Street, Memphis, Tennessee
38103
Northern Texas
1100 Commerce Street, 16F47 Federal Building, Dallas, Texas 75242
Eastern Texas
PO Box 299, Tyler, Texas 75710
Southern Texas
PO Box 61608, Houston, Texas 77208
Western Texas
235 U.S. Courthouse, 655 East Durango Boulevard, San Antonio,
Texas 78206
District of Utah
PO Box 1234, Salt Lake City, Utah 84110
District of Vermont
621 Federal Building, Elmwood Avenue & Pearl Street, Burlington,
Vermont 05402
Eastern Virginia
104 Federal Building, PO Box 20227-22320, 200 South Washington
Street, Alexandria, Virginia 22312
Western Virgina
PO Box 2280, Roanoke, Virginia 24009
District of the Virgin Islands
PO Box 9018, St. Thomas, Virgin Islands 00801
Eastern Washington
PO Box 1463, Spokane, Washington 99210
Western Washington
300 U.S. Courthouse, 1010 5th Avenue, Seattle, Washington 98104-
1188
Northern West Virginia
PO Box 1454, Elkins, West Virginia 26241
Southern West Virginia
PO Box 2667, Charleston, West Virginia 25330
Eastern Wisconsin
310 Federal Building, 517 East Wisconsin Avenue, Milwaukee,
Wisconsin 53202
Western Wisconsin
440 Federal Courthouse, 120 N. Henry Street, Madison, Wisconsin
53703-2559
District of Wyoming
PO Box 768, Cheyenne, Wyoming 82003
DEPARTMENT OF JUSTICE
United States Trustees
JUSTICE/UST-001
System name:
Bankruptcy Case Files and Associated Records.
System location:
The Executive Office for United States Trustees (EOUST) and
various offices of the United States Trustees depending upon the
judicial district where a case is pending or was administered. (Field
offices can be located on the Internet at http://www.usdoj.gov/ust.)
Categories of individuals covered by the system:
Individuals involved in bankruptcy proceedings (under Chapters 7,
11, 12 and 13 of 11 U.S.C.) subsequent to September 30, 1979,
including but not limited to debtors, creditors, bankruptcy trustees,
agents representing debtors, creditors, and trustees.
Categories of records in the system:
(a) Petitions/orders for relief, (b)schedules of assets and
liabilities of debtors, (c) lists of creditors, (d) statements of
debtors' financial affairs, (e) operating or status reports, (f)
alphabetical cross-reference index cards, (g) general correspondence
regarding cases, (h) miscellaneous investigative records, (i) copies
of certain pleadings or other papers filed with the court, including
those filed by the United States Trustee, (j) appraisal reports, (k)
names of bank depositories and amounts of funds deposited therein,
(1) names of sureties and amounts of trustees' bonds, (m) tape or
other recordings of creditors meetings called pursuant to Section 341
of Title 11, U.S.C., for the purpose of examination of debtors by
creditors, trustee and others, (n) plans filed under Chapter 11, 12
or 13, (o) names of persons serving as counsel, trustee, or other
functionaries in bankruptcy cases, including compensation earned or
sought by each.
Authority for maintenance of the system:
These systems are established and maintained pursuant to 28
U.S.C. 586 and Title 11 U.S.C.
Purpose(s):
The records are used by personnel of the Executive Office and the
United States Trustee field offices to determine the existence of a
case, to ascertain the status of actions with respect to a case, and
to ensure that timely action is taken as appropriate, and to
determine the involvement by agents or other representatives of
parties in such cases.
As provided in 11 U.S.C. 107, a paper filed in a case and the
dockets of the bankruptcy court are public records and open to
examination except when the court acts to protect an entity with
respect to a trade secret or confidential research, development, or
commercial information; or to protect a person with respect to
scandalous or defamatory matter contained in a paper filed in a case
under Title 11. If the court enters such a protective order, that
portion of the record is only available upon the consent of the
entity, so protected.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Release of Information to Courts:
These records may be disclosed, except when the bankruptcy court
has moved to protect an entity as provided in 11 U.S.C. 107, in a
proceeding before a court or adjudicative body or any proceeding
relevant to the administration of a case filed under Title 11 in
which the U.S. Trustee is authorized to appear when (a) the U.S.
Trustee, or (b) any employee of the U.S. Trustee in his or her
official capacity, or (c) any employee of the U.S. Trustee in his or
her individual capacity, where the Department of Justice has agreed
to represent the employee, or (d) the United States, or any agency or
subdivision thereof, is a party to litigation or has an interest in
litigation and such records are determined by the U.S. Trustee to be
arguably relevant to the litigation.
Release of Information to the News Media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice 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.
Release of Information to Members of Congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552 et seq., may be made available 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.
Release of Information to the National Archives and Records
Administration (NARA) and the General Services Administration (GSA):
A record from the system of records may be disclosed to the NARA
and GSA for records management inspections conducted under the
authority of 44 U.S.C. Secs. 2904 and 2906.
Release of Information to Law Enforcement or Regulatory Agencies:
Information obtained by the U.S. Trustees may be disclosed to any
civil or criminal law enforcement authority, whether Federal, State,
local, or foreign, when it is relevant to a civil or criminal
investigation.
Release of Information to Federal, State, and Local Licensing
Agencies:
Information obtained by the U.S. Trustees may be disclosed to
Federal, State, and local licensing agencies or associations when it
concerns the eligibility or suitability of an individual for a
license or permit.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
All information, except that specified below in this paragraph is
recorded on basic paper/cardboard material and maintained within
metal file boxes, file cabinets, electric file/card retrievers or
safes. Certain information from the documents, forms, lists and
reports described under ``categories of records in the system'' will
be entered into an automated information system and stored on
magnetic disks for reproduction in report form at various times. This
includes the case number, debtor's names, case status, type of case,
assets of estate, dates of reports filed, trustee bonds, debtor's
attorney's name and fees, calendar of meetings and hearings,
creditor's committee status, plan and schedule due dates, and
trustee/examiner names and dates appointed.
Retrievability:
In field offices bankruptcy case files are retrieved by
bankruptcy court case numbers, cross-referenced alphabetically by
names of debtors. Files pertaining to case trustees, sureties,
depository banks and to agents representing parties are maintained
and retrieved alphabetically. Files maintained in the Executive
Office are maintained and retrieved alphabetically by name of the
debtor, or the particular person involved. Automated information is
retrieved by a variety of key words, including names of individuals.
Safeguards:
Information contained in the system is unclassified. It is
safeguarded and protected in accordance with Departmental rules and
procedures governing the handling of office records and computerized
information. During duty hours access to this system is monitored and
controlled by U.S.-Trustee office personnel. During nonduty hours
offices are locked.
Retention and disposal:
Chapter 7 no-asset files may be destroyed six months after the
case is closed. Section 341 meeting tapes may be destroyed two years
after the date of the 341 meeting. Chapter 7 asset files may be
destroyed three years after the case is closed. Chapter 11 files may
be destroyed three years after the case is dismissed or closed.
Chapter 12 and chapter 13 cases may be destroyed six months after the
case is dismissed or closed. 180 Day Semi-Annual Reports may be
destroyed after five years. To prevent unauthorized disclosure,
records are destroyed by shredding or burning.
System manager(s) and address:
System manager for the system in each office is the U.S. Trustee
and in the Executive Office, the General Counsel. (Field offices can
be located on the Internet at http://www.usdoj.gov/ust.)
Notification procedure:
Address inquiries to the System Manager for the judicial district
in which the case is pending, or was administered. (Field offices can
be located on the Internet at http://ww.usdoj.gov/ust.)
Record access procedures:
A request for access to a record from this system shall be made
in person at the U.S. Trustee office in which the case is filed.
Contesting record procedures:
Indiviudals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
(Field offices can be located on the Internet at http://
www.usdoj.gov/ust.) stating clearly and concisely what information is
being contested, the reasons for contesting it, and the proposed
amendment to the information.
Record source categories:
Sources of information contained in this record are generally
limited to debtors, creditors, trustees, examiners, attorneys, and
other agents participating in the administration of a case, judges of
the bankruptcy courts and employees of the U.S. Trustee offices.
Systems exempted from certain provisions of the act:
None.
JUSTICE/UST-002
System name:
Trustee Files.
System location:
The Executive Office for United States Trustees (EOUST) and
various offices of the United States Trustees depending upon the
judicial district where the trustee serves or has made application to
serve. (Field offices can be located on the Internet at http://
www.usdoj.gov/ust.)
Categories of individuals covered by the system:
All trustees and applicants to serve as trustees in bankruptcy
cases filed under Chapter 7, 11, 12, and 13 of title 11, U.S.C.
Categories of records in the system:
Trustee Files (UST-002), may include resumes, applications,
letters of recommendation, notes, correspondence, audits, reviews,
evaluations, financial records, transcripts, security clearance
information and other information provided by trustees, applicants,
and third parties or developed by the U.S. Trustee.
Authority for maintenance of the system:
The systems are established and maintained pursuant to 28 U.S.C.
586 and Title 11, U.S.C.
Purpose(s):
These records are used by the U.S. Trustee offices for
determining and reassessing the qualifications and eligibility of
persons serving or applying to serve as trustees in bankruptcy cases.
The records are also reviewed and maintained by the Executive Office
for U.S. Trustees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Release of Information to Courts:
These records may be disclosed, except when the bankruptcy court
has moved to protect an entity as provided in 11 U.S.C. 107, in a
proceeding before a court or adjudicative body or any proceeding
relevant to the administration of a case filed under Title 11 in
which the U.S. Trustee is authorized to appear when (a) the U.S.
Trustee, or (b) any employee of the U.S. Trustee in his or her
official capacity, or (c) any employee of the U.S. Trustee in his or
her individual capacity, where the Department of Justice has agreed
to represent the employee, or (d) the United States, or any agency or
subdivision thereof, is a party to litigation or has an interest in
litigation and such records are determined by the U.S. Trustee to be
arguably relevant to the litigation.
Release of Information to Members of Congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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.
Release of Information to the National Archives and Records
Administration (NARA) and the General Services Administration (GSA):
A record from the system of records may be disclosed to the NARA
and GSA for records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of Information to Law Enforcement or Regulatory Agencies:
Information obtained by the U.S. Trustees may be disclosed to any
civil or criminal law enforcement authorities, whether Federal,
State, local, or foreign, which require information relevant to a
civil or criminal investigation.
Release of Information To Federal State, and Local Licensing
Agencies:
Information obtained by the U.S. Trustees may be disclosed to
Federal, State, and local licensing agencies or associations which
require information concerning the eligibility or suitability of an
individual for a license or permit.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are filed in paper folders in metal filing cabinets
and stored on computer disks.
Retrievability:
In the field offices, folders are filed alphabetically by the
trustee's or applicant's name. In the Executive Office, duplicate
records are maintained alphabetically, organized by region. Automated
information is retrieved by a variety of key words, including names
of individuals.
Safeguards:
Information contained in the system is unclassified. It is
safeguarded and protected in accordance with Departmental rules and
procedures governing the handling of official records. During duty
hours access to this system is monitored and controlled by U.S.
Trustee and Executive Office personnel. During nonduty hours offices
are locked.
Retention and disposal:
Trustee files may be destroyed after ten years except in the
following circumstances. If the trustee dies, the files may be
destroyed after one year. If the trustee resigns the appointment, the
files may be destroyed seven years after all cases administered by
that trustee are closed. To prevent unauthorized disclosure, records
are destroyed by shredding or burning.
System manager(s) and address:
System Manager for the System in each office, is the U.S. Trustee
and in the Executive Office, the Assistant Director, Office of Review
and Oversight. (Field offices can be located on the Internet at
http://www.usdoj.gov/ust.)
Notification procedure:
Address inquiries to the System Manager.
Record access procedures:
A request for access to a record from this system shall be made
in writing with the envelope and letter clearly marked ``Privacy
Access Request''.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Information contained in the system is provided by the applicant,
the applicant's references, and interested third parties.
Systems exempted from certain provisions of the act:
None.
JUSTICE/UST-003
System name:
U.S. Trustee Timekeeping System.
System location:
The Executive Office for United States Trustees (EOUST) and
various offices of the United States Trustees depending upon where an
employee has been assigned for duty. (Field offices can be located on
the Internet at http://www.usdoj.gov/ust).
Categories of individuals covered by the system:
Nonclerical employees of the U.S. Trustees' offices.
Categories of records in the system:
The system includes employees' names and a record of their work
time by program activity.
Authority for maintenance of the system:
This system is established and maintained pursuant to 11 U.S.C.,
and 28 U.S.C. 586.
Purpose(s):
This system consists of a record of the work time, by program
activity, of nonclerical employees of the U.S. Trustee program. The
system is used by the EOUST to analyze workload as a basis for
requesting and allocating personnel and other resources. This
information is compiled in each of the field offices and forwarded to
EOUST for analysis.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Release of information to Member of Congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available 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.
Release of information to the National Archives and Records
Administration (NARA) and the General Services Administration (GSA):
A record from the system of records may be disclosed to the NARA
and GSA for records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on computer disks and on paper.
Retrievability:
Information is maintained alphabetically by the name of the
employee. In EOUST, duplicate records are maintained and organized by
judicial district.
Safeguards:
Information contained in the system is unclassified. It is
safeguarded and protected in accordance with Departmental rules and
procedures governing the handling of official records. During duty
hours access to this system is monitored and controlled by U.S.
Trustee office personnel. During nonduty hours offices are locked.
Retention and disposal:
Time and Attendance Reports are destroyed by shredding and
burning after GAO audit or when three years old.
System manager(s) and address:
System Manager for the system in each office, is the U.S. Trustee
and in the Executive Office, the Deputy Director. (See appendix of
addresses identified as JUSTICE/UST-999.)
Notification procedure:
Address inquiries to the System Manager.
Record access procedures:
A request for access to a record from this system shall be made
in writing with the envelope and letter clearly marked ``Privacy
Access Request''.
Individuals desiring to contest or amend information maintained
in the system should direct their request to the System Manager
stating clearly and concisely what information is being contested,
the reasons for contesting it, and the proposed amendment(s) to the
information.
Record source categories:
Nonclerical employees of the U.S. Trustee's offices.
Systems exempted from certain provisions of the act:
None.
JUSTICE/UST-004
System name:
United States Trustee Program Case Referral System, JUSTICE/UST-
004.
System location:
Executive Office for United States Trustees (EOUST), United
States Department of Justice, Room 780, 901 E St. NW., Washington, DC
20530. Records may also be located in the various field offices.
(Field offices can be located on the Internet at http://
www.usdoj.gov/ust.)
Categories of individuals covered by the system:
This system encompasses entities and individuals involved in the
bankruptcy process who are suspected of having engaged in criminal
conduct or of having violated other Federal laws, and whose
activities have been reported by the U.S. Trustees or EOUST to a U.S.
Attorney pursuant to 28 U.S.C. 586 and 18 U.S.C. 3057, or to other
law enforcement authorities for investigation.
Categories of records in the system:
Records consist of any information about a case filed under Title
11 of the U.S. Code which is the subject of, or is associated with, a
referral to law enforcement authorities. Records will consist of any
information pertaining to the subject of the referral who may be the
debtor himself, or any other individual associated with the
bankruptcy case who is suspected of having engaged in criminal
conduct or having violated other Federal laws. The information may
include the subject's name, address, date of birth, or social
security number; a chronological account of the incident(s); the
source of the information; names and addresses of witnesses; the law
enforcement agency to whom the referral is made; and the status or
final disposition of the referral. The system may also contain
information about the bankruptcy case with which the subject of the
referral is associated. Such information may include the debtor's
name, address, social security number; case number and case chapter;
the trustee's name, address and phone number; the judge assigned to
the case; and such other case data as may be filed in the records of
the court or of the U.S. Trustee.
Authority for maintenance of the system:
28 U.S.C. 586, 18 U.S.C. 3057.
Purpose(s):
The purposes of this system are to assist the U.S. Trustees: (1)
In supervising the administration of cases and trustees in cases
filed under Chapters 7, 11, 12 and 13 of Title 11, U.S. Code, as
codified by title I of the Bankruptcy Reform Act of 1978 (11 U.S.C.
101, et seq.); (2) in carrying out their congressional mandate ``to
serve as bankruptcy watch-dogs to prevent fraud, dishonesty, and
overreaching in the bankruptcy arena'' (H.R. Rep. No. 595, 95th
Cong., 2d Sess. 88 (1978)); and (3) in complying with 18 U.S.C. 3057
which directs trustees to report for investigation any instance where
there are reasonable grounds for believing that there has been a
violation of Federal laws relating to insolvent debtors or
reorganization plans. The U.S. Trustees and EOUST will inform the
appropriate law enforcement authorities when fraud or other
violations of Federal law are suspected or discovered in a bankruptcy
case and will maintain records thereof described under ``Categories
of Records in the System.'' The data will be used for program-wide
evaluation purposes, for statistical purposes, and to track the
number, type, and outcome of cases referred for investigation.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be disclosed 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 privacy or would impede an
ongoing law enforcement procedding.
These records may be disclosed to a Member of Congress or staff
acting on the Member's behalf when the Member or staff requests the
information on behalf of, and at the request of, the individual to
whom the records pertain.
These records may be disclosed to members of the judicial branch
of the Federal Government where disclosure appears relevant to the
authorized function of the recipient judicial office or court system.
These records may be disclosed to any Federal, State, and local
licensing agencies or associations when it concerns the eligibility
or suitability of an individual for a license or permit.
These records may be disclosed to any civil or criminal law
enforcement authorities, whether Federal, State, local or foreign,
for investigation of suspected violations of Federal or State laws.
Records may also be disclosed to these law enforcement authorities to
assist in ongoing investigations.
These records may be disclosed to the National Archives and
Records Administration (NARA) and the General Services Administration
(GSA) in records management inspections conducted under the authority
of Title 44 of the U.S. Code.
These records may be disclosed to a trustee in a case filed under
Chapter 7, 11, 12 or 13 of Title, 11, U.S. Code, when the U.S.
Trustee determines that the release of information is necessary to
enable the trustee to properly administer the case and to perform the
duties and responsibilities of a case trustee set forth in Title 11
and in 18 U.S.C. 3057.
These records may be disclosed, except when the bankructy court
has moved to protect an entity as provided in 11 U.S.C. 107, in a
proceeding before a court or adjudicative body or any proceeding
relevant to the administration of a case filed under Title 11 in
which the U.S. Trustee is authorized to appear when (a) the U.S.
Trustee, or (b) any employee of the U.S. Trustee in his or her
official capacity, or (c) any employee of the U.S. Trustee in his or
her individual capacity, where the Department of Justice has agreed
to represent the employee, or (d) the United States, or any agency or
subdivision thereof, is a party to litigation or has an interest in
litigation and such records are determined by the U.S. Trustee to be
arguably relevant to the litigation.
Pursuant to subsection (b)(3) of the Privacy Act, 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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
All records are stored in paper folders in cabinets. All records
are also stored on computer disks.
Retrievability:
Computerized records will be retrievable by using any one or
various combinations of the assigned case referral number, the
judicial district or U.S. Trustee's field office from which the
referral is generated, the date of the referral, the doctor's name,
the case chapter, the name, social security or employer
identification number and date of birth of the individual who is the
subject of the referral, the subject's relationship to the debtor,
the general nature of the charges and/or the status of the referral.
Records stored in paper folders will be filed chronologically by the
case referral number.
Safeguards:
Paper folders are stored in a file cabinet which is located
inside a room with a bolt lock. The computer disks are located in the
same room. Only those persons with a need to know have access to the
records.
Retention and disposal:
Criminal referral files may be destroyed by shredding or burning
five years from the date of the finding of insufficient evidence,
declination of prosecution, or the voting of a No True Bill by a
Grand Jury.
System manager(s) and address:
General Counsel, Executive Office for United States Trustees,
United States Department of Justice, Room 780, 901 E Street NW.,
Washington, DC 20530.
Notification procedure:
Address all inquiries to the system manager.
Record access procedures:
Make all requests for access to records from this system in
writing to the system manager and clearly mark both the letter and
the envelope ``Privacy Act Request.'' Provide the full name and
notarized signature of the individual who is the subject of the
request, and a return address.
Contesting record procedures:
Make all requests to correct a record in writing to the system
manager. The request must identify the particular record in question,
state the correction sought and set forth the justification for
correcting or contesting it. These procedures are in accordance with
Department regulations (28 CFR 16.46 Requests For Amendment or
Correction of Records) Federal Register, June 1, 1998, Volume 63,
page 29603.
Record source categories:
The records will contain information obtained by or furnished to
the U.S. Trustee or EQUST (1) from Federal or State court records;
(2) from debtors or debtors' principals, agents or representatives;
and (3) from informants and interested third parties.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3) and (4); (d); (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5)
and (8); (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a
(j)(2) and (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.
JUSTICE/UST-999
System name: U.S. Trustee Appendix 1--List of Record Retention
Addresses:
Executive Office for U.S. Trustees, 320 First Street, NW, HOLC
Building, Room 812, Washington, DC 20530
California, Central District: 300 North Los Angeles, Room 3101,
Federal Building, Los Angeles, California 90012 and Civic Center
Plaza Towers, 600 West Santa Ana Boulevard, Suite 501, Santa Ana,
California 92701
Colorado: 1845 Sherman Street, Room 202, Columbine Building,
Denver, Colorado 80203
Connecticut: James English Building, 105 Court Street, Room
402, New Haven, Connecticut 06510
Florida, Southern District: Federal Building, 51 Southwest
First Avenue, Room 904, Miami, Florida 33130
Florida, Middle and Northern Districts: One Memorial Center,
4921 Memorial Highway, Suite 340, Tampa, Florida 33634
Georgia, Northern and Middle Districts: Russell Federal
Building, 75 Spring Street, SW, Suite 1418, Atlanta, Georgia 30303
Geogia, Southern District: 12 West State Street, PO Box 10487,
Savannah, Georgia 31412
Illinois, Northern District: 175 West Jackson Bouelvard, Room
A-1335, Chicago, Illinois 60604
Iowa, Northern District: The Transportation Center, 426 Second
Street, SE, Room 675, Cedar Rapids, Iowa 52401
Iowa, Southern District: 210 Walnut Street, Suite 517, Des
Moines, Iowa 50309
Kansas: 401 North Market Street, United States Courthouse, Room
501, Wichita, Kansas 67202
Maine: 66 Pearl Stret, Room 322, Portland, Maine 04101
Maryland: Flllon Federal Building, 31 Hopkins Plaza, Room G-13,
Baltimore, Maryland 21201
Massachusetts, New Hampshire and Rhode Island: Boston Federal
Office Building, 10 Causeway Street, Room 472, Boston, Massachusetts
04101 and 595 Main Street, Worcester, Massachusetts 01601
Minnesota, North Dakota, and South Dakota: 110 South Fourth
Street, Room 550, United States Courthouse, Minneapolis, Minnesota
55401
New Jersey and Delaware: 60 Park Place, Second Floor, Newark,
New Jersey 07102
New Mexico: 320 Central Avenue, SW, Third Floor, Albuquerque,
New Mexico 87103
New York, Southern District: 26 Federal Plaza, Room 306,
Federal Building, New York, New York 10007
New York, Northern District and Vermont: PO Box 465, United
States Post Office and Courthouse, Albany, New York 12201
New York, Western District: 42 Delaware Avenue, Suite 100,
Buffalo, New York 14222 and United States Courthouse, 100 State
Street, Room 617, Rochester, New York 14614
New York, Eastern District: 825 East Gate Boulevard, Suite 304,
Garden City, New York 11530
Oklahoma, Western District: United States Courthouse, 201 Dean
A. McGee Avenue, Room 516, Oklahoma City, Oklahoma 73102
Oklahoma, Nortrhern and Eastern Districts: Federal Building,
333 West Forurth Street, Room 3471, Tulsa, Oklahoma 74101
Pennsylvania, Eastern District: United States Customs House,
200 Chestnut Street, Suite 600, Philadelphia, Pennsylvania 10106
Pennsylvania, Western District: Federal Building, 1000 Liberty
Avenue, Room 319, Pittsburgh, Pennsylvania 15222
Pennsylvania, Middle District: Federal Building, 228 Walnut
Street, Room 1160, Post Office Box 1248, Harisburg, Pennsylvania
17108
Puerto Rico and the Virgin Islands: 105D Chardon Street, Room
CH-162, Hato Rey, Puerto Rico 00918
South Carolina: Strom Thurmond Federal Building, 1835 Assembly
Street, Room 1272, Columbia, South Carolina 29201
Texas, Northern District: 1100 Commerce Street, United States
Courthouse, Room 9C60, Dallas, Texas 75242
Texas, Eastern District: Federal Building, 211 West Ferguson,
Suite 208, Tyler, Texas 75701
Utah: Federal Office Building, 125 South State Street, Suite
4425, Salt Lake City, Utah 84138
Virginia, Eastern District: 421 King Street, Room 410,
Alexandria, Virginia 22314 and Federal Building, 200 Granby Mall and
City Hall Avenue, Suite 744, Norfolk, Virginia 23510
Virginia, Western District: Poff Federal Building, 210 Franklin
Road, S.W., Roanoke, Virginia 24011
West Virginia: 22 Capitol Street, First Floor, Charleston, West
Virginia 25301
Wisconsin, Western District: 14 West Mifflin Street, Capitol
Square, Suite 310, Madison, Wisconsin 53703
Wisconsin, Eastern District: Federal Building, 517 East
Wisconsin Avenue, Room 533, Milwaukee, Wisconsin 53202
Wyoming: Federal Office Building, 2121 Capital Avenue, Suite
8010, Chayenne, Wyoming 82003