[Privacy Act Issuances (2003)]
[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 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/attappeals 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-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-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
Foriegn Terrorist Tracking Task Force
JUSTICE/FTTTF-001
System name:
Flight Training Candidates File System, FTTTF[*COM005*ndash]001.
System location:
Foreign Terrorist Tracking Task Force (FTTTF), U.S. Department of
Justice, Washington, DC 20530
Categories of individuals covered by the system:
Aliens and persons designated by the Under Secretary of
Transportation for Security, U.S. Department of Transportation,
pursuant to section 113 of the Aviation and Transportation Security
Act (ATSA) who are seeking training from a Federal Aviation
Administration (FAA) certificated instructor in the operation of any
aircraft with maximum certificated takeoff weight of 12,500 pounds or
more (``flight training candidates''); flight instructors who wish to
provide such training (``providers'').
Categories of records in the system:
Flight training candidate applications and identifying
information contained therein (e.g., name, date of birth, place of
birth, country of residence, education, travel, etc.); authorizations
for the release of information; basic identifying information of
providers (e.g., name, address, telephone number, FAA certification
number); classified risk assessment reports; records received from
the Federal Bureau of Investigation regarding the results of its
fingerprint and name checks of the flight training candidate; and
electronic copies of correspondence to flight training candidates,
providers, the Immigration and Naturalization Service and the
Department of State advising them as to whether individual candidates
have been determined to pose a risk to aviation or national security.
Authority for maintenance of the system:
Section 113 of the Aviation and Transportation Security Act, Pub.
L. 107-71, codified at 49 U.S.C. 44939; Homeland Security
Presidential Directive-2, October 29, 2001, ``Combating Terrorism
Through Immigration Policies.''
Purpose(s):
The system will be used to collect information and conduct the
risk assessments required under section 113 of ATSA.
Routine Uses of Records Maintained in the system, including
categories of users and the Purpose of Such Uses:
Information may be disclosed from this system as follows:
A. To flight training providers and other entities or persons in
order to verify information submitted by individual candidates, and
to facilitate the necessary risk assessment.
B. To the United States Department of State or other federal
entities concerned with visas or immigration matters for purposes of
visa or status determinations and other risk warning and assessment
programs administered by such Department or entities.
C. 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.
D. In an appropriate proceeding before a court or administrative
or regulatory body when records are determined by the Department of
Justice to be arguably relevant to the proceeding.
E. 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.
F. 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.
G. To officials and employees of a federal agency or entity,
including the White House, 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. 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.
J. To the news media and the public pursuant to 28 CFR Sec. 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. Sec. Sec. 2904 and 2906.
L. 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.
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:
All data in this system is maintained solely in electronic form.
Retrievability:
Data is retrieved by the name of the flight training candidate or
the provider.
Safeguards:
Information in this system is safeguarded in accordance with
applicable rules and policies, including the Department's automated
systems security and access policies. Classified information is
appropriately stored in secure facilities, databases, and containers
and in accordance with other applicable requirements. In general,
records and technical equipment are maintained in buildings with
restricted access. The required system protection methods also
restrict access. Access is limited to those who have a need for
access to perform their official duties.
Retention and disposal:
Records concerning an individual will be deleted from the system
when: (a) The individual reaches 99 years of age or 5 years have
elapsed since a report of the individual's death; or (b) when no
longer needed for reference, whichever is sooner (pending approval of
the Archivist of the United States).
System manager(s) and address:
Director, Foreign Terrorist Tracking Task Force, Department of
Justice, 950 Pennsylvania Avenue, NW., Washington, DC 20530.
Notification procedures:
Address inquiries to the System Manager named above.
Record access procedures:
Any flight training candidate or provider who submits information
into the system will be able to view online the information they
submit through the use of a password. U.S. citizens and Permanent
Resident Aliens may seek access to additional information about a
request for training by writing to the System Manager listed above.
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.'' A determination as to
whether a record may be accessed will be made at the time a request
is received.
Contesting record procedures:
U.S. Citizens or Permanent Resident Aliens who wish to contest,
or seek amendment of, the information maintained in the system should
direct their requests to the System Manager listed above. Requests
should clearly and concisely state what information is being
contested, the reason(s) for contesting it, and the proposed
amendment to the record. Some information may be exempt from
amendment and contesting record procedures as described in the
section entitled ``Systems Exempted from Certain Provisions of the
Act.'' A determination as to whether a record may be amended will be
made at the time a request is received.
Record source categories:
Information in this system of records will be obtained from
flight training candidates; providers; and individuals or entities
having information pertinent to the determination of risk to aviation
or national security, including but not limited to purveyors of
public source data, governmental entities, and the FAA.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3), (d)(1), (2), (3) and (4), and (e)(1) and (4)(I) of the
Privacy Act, pursuant to 5 U.S.C. 552a(k)(1). 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).
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 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 a
violation or potential violation of a contract, the relevant record
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 appropriate officials and
employees of a Federal agency or entity in connection with the
assignment, hiring, or retention of an individual; the issuance,
renewal, suspension, or revocation of a security clearance; the
execution of a security or suitability investigation; the letting of
a contract, or the issuance or revocation of a grant or benefit by
such an entity, to the extent that the information is relevant and
necessary to that entity'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 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.
(j) A record may be disclosed to any Federal, State, local,
tribal, foreign, international, or professional licensing agency or
association in connection with that entity's decision regarding the
suitability or eligibility of an individual for a license or permit.
(k) A record may be disclosed to appropriate officers and
employees of State or local (including the District of Columbia) law
enforcement or detention agencies in connection with the hiring or
continued employment of an employee or contractor where the employee
or contractor would occupy or occupies a position of public trust as
a law enforcement officer or detention officer having direct contact
with the public or with prisoners or detainees, to the extent that
the information is relevant and necessary to the recipient agency's
decision.
(l) A record may be disclosed to the Office of the Inspector
General for the Department of Homeland Security when necessitated by
the transfer of Department of Justice functions and employees to the
Department of Homeland Security.
(m) Information may be disclosed to other Federal Offices of
Inspector General and/or to the President's Council on Integrity and
Efficiency for purposes of conducting the external review process
required by the Homeland Security Act.
(n) Relevant records may be disclosed 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.
(o) Relevant and necessary information may be disclosed 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:
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.
M. Office of Internal Audit investigations index and records.
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 and 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 of the principal offices of
INS is 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:
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 (i.e., program
subject files and internal review case files).
b. Investigative files (i.e., selected and non-selected cases)
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 non-criminal 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; public source
materials; and employee identifying data (e.g., full name, social
security number, address, duty station, grade, job series, entrance
on duty [EOD] date, and date of birth) obtained from the National
Finance Center [NFC] payroll system.
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 (NARA) 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.
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:
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:
Program subject files are destroyed when 10 years old. Internal
review case files are maintained until the end of the fiscal year in
which the case was closed. One year after these records are closed,
they are transferred to the National Records Center and kept for 10
years and then are destroyed. General internal review files will be
destroyed when superseded, obsolete, or no longer needed for
reference. Investigative case files concerning selected cases are
maintained permanently. Ten years after the case is closed, it is
transferred to NARA. Non-selected investigatory files are destroyed
10 years after the case is closed. Electronic versions of records
created by the electronic mail and word processing applications are
deleted when a file copy is generated or when no longer needed for
reference or updating.
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). INS has published implementing regulations in
accordance with the requirements of 5 U.S.C. 553 (b), (c), and (e)
and these were published in the Federal Register of June 25, 1997 (62
FR 34169) and can be found at 28 CFR 16.99 (g) and (h).
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;(3) 41 CFR part 128; and
(4) 41 CFR part 102.
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 with social security numbers 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
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-006
System name:
Refugee Access Verification Unit Records (RAVU).
System location:
The system is accessible only to the Refugee Branch at the Office
of International Affairs, Immigration and Naturalization Service
(INS), 425 I Street NW., Second Floor, Union Labor Life Building,
Washington, DC 20536. The location may change at the discretion of
and depending on the needs of the INS.
Categories of individuals covered by the system:
(Please note: The system description pertains to refugees.
However, this notice is designed to cover only United States citizens
(USCs) and lawful permanent residents (LPRs) who are included in this
information system.)
(1) Refugee applicants with priority three (P3) and priority four
(P4) status, who are conditionally approved for refugee resettlement
but have not yet traveled to the United States;
(2) P3 and P4 refugee applicants who have not yet received a
refugee classification interview by INS; and
(3) Anchor relatives (i.e., lawful permanent residents and/or
United States citizen relatives) in the United States who have filed
an Affidavit of Relationship (AOR) on behalf of a refugee applicant
overseas under the P3 and P4 worldwide processing priorities.
Categories of records in the system:
This system contains copies of refugee applications and interview
worksheets, INS applications and related forms, affidavits of
relationship, AOR review checklists and decision notices; biographic
and demographic information such as family trees and documents of
identity, communications from voluntary agencies, Members of
Congress, U.S. Government agencies, and international organizations;
and biographic and demographic information stored electronically such
as anchor name and address, applicant name, voluntary agency and
decision.
Authority for maintenance of the system:
8 U.S.C. 1522(b) (Authorization for Programs for Initial Domestic
Resettlement of and Assistance to Refugees) and 22 U.S.C. 1157
(Annual Admission of Refugees and Admission of Emergency Situation
Refugees).
695Purpose(s):
To create a system of records for storing and reporting the
results of the AOR review mandated by the Homeland Security Council.
Routine uses of records maintained in the System Including
Categories of Users and Purpose of Such Uses:
A. 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.
B. 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.
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 General Services 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.
F. 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.
G. 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.
Storage:
Records are stored in electronic media and printed copies.
Retrievability:
By case number, alien number, and applicant name.
Safeguards:
All records containing personal information are maintained in
secured file cabinets or in restricted areas, access to which is
limited to authorized personnel of the INS. Where the records are
computerized, access is under the direct supervision of the system
manager.
Retention and disposal:
The following INS proposal for retention and disposal is pending
approval by NARA
RAVU electronic records will be maintained on a desktop computer
for two years and then transferred to CD-ROM, where they will be
maintained for 18 years before destruction. RAVU case files will be
maintained for two years and then destroyed.
System manager (s) and Address:
Director, Refugee Branch, Office of International Affairs, 111
Massachusetts Avenue, Second Floor, Washington, DC 20536.
Notification procedure:
Individuals who have reason to believe the Immigration and
Naturalization Service might have Refugee Access Verification Unit
Records pertaining to themselves should write to the System Manager
identified above. The individual must specify that he/she requests
RAVU records to be checked regarding a specific affidavit of
relationship. At a minimum, the individual must include: name, date
and place of birth, his/her INS ``A'' number, current mailing address
and zip code, names of relatives petitioned for on the affidavit of
relationship, and a notarized signature or pursuant to 28 U.S.C.
1746, make a dated statement under penalty of perjury as a substitute
for notarization.
Record access procedure:
Make all requests for access in writing to the Freedom of
Information Act/Privacy Act Office at 425 I Street NW, Second Floor,
Union Labor Life Building, Washington, DC 20536, or to the System
Manager noted above. Clearly mark the envelope and letter ``Privacy
Act Request.'' The requester must specify that he/she requests RAVU
records to be checked regarding a specific affidavit of relationship.
At a minimum, the requester must include: name, date and place of
birth, his/her INS ``A'' number, current mailing address and zip
code, names of relatives petitioned for on the affidavit of
relationship, and a notarized signature or pursuant to 28 U.S.C.
1746, make a dated statement under penalty of perjury as a substitute
for notarization.
Contesting record procedures:
Direct all requests to contest or amend information in the record
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:
These records contain information obtained directly from the
individual who is the subject of these records as well as relatives,
sponsors, Members of Congress, U.S. Government agencies, voluntary
agencies, international organizations, and local sources at overseas
posts.
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 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 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
3 and 4).
System location:
The Department of Justice (DOJ) Data Processing Center with data
access by Immigration and Naturalization Service (INS) users from
Headquarters, Regional and District offices, Service Centers, and
sub-offices as detailed in JUSTICE/INS-999, last published in the
Federal Register on April 13, 1999 (64 FR 18052), and on the Internet
at the INS Web page, at http://www.INS.gov.
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; and
individuals who have paid fees for access to records under the
Freedom of Information/Privacy Acts (FOIA/PA).
Categories of records in the system:
Biographic information which identifies individuals named above,
e.g., name and address, date of birth, country of birth and alien
registration number. Records in the system may also include such
information as date documents were filed or received in INS,
application/petition status, location of record, FOIA/PA or other
control number when applicable, and fee receipt 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):
CLAIMS 3 and 4 consists of three major components: (1) The Local
Area Network (LAN) version is used mainly by the INS Service Centers
to support the processing and maintenance of applications and
petitions information into computer data format;( 2) The centralized
mainframe component, retains data uploaded from the Service Center
LAN operations and provides real-time on-line nationwide inquiries
and update capabilities to authorized INS representatives, and; (3)
The re-engineered Client/Server version of CLAIMS automates aspects
of applications associated with naturalization/citizenship and
benefits processing. Both investigative and administrative records
are maintained in this system in order to permit the INS to function
efficiently. Reports are also generated from the data within the
system.
The CLAIMS 3 and 4 components enable INS to provide automated
support to process applications and/or petitions for benefits;
determine the status of pending applications and petitions for
benefits; account for and control the receipt and disposition of any
fees and refunds collected, and FOIA/PA requests; and locate related
physical and automated files to support INS responses 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 responsibilities.
B. In an appropriate proceeding before a court, grand jury, or
administrative or regulatory body when records are determined by the
Department of Justice to be arguably relevant to the proceeding.
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 2906.
G. To an obligor who has posted a bond with the INS for the
subject. INS may provide only such information, as either (1) may 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: 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.
H. 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.
I. 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.
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:
Information is stored on magnetic disks and tape.
Retrievability:
Records may be retrieved by: the Alien File Number (A-Number) in
some instances; the name of the individuals covered by the system;
and by application/petition receipt 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.
Retention and disposal:
The following INS proposal for retention and disposal is pending
approval by NARA. Information located on the LAN database will be
archived in accordance with the archiving criteria for each different
INS form downloaded into the system, i.e., one to three years after
date of last completed action to a repository where it will remain 15
years before destruction. Archived reports are maintained at INS
Service Centers for 15 years and then are destroyed. The re-
engineered client/server data will be deleted 15 years after INS has
completed the final action on the benefit request.
System manager(s) and address:
Deputy Executive Associate Commissioner, Office of Field
Operations, Immigration Services Division, 435 I Street NW, Room
7246, Washington, DC 20536.
Notification procedures:
Inquiries should be addressed to the system manager.
Record access procedures:
Requests for access to records in this system must be in writing.
Such requests may be submitted 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. 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 that may be of assistance in locating the record.
Requests to contest or amend information contained in the system
should be made to the system manager or the FOIA/PA officer at any
INS office. The requester should also provide a return address for
transmitting the records to be released.
Contesting record procedures:
Requests to contest or amend information contained in the system
should be made to the System Manager or 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.
System 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, 188 Harvest
Lane, Williston, Vermont 05495.
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).
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, 188 Harvest Lane,
Williston, VT 05495.
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
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 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 derived from information
the individual supplied and from the National Finance Center
database.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-031
System name:
Redesigned Naturalization Application Casework System (RNACS).
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).
Categories of individuals covered by the system:
Individuals who have filed applications for naturalization,
citizenship, or to replace naturalization certificates under the
Immigration and Nationality Act, as amended, and/or who have
submitted fee payments with such applications.
Categories of records in the system:
Information that identifies individuals named above, e.g., name
and address, date of birth, and alien registration number. Records in
the system may also include information such as date documents were
filed or received in INS, status, and location of record.
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 enables INS to determine the status of pending
applications for naturalization; to account for and control the
receipt and disposition of any fees collected; to schedule
naturalization interviews; to schedule naturalization ceremonies; to
print naturalization certificates; and to print information to be
sent to applicants and their attorneys on information related to
their applications.
Routine uses of records maintened 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 responsibilities.
B. In an appropriate proceeding before a court, grand jury, or
administrative or regulatory body when records are determined by the
Department of Justice to be arguably relevant to the proceeding.
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. 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. 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 General Services Administration 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 an obligor who has posted a bond with the INS for the
subject. INS may provide only such information, as either (1) may 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: 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.
I. 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.
J. Pursuant to subsection (b)(3) of the Privacy Act, the
Department 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 an IBM mainframe computer at the Justice
Data Center in Dallas, Texas.
Retrievability:
Records may be retrieved by the alien registration number of the
individuals covered by the system.
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 user identification.
Retention and disposal:
The following INS proposal for retention and disposal is pending
approval by NARA. Applications and supporting documents are placed in
the Alien File (See JUSTICE/INS-001A). Electronic copies are stored
on an IBM mainframe computer at the Justice Data Center in Dallas,
Texas for ten years and then destroyed.
System manager(s) and address:
Immigration Services Division, Immigration and Naturalization
Service, 801 I Street NW, Washington, DC 20536.
Notification procedure:
Inquiries should be addressed to the Immigration Services
Division, Attention: Naturalization Program manager.
Record access procedures:
Make all requests for access in writing to the FOIA/PA Officer at
any INS office. Such requests 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.'' The
requester shall 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 a statement of penalty of perjury, and any other identifying
information (i.e., alien registration number and receipt number to
assist in locating and/or verifying the identity of the record) 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 procedure:
Any individual desiring to contest or amend information
maintained in this system of records should direct his or her request
to the system manager noted in ``System Manager(s) and Address,'' or
if unknown, the INS FOIA/PA Officer at 425 I Street NW, Washington,
DC 20536. 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 contained in this system of records is obtained from
the individuals covered by the system and from Service officers
involved in taking actions on or making decisions about the
applications of the individuals covered by the system. Information is
also derived from other Federal Government agencies.
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.
K. To officials and employees of a federal agency or entity which
has a need for information relevant to a decision concerning the
hiring, appointment, or retention or an employee, the issuance or
retention of a security clearance; the execution of a security or
suitability investigation; the classification of a job; or the
issuance of a contract, grant, or benefit.
L. To other federal agencies for the purpose of conducting
national intelligence and security investigations.
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 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/INS034
System name:
Human Resources Management System (HRMS)
System location:
Immigration and Naturalization Service (INS) Administrative
Centers at the following locations:
Burlington, Vermont, 70 Kimball Avenue, South Burlington,
Vermont, 054036813;
Dallas, Texas, 1460 Prudential Drive, Dallas, Texas 75235; and
Laguna Niguel, California, 24000 Avila Road, Laguna Niguel,
California 92677.
Categories of individuals covered by the system:
Federal employees of the INS.
Categories of records in the system:
Records in this system contain standard personal data such as the
social security number, name of employee, date of birth, and official
start date. This data acts as a ``pointer'' to tracking the location
of each employee's Official Personnel Folder (OPF), Employee
Performance Folder (EPF), Payroll Folder (PAY) and/or Medical Folder
(EMF). Also included in this system is the status of the employee
(i.e., whether the individual has separated from service or is still
active) and whether the file has been destroyed, missing and/or lost.
Authority for maintenance of the system:
5 U.S.C. 1104 and 4305 and Executive Order 9830.
Purpose(s):
The system is used by the Human Resource Staff of each
Administrative Center in INS to track the location of all personnel
related files (i.e., the OPF, EPF, PAY and EMF).
Routine uses of records maintained in the system, including
categories of users and the Purpose of Such Use:
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
and Records Administration in record management inspections conducted
under the authority of 44 U.S.C. 2904 and 2906.
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. 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 media (i.e., standard computer
hard drive).
Retrievability:
Various combinations of social security number, name, or birth
date of the individual on whom they are maintained retrieve the
records.
Safeguards:
INS offices are located in buildings under security guard, and
access to premises is by official identification. 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 20.
System manager(s) and address:
The system administrator at each of the Administrative Center
locations cited in ``System Location.''
Notification procedure:
Inquiries should be addressed to the respective system manager
listed above.
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 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
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:
Basic information contained in this system is a result of
personnel and payroll history documents that have been supplied by
employees.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-035
System name:
Verification Information System (VIS).
System location:
Headquarters, Regional, District, and suboffices of the
Immigration and Naturalization Service (INS) in the United States--
addresses can be located on the INS webpage: www.INS.gov and 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:
Immigrants and naturalized U.S. citizens applying for federal,
state, and local public benefits for whom INS receives a Form G-845,
Document Verification Request, or an automated verification request
submitted by federal, state, and local public benefit issuing
agencies; and immigrant employees of employers who participate in one
of INS' Employment Verification Pilot Programs.
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):
This system of records is used to provide immigration status
information to federal, state, and local government agencies for
immigrants and naturalized U.S. citizens applying for federal, state,
and local public benefits. It is also used to provide employment
authorization information to employers participating in an employment
verification pilot program. The VIS expands the Systematic Alien
Verification for Entitlements (SAVE) Program's current electronic
primary verification process which utilizes the Alien Status
Verification Index (ASVI) database (JUSTICE/INS-009, last published
September 7, 2001, 66 FR 46815) to include two additional systems:
(1) The Status Verification System (SVS); and (2) the Management
Reporting System (MRS). External users access ASVI to electronically
verify immigration status and employment authorization. In the
instances when the verification cannot be confirmed by ASVI, an
electronic transmission of the verification request is sent by ASVI
to SVS to an INS field office for processing record manual agency
verification requests (Forms G-845) submitted to INS field offices
when the agency does not have access to an automated secondary
verification method or electronic access is not feasible. In cases
where the employer verification process requires the immigrant
employee to contact INS, SVS records these transactions. The SVS also
includes a workload traffic management capability that moves and
records the location of verification requests transmitted by external
users to INS field offices servicewide. The SVS also captures status
and employment verification statistics and transmits these statistics
electronically to MRS. The MRS is an automated system used by INS
management to produce statistical reports and information on
immigration status and employment authorization verification
requests.
The purpose of the system is to meet both current and future
immigration status and employment authorization verification needs.
The VIS provides the opportunity to reduce the submission of the
paper Forms G-845 and reduces the amount of time necessary to provide
immigration status and employment authorization information. The VIS
will be used by current participants of the SAVE Program, the
Employment Verification Pilots, and future customers. The VIS extends
the automation of the verification process from the initial
verification through the ASVI database through any verification that
may be required with INS field offices and records and captures
statistical information associated with the verification process.
Categories of records in the system:
Some agency users submit requests to INS on Form G-845 for agency
manual verification. These records contain the following data: Alien
Registration Number (A-Number), alien name, nationality, date of
birth, and name, address, telephone number, and contact person of the
submitting agency. INS will complete Section B of Form G-845 with
immigration status information and return it to the benefit issuing
agency. However, identical data, together with a unique verification
number and Form G-845 disposition data, will be recorded and
maintained by INS in the VIS database as a record of manual
verification made by the benefit issuing agency.
Agency automated users submit their verification requests to INS
electronically and these records contain the following data: A-
Number, alien name, date of birth, INS document type, INS document
expiration date, name of the submitting agency and immigration status
information, as well as a unique verification number and disposition
data, and will be maintained by INS in the VIS database as a record
of verification made by the benefit issuing agency.
Employers also submit their verification requests to INS
electronically and these records contain the following data: A-
Number, alien name, date of birth, social security number, date of
hire, claimed citizenship status, INS document type, INS document
expiration date, name of the submitting employer and employment
authorization information, as well as a unique verification number
and disposition data, and will be maintained by INS in the VIS
database as a record of verification made by the employer.
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, 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:
(1) Determination of eligibility for a federal, state, or local
public benefit; or (2) issuance of a license or grant. 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. Records may also be disclosed to these agencies, or
contractors operating on their behalf, for use in computer matching
programs for the purpose of verifying an applicant's immigration
status for the purpose of making benefit eligibility determinations.
B. To employers participating in Employment Verification Pilot
Programs for verifying the employment authorization of immigrant
employees to work in the United States. Employers are assigned secure
access codes, user IDs, and passwords, and have access through
personal computers with a modem.
C. To other federal, state, tribal, and local government agencies
seeking to verify or determine the citizenship or immigration status
of any individual within the jurisdiction of the INS as authorized or
required by law. The INS will assign access codes and passwords for
remote access through secure methods to agencies to perform their own
automated verification.
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 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 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. 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 stored on magnetic disk and tape.
Retrievability:
Agency records are retrieved by verification number, A-Number, or
name of the applicant, or by the submitting agency name. Employer
records are retrieved by verification number, A-Number, or Social
Security Number of the employee, or by the submitting company name.
Safeguards:
Records are safeguarded in accordance with the Department of
Justice Orders governing security of automated records and Privacy
Act systems of records. Access is controlled through user
identification and discrete password functions to assure that
accessibility is limited.
Retention and disposal:
Completed verifications are archived to a storage disk monthly
and destroyed five (5) years after the last month contained on the
disk.
System manager(s) and address:
The Servicewide system manager is the Assistant Commissioner,
Office of Records, Immigration and Naturalization Service, 425 I
Street NW., Fourth Floor, Union Labor Life Building, Washington, DC
20536.
Notification procedure:
Address your inquiries about the system in writing to the system
manager identified above.
Record access procedures:
In all cases, requests for access to a record in this system
shall be in writing. If a request for access is made by mail, the
envelope and letter should 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 A-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 the INS office that completed the verification
request. The request should clearly state what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information.
Record source categories:
Form G-845, Request for Document Verification (furnished by
benefit issuing agencies) and INS immigration status records.
Systems exempted from certain provisions of the act:
None.
JUSTICE/INS-036
System name:
Nonimmigrant Information System (NIIS).
System location:
The NIIS database and application is maintained at the Department
of Justice Data Center (JDC-D) in Dallas, Texas. The system is
accessible at Immigration and Naturalization Service (INS) offices at
Headquarters, Regional and District offices, Service Centers, sub-
offices, Ports-of-entry and foreign offices as detailed in JUSTICE/
INS-999, last published in the Federal Register on October 17, 2002
(67 FR 64136) and at http://www.INS.gov.
Categories of individuals covered by the system:
Immigrants and nonimmigrants entering and departing the United
States. Please note that this system primarily pertains to
nonimmigrants, who are generally not protected by the Privacy Act.
However, as some nonimmigrants change status and become lawful
permanent residents and United States citizens, information
pertaining to them may incidentally remain in this system.
Accordingly, the purpose of this notice is to cover only the United
States citizens (USCs) and lawful permanent residents (LPRs) who are
included in this information system.
Categories of records in the system:
NIIS is a centralized mainframe INS application designed to
create, update, and report nonimmigrant arrivals and departures to
and from the United States. The system may also contain change of
address information for non-immigrants and immigrants. (Please note:
this notice covers only USCs and LPRs whose information is contained
in this system.)
Authority for maintenance of the system:
8 U.S.C. 1103 and 8 U.S.C. 1184.
Purpose(s):
NIIS is a repository of records tracking persons arriving in or
departing from the United States as nonimmigrant visitors. The system
may also provide a central repository of baseline address
information. Data in the system assists INS and other government
agencies in law enforcement, intelligence, and counter-terrorism
activities. NIIS is vital to the core mission of the INS in
supporting immigration inspection at United States ports-of-entry and
in capturing information used to evaluate nonimmigrant travel trends.
(Please note: this notice covers only USCs and LPRs whose information
is contained in this system.)
Routine uses of records maintained in the system incuding
categories of users and the purposes of such uses:
(Please note: this notice covers only USCs and LPRs whose
information is contained in this system.)
A. In an appropriate proceeding before a court, grand jury, or
administrative or regulatory body when records are determined by the
Department of Justice to be arguably relevant to the proceeding.
B. 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.
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 (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.
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 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.
G. 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.
H. 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in a mainframe computer database.
Retrievability:
These records may be searched on a variety of data elements
including name, place and date of entry or departure, or country of
citizenship as listed in the travel documents used at the time of
entry to the United States. An admission number, issued at each entry
to the United States to track the particular admission, may also be
used to identify a database record.
Safeguards:
Most INS offices are located in buildings under security guard,
and access to premises is by official identification. Access to
records in this system is by restricted password.
Retention and disposal:
The following INS proposal for retention and disposal is pending
approval by NARA. INS arrival and departure records will be sent to a
remote contractor facility where the information from the data fields
is keyed into the NIIS database. Hard copies are stored at the
facility for 180 calendar days and then destroyed. Electronic records
will remain in the database until the system is obsolete or
superceded. Form AR-11 (``Alien's Change of Address Card'') is
maintained for five years and then is destroyed.
System manager(s) and address:
Assistant Commissioner, Office of Inspections, Immigration and
Naturalization Service, 425 I Street NW., Room 4064, Washington, DC
20536.
Notification procedure:
Address inquiries to the system manager identified above.
Record access procedures:
(Please note: this notice covers only USCs and LPRs whose
information is contained in this system; only USCs and LPRs have
records access rights under the Privacy Act.) 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 INS web page
that contains a list of principal offices. 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 or pursuant to 28 U.S.C. 1746, make a dated statement under
penalty of perjury as a substitute for notarization, of the
individual who is the subject of the record, and a return address.
Contesting record procedures:
(Please note: this notice covers only USCs and LPRs whose
information is contained in this system.) 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 individuals, the individual's
attorney/representative, INS officials, and other federal, state,
local, and foreign agencies.
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.
Central Regional Office, 7701 North Stemmons Freeway, Dallas, TX
75247-9998.
Western Regional Office, PO Box 30080, Laguna Niguel, CA 92607-
0080.
Administrative Centers:
Eastern Administrative Center, 70 Kimball Avenue, South
Burlington, VT 05403-6813.
Southern Administrative Center, 1460 Prudential Drive, Dallas, TX
75235.
Northern Administrative Center, Bishop Henry Whipple Federal
Building, Room 480, One Federal Drive, Fort Snelling, MN 55111-4007.
Western Administrative Center, 24000 Avila Road, Laguna Niguel,
CA 92677-8080.
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.
DEPARTMENT OF JUSTICE
INTERPOL-United States National Central Bureau
JUSTICE/INTERPOL-001
System name:
The INTERPOL-United States National Central Bureau (USNCB)
Records System, JUSTICE/INTERPOL-001.
System location:
INTERPOL-U.S. National Central Bureau, Department of Justice,
Washington, DC 20530.
Categories of individuals covered by the system:
Fugitives; wanted persons; criminal and non-criminal individuals
who have been charged or 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 related to humanitarian or
criminal investigations; witnesses or confidential sources in a
criminal investigation with international aspects; missing and/or
abducted persons (including alleged abductors or other individuals
associated with a missing or abducted person), and persons who are
unable or unwilling to identify themselves; INTERPOL-USNCB,
government and non-government contractor, judicial or law enforcement
personnel engaged in the performance of official duties; applicants
for a license, grant, contract or benefit; and applicants for
positions with entities performing law enforcement and non-law
enforcement functions.
Categories of records in the system:
The program records of the INTERPOL-USNCB consist of criminal and
non-criminal case files which support the law enforcement and
humanitarian functions performed by INTERPOL-USNCB. The files contain
electronic data and hard copy records of facsimiles, fingerprints,
photographs, criminal investigative reports, applicant checks related
to law enforcement and non-law enforcement employment, security, and
regulatory matters, licenses, grants, contracts, or benefits, and
related data, radio messages (international), log sheets, notices,
bulletins or posters, lookouts (temporary and permanent notices
including identification information on an individual or item of
interest to law enforcement authorities), investigative notes,
computer printouts, letters, memoranda, witness statements and
records related to 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 requests or
administrative/operational matters.
Authority for maintenance of the system:
22 U.S.C. 263a, and 28 CFR 0.34
Purpose(s):
The system manages data on foreign and domestic criminal and non-
criminal, humanitarian, and related law enforcement matters. These
records are maintained to assist and support international law
enforcement cooperation. The data includes fingerprints, photographs,
criminal investigative reports, applicant checks, licenses,
facsimiles, letters, memoranda, bulletins, posters, log sheets,
notices, investigative notes, computer printouts, and similar data.
The data is used to facilitate the sharing of information between
federal, state, local, and tribal law enforcement-related authorities
in the United States, and foreign authorities engaged in law
enforcement functions including: the investigation of crimes and
criminal activities, obtaining evidence, the sharing of law
enforcement techniques, prevention of crime, assistance in
humanitarian matters, the location and arrest of fugitives and wanted
persons, the location of missing persons, border and immigration
control, assistance in litigation, the sharing of criminal history
and background information used for investigative purposes,
determinations regarding the suitability of applicants for law
enforcement and non law enforcement-related employment, and the
issuance of a license, grant, contract, or benefit.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information may be disclosed as follows:
(1) In the event a record in this system of records, either alone
or in conjunction with other information, indicates a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, the relevant record may be referred, 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 such law.
(2) To any person or entity, and to the public generally, to the
extent necessary to obtain information or cooperation in efforts to
locate, identify, or arrest, if appropriate, fugitives, wanted
persons, missing persons, abducted persons, and persons who are
unable or unwilling to identify themselves.
(3) To any entity maintaining civil, criminal or other
information when necessary to obtain information relevant to a
decision by a foreign, federal, state, local, or tribal agency
concerning the hiring, appointment, or retention of an employee; the
issuance or retention of a security clearance; the execution of a
security or suitability investigation; the classification of a job;
or the issuance of a contract, grant, license, or benefit.
(4) To officials and employees of a federal agency or entity,
including the White House, which has a need for information relevant
to a decision concerning the hiring, appointment, or retention of an
employee; the issuance or retention of a security clearance; the
execution of a security or suitability investigation; the
classification of a job; or the issuance of a contract, grant, or
benefit.
(5) In an appropriate proceeding before a court or administrative
or regulatory body when records are determined by the Department of
Justice to be arguably relevant to the proceeding.
(6) To such recipients under such circumstances and procedures as
are mandated by federal statute or executive agreement, or where
disclosure is pursuant to an international treaty or convention
entered into and ratified by the United States.
(7) To the International Criminal Police Organization (INTERPOL)
General Secretariat and National Central Bureaus in member countries;
and to the INTERPOL Supervisory Board, an international board
comprised of three judges having oversight responsibilities regarding
the purpose and scope of personal information maintained in the
international archives of INTERPOL.
(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 accomplish an agency function related
to this system of records.
(9) 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.
(10) 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 request of the individual who is the subject
of the record.
(11) 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.
(12) To foreign, federal, state, local and tribal licensing
agencies or associations which require information concerning the
suitability or eligibility of an individual for a license or permit.
(13) 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.
(14) 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.
(15) A record relating to a case or matter that has been referred
by an agency, or that involves a case or matter within the
jurisdiction of an agency, or where the agency or its 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.
(16) 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, or to
assist such country in civil or criminal proceedings in which the
United States or one of its officers or agencies has an interest.
(17) 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.
(18) 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.
(19) To any entity or person where there is reason to believe
that 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.
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) [JUSTICE/FBI 001], for a limited
time period, or until 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:
Case files closed as of April 5, 1982 and thereafter are disposed
of as follows: 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. Information
contained in electronic case files will be stored on a compact disc
two years after closing the case and sent to the Washington National
Records Center for destruction in five years, or seven years after
case closure, if there has been no case activity. Automated
information will be flagged as an archived case and maintained on the
LAN server for an indefinite period of time.
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 a return address provided for transmitting any
information to the requester.
Contesting record procedures:
See ``Access procedures'' above.
Record source categories:
Sources of information contained in this system include
investigating reports, notes, correspondence, messages, photographs,
fingerprints, and other identification materials from federal, state,
local, tribal and foreign law enforcement and non-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
have been published in the Federal Register. See 28 CFR 16.103.
DEPARTMENT OF JUSTICE
Justice Management Division
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.
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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).
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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-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 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
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.
JUSTICE/OJP014
System name:
Victims of International Terrorism Compensation and Assistance
Program.
System location:
Records will be kept at the Office for Victims of Crime (OVC),
Office of Justice Programs (OJP), 810 Seventh Street, NW.,
Washington, DC 20531, or at locations of authorized contractors. OVC
will have access to any/all data base(s) established by an OVC
contractor and the data base(s) will be maintained internally or
placed on the OJP/OVC server.
Categories of individuals covered by the system:
Claimants seeking benefits under the program, individuals filing
claims on behalf of claimants, and individuals referenced in claims
or related documents.
Categories of records in the system:
Records in the system include: Claim forms filed by or on behalf
of claimants seeking benefits under the program; records from
telephone contacts or inquiries; documents submitted in support of
the claims; medical, personal, employment, financial, and other
records obtained or generated to process claims.
Authority for maintenance of the system:
Authority for maintaining this system exists under the Victims of
Crime Act (``VOCA''), 42 U.S.C. 10601 et seq.; Sec. 10604
(Administrative provisions).
Purpose(s):
Information contained in this system may be used to determine and
record eligibility of claimants under the Victims of Crime Act, as
amended, and any compensation or assistance provided under the Act,
and to track claim status. For individuals who are eligible, see 42
U.S.C. 10603c(3)(A): The term ``victim'' means ``a person who--(i)
suffered direct physical or emotional injury or death as a result of
international terrorism occurring on or after December 21, 1988 with
respect to which an investigation or prosecution was ongoing after
April 24, 1996; and (ii) as of the date on which the international
terrorism occurred, was a national of the United States or an officer
or employee of the United States Government.'' (42 U.S.C.
10603c(3)(A) (i) and (ii)).
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:
A. To appropriate Federal, State and local agencies to coordinate
benefits paid under similar programs;
B. To Federal, State and local agencies to verify and certify
eligibility for benefits;
C. In a proceeding before a court, grand jury, or administrative
or regulatory body when the records are determined by the Department
of Justice to be arguably relevant to the proceeding;
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.
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. Limited information may be disclosed to relief organizations/
agencies, as appropriate for acts of international terrorism.
G. To foreign compensation programs and/or foreign governments to
coordinate payment of benefits and/or to ensure no duplication of
payments.
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 OJP function related to
this system of records.
I. 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.
J. 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.
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.
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.
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 system.
Retrievability:
Data is retrieved by name and address of claimant, name and
address of deceased or injured victim, by terrorism incident, by type
of service provider/service rendered to victim, by nationality
(Foreign Service National (FSN) vs. U.S. National), by social
security number, by date of birth, and individual case file number.
Safeguards:
Computerized information is safeguarded and protected by computer
password key and limited access. Electronic record retention is also
protected by ``firewalls.'' 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
audit trail of accessed information. Access to manual files is
limited to personnel who have a need for files to perform official
duties and is safeguarded in locked file cabinets. All files are
maintained in a secure building.
Retention and disposal:
Files are retained on hard copy and on a computer database. All
claim files and automated data pertaining to a claim are destroyed 10
years after the date the claim has been fully processed and/or
payment made, as approved by the National Archives and Records
Administration (NARA). Automated data is retained in its most current
form only, however, and as information is updated, outdated
information is deleted. A schedule is pending approval with NARA.
System manager(s) and address:
Terrorism and International Victims Unit, Office for Victims of
Crime, Office of Justice Programs, 810 7th Street, NW, Washington, DC
20531.
Notification procedure:
Inquiries concerning this system should be addressed to the
system manager listed above c/o FOI/PA Personnel.
Record access procedures:
Request for access to a record from this system shall be made in
writing with the envelope and the letter clearly marked ``Freedom of
Information/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.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request 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.
Record source categories:
Public agencies including investigating agency, employing agency,
beneficiaries, educational institutions, physicians, hospitals,
official state and Federal documents.
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.(11) relevant information contained in this system of
records may be disclosed 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. (12) relevant and
necessary information may be disclosed to former employees 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. (13) relevant
information contained in this system of records may be disclosed to a
member of the judicial branch of Federal Government in response to a
written request where disclosures are relevant to the authorized
function of the recipient judicial office or court system.
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 Case Files/Executive Clemency Tracking System.
System location:
Office of the Pardon Attorney (OPA), U.S. Department of Justice,
500 First Street, NW., Suite 400, 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:
Paper Files: The system contains the individual case files of
persons who have applied for or been granted executive clemency,
which may include the following: The clemency petition; character
affidavits; investigatory material; court-related documents (e.g.,
presentence reports, judgments of conviction, and court opinions);
official court-martial documents (in military cases); prison progress
reports and U.S. Parole Commission notices of action; media reports
(e.g., newspaper and magazine articles); official and other
correspondence (both generated and received, whether solicited or
unsolicited); and inter-agency and intra-agency reports and
recommendations and decisional documents relating to individual
clemency matters.
Computerized Records: The system also includes an automated
database for tracking the handling of clemency cases from filing to
final action. Information used to track such progress may include,
but is not limited to, the petitioner's name, social security number,
birth date, the date the petition was received, offense and
sentencing information, the date of final action by the President,
and other case-related information. Clemency case file notes may also
be summarized and stored in an automated format, and may include any
relevant information that would assist OPA in formulating clemency
recommendations to the President or otherwise performing its duties
more efficiently.
Authority for maintenance of the system:
The system is established and maintained in order to carry out
the duties assigned by the President, pursuant to the power granted
him under United States Constitution, Article II, section 2, to the
Department of Justice in Executive Order of the President 30-1, dated
June 16, 1893; and Executive Order of the President No. 11878
(published at 40 FR 42731), as delegated by the Attorney General to
OPA in 28 CFR 0.35 and 0.36 (Attorney General Order No. 1012-83,
published at 48 FR 22290), and as described in 28 CFR 1.1 through
1.11 (Attorney General Order No. 1798-93, published at 58 FR 53658;
as amended at 65 FR 48381 and 65 FR 58223).
Purpose(s):
Executive clemency case files are maintained by the Attorney
General or his designee to facilitate and document the functions of
the Attorney General or his designee in receiving, investigating, and
evaluating requests for executive clemency; preparing the necessary
reports and recommendations from the Department of Justice to the
President in clemency matters; serving as liaison with clemency
applicants and the public on clemency matters; and advising the
President on the historical exercise of the clemency power. In
addition, OPA or the Attorney General may provide other Departmental
components records and information from clemency case files to the
extent it is necessary to perform their functional responsibilities.
For example, following a Presidential decision to grant clemency (and
occasionally when clemency is denied), the Department's Office of
Public Affairs typically makes appropriate disclosures of information
to the public, including the name of the person granted clemency, the
date of the grant of clemency, the nature of the relief granted
(e.g., commutation of sentence, remission of fine, reprieve, or
pardon after completion of sentence), the date, sentence, and
district of the conviction for which clemency was sought, the city
and state of the applicant's current place of residence, and the
names of his attorney and character affiants, if any. Automated
tracking and retrieval systems enhance OPA's ability to maintain and
use the information contained in clemency case files.
Routine uses of records maintained in the system, including
categories of users and the Purposes of Such Uses.
Disclosure of records in the clemency file of an individual who
has applied for or been granted clemency, and information contained
in such documents, may be made to the following parties when it has
been determined by OPA that such a need exists:
(a) The President, and members of his staff, in order to assist
him in the exercise of his constitutional clemency power.
(b) Current and former government employees, including law
enforcement and judicial authorities, whose comments on a particular
clemency matter are solicited by OPA in connection with its
investigation and review of a case, in order to enable such persons
to formulate a response to the request.
(c) 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.
(d) A private contractor or federal agency for the purpose of
preparing bound and indexed volumes containing originals and/or
photocopies of the official warrant of clemency granted each
recipient of clemency as a public and official record of Presidential
action.
(e) An appropriate federal, state, local, foreign, or tribal law
enforcement authority or other appropriate agency charged with the
responsibility for investigating or prosecuting a violation or
potential violation of law (whether civil, criminal, or regulatory in
nature), 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.
(f) A federal, state, local, or tribal agency, including
prosecution, corrections, sentencing, or parole authorities, in order
to assist it in the execution of appropriate actions necessary to
implement a Presidential clemency decision or in the performance of
its official duties.
(g) A federal, state, local, or tribal agency or regulatory
authority where OPA determines that the agency requires information
relevant to a decision concerning the issuance, renewal, revocation,
or suspension of a license, permit, grant, or other benefit, or other
need for the information in the performance of its official duties.
(h) A court, administrative, or regulatory body when the records,
or information derived therefrom, are determined by OPA to be
arguably relevant to the litigation or proceeding, and when one of
the following is a party to or has an interest in the litigation or
proceeding: (1) OPA; (2) any employee of OPA in his or her official
capacity; (3) any employee of OPA in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or (4) the United States.
(i) 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) 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.
(k) 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.
(l) A member of the public who has requested information
concerning a specific, named person, provided that such a disclosure
shall be limited to: whether a clemency application has been filed,
and if so, the date on which it was filed, the type of clemency
sought, the offense(s) for which clemency is sought, the date and
court of conviction, the sentence imposed, the decision of the
President to grant or deny clemency and the date of that decision,
the administrative closure of a clemency request and the date of such
closure.
(m) Former employees 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 stored in electronic media via a client/server
configuration. Computerized records are stored on hard disk, floppy
diskettes, compact disks, magnetic tape, and/or on OPA's local area
network. Paper records are stored in individual file folders and a
secure file room or file cabinets with controlled access, and/or
other appropriate GSA approved security containers.
Retrievability:
Individual case files are retrieved primarily by the name of the
person who applied for or was granted executive clemency. Case files
also may be retrieved by a case file number assigned to each file.
Information stored in the computerized case-tracking system is
retrieved primarily by searching under the name of the person who
applied for or was granted clemency, or on whose behalf clemency was
sought. Information stored in the computerized case-tracking system
may also be retrieved by the clemency case file number, or the
applicant's Bureau of Prisons register number (if he was incarcerated
at the time he applied for or was granted clemency).
Safeguards:
Paper records are secured through the use of safes, locked file
cabinets, and/or restricted access to the space in which they are
located. Electronic records are safeguarded in accordance with DOJ
rules and policies governing automated systems security and access,
including the maintenance of technical equipment in restricted areas
and the required use of individual passwords and user identification
codes to access the system.
Retention and disposal:
Individual case files are stored in OPA's work area while the
clemency request is pending, and generally for up to two years after
the date of final decision. Closed case files are transferred to the
Washington National Records Center in Suitland, Maryland one full
year after the calendar year in which the case was closed. Except for
copies of reports furnished to the President on particular clemency
matters, clemency warrants and other documents reflecting the
President's action in clemency cases, case files in any cases in
which clemency is granted, case files in any other cases designated
by the Pardon Attorney as having significant public interest, and
notices issued by OPA to the Office of Public Affairs of the
Department of Justice, case files at the Washington National Records
Center are destroyed no sooner than 25 years after the case is
closed, in accordance with Records Disposition Authority NC1-204-95-
1, or successor Records Disposition Authority.
System manager(s) and address:
Pardon Attorney, Office of the Pardon Attorney, U.S. Department
of Justice, 500 First Street, NW, Suite 400, Washington, DC 20530.
Notification procedure:
Address inquiries to Office of the Pardon Attorney, U.S.
Department of Justice, 500 First Street, NW, Suite 400, Washington,
DC 20530.
Record access procedures:
While the Attorney General has exempted executive clemency case
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. Provide full name, current address,
date and place of birth, signature (which must be either notarized or
submitted under penalty of perjury) and a return address for
transmitting the information.
Contesting record procedures:
While the Attorney General has exempted executive clemency case
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 include: individual applicants for
clemency, their representatives, and persons who write, confer with,
or orally advise OPA concerning those applicants; investigatory
reports of the Federal Bureau of Investigation, the Drug Enforcement
Administration, the Internal Revenue Service, and the Immigration and
Naturalization Service, and other appropriate government agencies;
records of the Bureau of Prisons; reports of the Armed Forces;
presentence reports provided by the Bureau of Prisons or the federal
Probation Offices; reports of the U.S. Parole Commission; comments
and recommendations from current and former federal and state
officials; and employees of the Department of Justice and the White
House.
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), and (e)(5) 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.
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.
16.132 Exemption of Department of Justice System--Personnel
Investigation and Security Clearance Records for the Department of
Justice (DOJ), DOJ-006.
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 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 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.
(j) The following system of records is exempted pursuant to 5 U.S.C.
552a(j) from subsections (e)(1) and (e)(5): Bureau of PrisonsInmate
Central Records System, (Justice/BOP-005).
(k) These exemptions apply to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j). 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. Exemptions from the particular
subsections are justified for the following reasons:
(1) From subsection (e)(1) to the extent that the bureau 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.
(2) From subsection (e)(5) because in the collection and maintenance
of information for law enforcement pruposes, it is impossible to
determine in advance what information, relevant, timely and complete.
Data which may seem unrelated, irrelevant or incomplete when collected
may take on added meaning or significance during the course of an
investigation or with the passage of time, and could be relevant to
future law enforcement decisions. In addition, because may of these
records come from the courts and other state and local criminal justice
agencies. it is administratively impossible for them and the Bureau to
ensure compliance with this provision. The restrictions of subsection
(e)(5) would restrict and delay trained correctional managers from
timely exercising their judgment in managing the inmate population and
providing for the safty and security of the prisons and the public.
(l) The following system of records is exempted pursuant to 5 U.S.C.
552a(j) from subsections (e)(1) and (e)(5): Bureau of Prisons Inmate
Trust Fund Accounts and Commissary Record System, (Justice/BOP-006).
(m) These exmeptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j). 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 accurace of the informaiton collected, e.g.
public source materials, or those supplied by third parties, the
applicable exemption may be waived. Exemptions from the particular
subsections are justified for the following reasons:
(1) From subsection (e)(1) to the extent that the Bureau 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.
(2) 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. In addition, amendment of the records may
interfere with law enforcement operations and would impose an impossible
administrative burden by requiring that law enforcement information be
continuously reexamined, even where the information may have been
collected from the record subject or other criminal justice agencies.
The restrictions of subsection (e)(5) would restrict and delay trained
correctional managers from timely exercising their judgment in managing
the inmate population and providing for the safety and security of the
prisons and the public.
(n) The following system of records is exempted pursuant to 5 U.S.C.
552a(j) from subsections (e)(1) and (e)(5): Bureau of Prisons Inmate
Physical and Mental Health Records System, (Justice/BOP-007).
(o) These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(j). 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 accurace of the information collected, e.g.,
public source materials, or those supplied by third parties, the
applicable exemption may be waivered. Exemptions from this particular
subsections are justified for the following reasons.
(1) From subsection (e)(1) to the extent that the Bureau 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.
(2) 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 during the course of
an investigation progresses or with the passage of time, and could be
relevant to future law enforcement decisions. In addition, because may
of these records come from sources outside the Bureau of Prisons, it is
administratively impossible for them and the Bureau to ensure compliance
with this provision. The restrictions of subsection (e)(5) would
restrict and delay trained correctional managers fromtimely exercising
their judgment in managing the inlate population and providing for the
health care of the inmates and the safety and security of the prisons
and the public.i
[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; Order No. 279-2002, 67 FR 51754, Aug. 9, 2002;
Order No. 280-2002, 67 FR 51755, Aug. 6, 2002; Order 281-2002, 67 FR
51755, Aug. 9, 2002
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 R
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).
JUSTICE--006, Personnel Investigation and Security Clearance Records
for the Department of Justice.
JUSTICE--007, Reasonable Accomodations for the Department of Justice
(DOJ).
JUSTICE--OO8, Department of Justice Grievance Records.
JUSTICE/ATF-001--Administrative Record System
JUSTICE/ATF-003--Criminal Investigation Report System
JUSTICE/ATF-006--Internal Security Record System
JUSTICE/ATF-007--Personnel Record System
JUSTICE/ATF-008--Regulatory Enforcement Record System
JUSTICE/ATF-009--Technical and Scientific Services Record System
JUSTICE/ATF-010--Training and Professional Development Record
System
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, Prison Security and Intelligence 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 Trust Fund Accounts and Commissary 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, Administrative Claims Record System.
JUSTICE/BOP-10, Access Control Entry/Exit System.2
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-15, Outside Employment Requests 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-005, Annuity Broker List 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
JUSTICE/FCSC-1, Indexes of Claimants (Alphabetical).
JUSTICE/FCSC-2, Bulgaria, Claims Against (2nd Program).
JUSTICE/FCSC-3, Certifications of Awards.
JUSTICE/FCSC-4, China, Claims Against.
JUSTICE/FCSC-5, Civilian Internees (Vietnam).
JUSTICE/FCSC-6, Correspondence (General).
JUSTICE/FCSC-8, Cuba, Claims Against.
JUSTICE/FCSC-9, Czechoslovakia, Claims Against.
JUSTICE/FCSC-10, East Germany, Registration of Claims Against.
JUSTICE/FCSC-11, Federal Republic of Germany, Questionnaire Inquiries
from.
JUSTICE/FCSC-12, Hungary, Claims Against (2nd Program).
JUSTICE/FCSC-13, Italy, Claims Against (2nd Program).
JUSTICE/FCSC-14, Micronesia, Claims Arising in.
JUSTICE/FCSC-16, Prisoners of War (Pueblo).
JUSTICE/FCSC-17, Prisoners of War (Vietnam).
JUSTICE/FCSC-18, Rumania, Claims Against (2nd Program).
JUSTICE/FCSC-19, Soviet Union, Claims Against.
JUSTICE/FCSC-20, Yugoslavia, Claims Against (2nd Program).
JUSTICE/FCSC-21, German Democratic Republic, Claims Against.
JUSTICE/FCSC-23, Vietnam, Claims for Losses Against.
JUSTICE/FCSC-24, Ethiopia, Claims for Losses Against.
JUSTICE/FCSC-25, Egypt, Claims Against.
JUSTICE/FCSC-26, Albania, Claims Against.
JUSTICE/FCSC-27, Germany, Holocaust Survivors' Claims Against.
JUSTICE/FCSC-28, Iraq, Registration of Potential Claims Against.
JUSTICE/FCSC-29, Iran, Claims of less than $250,000 Against.
Foreign Terrorists Tracking Task Force
JUSTICE/FTTTF-001, Flight Training Candidates File System.
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-006, Refugee Access Verificaiton Unit Records (RAVU).
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, Computer Linked Application Information Management
System (CLAIMS 3 and 4).
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-31, Redesigned Naturalization Application Casework System
(RNACS).
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-34, Human Resources Management System (HRMS).
JUSTICE/INS-35, Verification Information System (VIS).
JUSTICE/INS36, Nonimmigrant Informaiton System (NIIS).
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-002, Controlled Substances Act Nonpublic Records.
JUSTICE/JMD-003, Department of Justice Payroll System.
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-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).
JUSTICE/OJP-14, Victims of International Terrorism Compensation and
Assistance Program
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 Case Files/Executive Clemency
Tracking System .
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\
---------------------------------------------------------------------------
\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).
---------------------------------------------------------------------------
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.
These records may be disclosed 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:
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.
These records may be disclosed 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 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.
These records may be disclosed 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:
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.
These records may be disclosed 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:
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.