[Federal Register Volume 62, Number 221 (Monday, November 17, 1997)]
[Notices]
[Pages 61262-61268]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-29423]
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Notices
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains documents other than rules
or proposed rules that are applicable to the public. Notices of hearings
and investigations, committee meetings, agency decisions and rulings,
delegations of authority, filing of petitions and applications and agency
statements of organization and functions are examples of documents
appearing in this section.
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Federal Register / Vol. 62, No. 221 / Monday, November 17, 1997 /
Notices
[[Page 61262]]
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DEPARTMENT OF AGRICULTURE
Office of the Secretary
Privacy Act of 1974; Systems of Records
AGENCY: Office of the Secretary, USDA.
ACTION: Revision of Privacy Act systems of records.
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SUMMARY: Pursuant to 5 U.S.C. 552a(e)(4) the United States Department
of Agriculture (USDA) is revising the Privacy Act Systems of Records
maintained by the Office of Inspector General (OIG) published in the
Federal Register on October 11, 1994, on pages 54105-51413 and modifies
the list of routine uses listed under USDA/OIG-1 and made applicable in
verbatim to systems, USDA/OIG-2, USDA/OIG-3, USDA/OIG-4, USDA/OIG-5,
USDA/OIG-6, and USDA/OIG-7, by adding text to allow the release of
names of arrested persons and to reflect changes in office addresses
which are applicable to all USDA/OIG systems.
DATES: This revision becomes effective (January 2, 1998) without
further notice unless changes are made in response to comments received
from the public.
FOR FURTHER INFORMATION CONTACT:
Paula F. Hayes, Assistant Inspector General for Policy Development and
Resources Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, D.C. 20250-2310 (202-720-6979).
SUPPLEMENTARY INFORMATION: The revision in the routines uses listed
under system USDA/OIG-1, Employee Records, USDA/OIG, and made
applicable in verbatim, by reference, to systems USDA/OIG-2, USDA/OIG-
3, USDA/OIG-4, USDA/OIG-5, USDA/OIG-6, and USDA/OIG-7, adds a routine
use number 13 which reads as follows: ``Relevant information from a
system of records may be disclosed to the news media and general public
where there exists a legitimate public interest, e.g., to assist in the
location of fugitives, to provide notification of arrests, where
necessary for protection from imminent threat of life or property, or
in accordance with guidelines set out by the Department of Justice in
28 CFR 50.2.''
Proposed changes applicable to all USDA/OIG systems include changes
in office addresses also under system USDA/OIG-1, Employee Records,
USDA/OIG.
Accordingly, USDA is revising the full text of the OIG Systems of
Records last published in full in 50 FR 50814, December 12, 1985, and
amended in part in 54 FR 39552, September 27, 1989.
A Privacy Act Systems Report relating to the proposed changes,
required by 5 U.S.C. 552a(r), has been set to the Office of Management
and Budget and Congress.
Done at Washington, DC, this 3rd day of November 1997.
Dan Glickman,
Secretary of Agriculture.
USDA/OIG-1
SYSTEM NAME:
Employee Records, USDA/OIG.
SYSTEM LOCATION:
In the headquarters offices of the U.S. Department of Agriculture
(USDA), Office of Inspector General (OIG) and Office of Personnel (OP)
in the Jamie L. Whitten Federal Building, 1400 Independence Avenue SW.,
Washington, DC 20250, and Franklin Court, 1099 14th Street NW.,
Washington, DC 20005, and in the following OIG regional offices and
suboffices:
OIG Regional Offices
600 Harrison Street, Suite 225, San Francisco, California 94017
401 West Peachtree Street NW., Room 2328, Audit; Room 2329,
Investigations, Atlanta, Georgia 30365-3520
111 North Canal Street, Suite 1130, Chicago, Illinois 60606-7295
ATTN: Suite 5006, 4700 River Road, Unit 151, Riverdale, Maryland 20737-
1237
PO Box 293, Kansas City, Missouri 64141
26 Federal Plaza, Room 1409, New York, New York 10278
101 South Main, Room 324, Audit; Room 311, Investigations, Temple,
Texas 76501
OIG/Audit Suboffices
1510 ``J'' Street, Suite 120, Sacramento, California 95814
2850 McClellan, Suite 3500, Fort Collins, Colorado 80525
3008 NW. 13th Street, Suite B, Gainesville, Florida 32609
3736 Government Street, Alexandria, Louisiana 71302
13800 Old Gentilly Road, New Orleans, Louisiana 70129
3001 Coolidge Road, Suite 150, East Lansing, Michigan 48823-6321
375 Jackson Street, Suite 320, St. Paul, Minnesota 55101-1850
Millsaps Building, Suite 400, 201 West Capitol Street, Jackson,
Mississippi 39201
PO Box 14153 Main Post Office, St. Louis, Missouri 63120
100 Centennial Mall North, Room 276, Lincoln, Nebraska 68508
Mercer Corporate Park, 310 Corporate Boulevard, Robinsville, New Jersey
08691-1598
26 Federal Plaza, Room 1415, New York, New York 10278
4407 Bland Road, Room 110, Raleigh, North Carolina 27609
200 N. High Street, Room 346, Columbus, Ohio 43215-2408
Edith Green Wendell Wyatt Federal Office Building, 1220 SW. Third
Avenue, Room 1640, Portland, Oregon 97204-2893
One Credit Union Place, Suite 350, Harrisburg, Pennsylvania 17110-2992
233 Cumberland Bend, Room 204, Nashville, Tennessee 37228
1200 Main Tower, Room 880, Dallas, Texas 75202
OIG/Investigation Suboffices
522 N. Central Avenue, Room 202, Phoenix, Arizona 85004
21660 East Copley Drive, Suite 370, Diamond Bar, California 91765
1510 ``J'' Street, Suite 110, Sacramento, California 95814
1961 Stout Street, Suite 1524, Drawer 3528, Denver, Colorado 80294
6039 Lakeside Boulevard, Indianapolis, Indiana 46278-1989
3001 Coolidge Road, Suite 150, East Lansing, Michigan 48823-6321
375 Jackson Street, Suite 320, St. Paul, Minnesota 55101-1850
Millsaps Building, Suite 410, 201 West Capitol Street, Jackson,
Mississippi 39201
911 Washington Avenue, Suite 203, St. Louis, Missouri 63101
[[Page 61263]]
4407 Bland Road, Room 110, Raleigh, North Carolina 27609
200 North High Street, Room 350, Columbus, Ohio 43215-2408
660 American Avenue, Suite 201, King of Prussia, Pennsylvania 19406-
4032
233 Cumberland Bend, Room 208, Nashville, Tennessee 37228
1200 Main Tower, Room 880, Dallas, Texas 75202
1000 Second Avenue, Suite 1950, Seattle, Washington 98104
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
OIG temporary and permanent employees, former employees of OIG and
predecessor offices, and applicants for employment.
CATEGORIES OF RECORDS IN THE SYSTEM:
These records show or relate to employment, personnel management,
and work-related information, including position, classification,
title, grade, pay rate, pay, temporary and permanent addresses and
telephone numbers for home and work, copies of security clearance
forms, program and performance evaluations, promotions, retirement,
disciplinary actions, appeals, incentive programs, unemployment
compensation, leave, complaints and grievances, health benefits, equal
employment opportunity, automation of personnel data, travel
information, accident reports and related information, activity
reports, participation in savings and contribution programs,
availability for employment, assignment, or for transfer,
qualifications (for law enforcement employees this includes Attorney
General designations, training certificates, physical fitness data, and
medical officer's certification excluding personal medical data),
awards, hours worked, issuance of credentials, passports and other
identification, assignment and accountability of property and other
things of value, parking space assignments, training and development,
special assignments, and exit interviews.
Other employee records are covered by other systems as follows: For
Official Personnel Folder (OPF) data refer to USDA/OP-1, Personnel and
Payroll System for USDA Employees; for medical records, including SF-
78, Certificate of Medical Examination, and drug testing records, refer
to OPM/GOVT-10, Employee Medical File System; for pre-employment
inquiries refer to USDA/OIG-3, Investigative Files and Automated
Investigative Indices; for annual financial disclosure statements refer
to OPM/GOVT-8, Confidential Statements of Employment and Financial
Interests.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
IG Act of 1978, 5 U.S.C. app.; 5 U.S.C. 301; 7 U.S.C. 2270.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
(1) A record from the system of records which indicates either by
itself or in combination with other information, a violation or
potential violation of a contract or of law, whether civil, criminal,
or regulatory, or which otherwise reflects on the qualifications or
fitness of a licensed (or seeking to be licensed) individual, may be
disclosed to a Federal, State, local, foreign, or self-regulatory
agency (including but not limited to organizations such as professional
associations or licensing boards), or other public authority that
investigates or prosecutes or assists in such investigation,
prosecution, enforcement, implementation, or issuance of the statute,
rule, regulation, order, or license.
(2) A record from the system of records may be disclosed to a
Federal, State, local, or foreign agency, other public authority,
consumer reporting agency, or professional organization maintaining
civil, criminal, or other relevant enforcement or other pertinent
records, such as current licenses, in order to obtain information
relevant to an OIG decision concerning employee retention or other
personnel action, issuance of a security clearance, letting of a
contract or other procurement action, issuance of a benefit,
establishment of a claim, collection of a delinquent debt, or
initiation of an administrative, civil, or criminal action.
(3) A record from the system of records may be disclosed to a
Federal, State, local, foreign, or self-regulatory agency (including
but not limited to organizations such as professional associations or
licensing boards), or other public authority, to the extent the
information is relevant and necessary to the requestor's hiring or
retention of an individual or any other personnel action, issuance or
revocation of a security clearance, license, grant, or other benefit,
establishment of a claim, letting of a contract, reporting of an
investigation of an individual, for purposes of a suspension or
debarment action, or the initiation of administrative, civil, or
criminal action.
(4) A record from the system of records may be disclosed to any
source--private or public--to the extent necessary to secure from such
source information relevant to a legitimate OIG investigation, audit,
or other inquiry.
(5) A record from the system of records may be disclosed to the
Department of Justice in the course of litigation when the use of such
records by the Department of Justice is deemed relevant and necessary
to the litigation and may be disclosed in a proceeding before a court,
adjudicative body, or administrative tribunal, or in the course of
civil discovery, litigation, or settlement negotiations, when a part to
a legal action or an entity or individual having an interest in the
litigation includes any of the following:
(a) The OIG or any component thereof;
(b) Any employee of the OIG in his or her official capacity;
(c) Any employee of the OIG in his or her individual capacity where
the Department of Justice has agreed to represent the employee; or
(d) The United States, where the OIG determines that litigation is
likely to affect USDA or any of its components.
(6) A record from the system of records may be disclosed to a
Member of Congress from the record of an individual in response to an
inquiry from the Member of Congress made at the request of that
individual. In such cases however, the Member's right to a record is no
greater than that of the individual.
(7) A record from the system of records may be disclosed to the
Department of Justice for the purpose of obtaining its advice on an OIG
audit, investigation, or other inquiry, including Freedom of
Information or Privacy Act matters.
(8) A record from the system of records may be disclosed to the
Office of Management and Budget for the purpose of obtaining its advice
regarding OIG obligations under the Privacy Act or in connection with
the review of private relief legislation.
(9) A record from the system of records may be disclosed to a
private firm with which OIG contemplates it will contract or with which
it has contracted for the purpose of performing any functions or
analyses that facilitate or are relevant to an OIG investigation,
audit, inspection, or other inquiry. Such contractor or private firm
shall be required to maintain Privacy Act safeguards with respect to
such information.
(10) A record from the system of records may be disclosed in
response to a subpoena issued by a Federal agency having the power to
subpoena records of other Federal agencies if the OIG determines that:
(a) The records are both relevant and necessary to the proceeding, and
(b) such release is
[[Page 61264]]
compatible with the purpose for which the records were collected.
(11) A record from the system of records may be disclosed to a
grand jury agent pursuant either to a Federal or State grand jury
subpoena, or to a prosecution request that such record be released for
the purpose of its introduction to a grand jury, provided that the
grand jury channels its request through the cognizant U.S. Attorney,
that the U.S. Attorney has been delegated the authority to make such
requests by the Attorney General, and that the U.S. Attorney actually
signs the letter specifying both the information sought and the law
enforcement purpose served. In the case of a State grand jury subpoena,
the State equivalent of the U.S. Attorney and Attorney General shall be
substituted.
(12) A record from the system of records may be disclosed, as a
routine use, to a Federal, State, local, or foreign agency, or other
public authority, for use in computer matching programs to prevent and
detect fraud and abuse in benefit programs administered by any agency,
to support civil and criminal law enforcement activities of any agency
and its components, and to collect debts and overpayments owed to any
agency and its components.
(13) Relevant information from a system of records may be disclosed
to the news media and general public where there exists a legitimate
public interest, e.g., to assist in the location of fugitives, to
provide notification of arrests, where necessary for protection from
imminent threat of life or property, or in accordance with guidelines
set out by the Department of Justice in 28 CFR 50.2.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ASSESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
Records are maintained on computers and automated image filing
systems, and in file folders, notebooks, and card file boxes.
Retrievability:
The records are retrieved by name of individual employee and by
social security number.
Safeguards:
Computer files are password protected and other records are kept in
limited-access areas during duty hours and in locked offices during
nonduty hours.
Retention and Disposal:
Retention periods and disposal methods vary by record categories as
set forth in National Archives and Records Administration General
Records Schedules 1 (Civilian Personnel Records) and 2 (Payrolling and
Pay Administration Records). Personal information that the agency deems
to be potentially derogatory or embarrassing is shredded when retention
period expires.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Resources Management Division, Policy Development and
Resources Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2307.
NOTIFICATION PROCEDURE:
Any individual may request information regarding this system of
records, or information as to whether the system contains records
pertaining to him/her from the Director, Information Management
Division, Policy Development and Resources Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2309.
RECORD ACCESS PROCEDURES:
An individual may request access to a record in this system which
pertains to him/her by submitting a written request to the Director,
Information Management Division, Policy Development and Resources
Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2309.
CONTESTING RECORD PROCEDURES:
An individual may contest information in this system which pertain
to him/her by submitting a written request to the Assistant Inspector
General for Policy Development and Resources Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2310.
RECORD SOURCE CATEGORIES:
The primary information is furnished by the individual employee.
Additional information is provided by supervisors, coworkers,
references, and others.
USDA/OIG-2
SYSTEM NAME:
Informant and Undercover Agent Records, USDA/OIG.
SYSTEM LOCATION:
In the OIG headquarters office in the Jamie L Whitten Federal
Building, 1400 Independence Avenue SW., Washington, DC 20250-2317, and
in the OIG regional offices and Investigations suboffices listed in the
system of records designated USDA/OIG-1.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Confidential informants, investigative operatives, and undercover
OIG special agents or other law enforcement personnel.
CATEGORIES OF RECORDS IN THE SYSTEM:
Names, occupations, criminal histories, and other information about
confidential informants and investigative operatives, together with
allegations against them, and the types of information previously
furnished by or to be expected from them. Types, dates of issuance and
destruction, and details of false identification documents used by OIG
special agents and other law enforcement personnel for undercover
activities.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
IG Act of 1978, 5 U.S.C. app.; 5 U.S.C. 301; 7 U.S.C. 2270.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Routine uses (1) through (13) listed in the system of records
designated USDA/OIG-1.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
Stored on sheets of paper and index cards, and in file folders and
computers.
Retrievability:
The records are retrieved by name of confidential informant,
investigative operative, or special agent.
Safeguards:
Computer files are password protected and other records are kept in
limited-access areas during duty hours and in locked offices during
nonduty hours.
Retention and disposal:
Confidential informant and investigative operative information is
kept for 5 years after the date it is put into inactive status. It is
then destroyed. Undercover identification documents are kept until the
agency determines them to be outdated. They are then destroyed.
STSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for Investigations, Office of Inspector
General, U.S. Department of
[[Page 61265]]
Agriculture, Washington, DC 20250-2317.
NOTIFICATION PROCEDURE:
Inquiries and requests should be addressed to the Director,
Information Management Division, Policy Development and Resources
Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2309.
RECORD ACCESS PROCEDURES:
To request access to information in this system write to the
Director, Information Management Division, Policy Development and
Resources Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2309.
CONTESTING RECORD PROCEDURES:
An individual may contest information in this system which pertains
to him/her by submitting a written request to the Assistant Inspector
General for Policy Development and Resources Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2310.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to 5 U.S.C. 552a(j)(2), this system of records has been
exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a,
as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through
(F), (e)(6), (7), (9), (10) and (11), and (i).
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), this system has been
exempted from the following provisions of the Privacy Act of 1974, 5
U.S.C. 552a: subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I),
and (f).
USDA/OIG-3
SYSTEM NAME:
Investigative Files and Automated Investigative Indices System,
USDA/OIG.
SYSTEM LOCATION:
Physical files are kept in the OIG headquarters office in the Jamie
L. Whitten Federal Building, 1400 Independence Avenue SW., Washington
DC 20250-2307, and Franklin Court, 1099 14th Street NW., Washington, DC
20005, and in the OIG regional offices and Investigations suboffices
listed in the system of records designed USDA/OIG-1.
The OIG regional offices and Investigations suboffices maintain
physical files containing the report of investigation and the
workpapers for each case investigated by that office. The headquarters
files contain a copy of every investigative report, but do not contain
workpapers and may not contain copies of all correspondence. Older
investigative files may be stored in Federal Records Centers or on
microfiche, microfilm, or electronic image filing systems. Therefore,
delays in retrieving this material can be expected.
Selected portions of records have been computerized--see section 1
of ``Categories of records'' below. These records, used as a research
tool, are accessible by computer terminals located in each OIG office.
These records are maintained on a computer in the Jamie L. Whitten
Federal Building.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The individual names in the OIG index fall into one or more of the
following categories:
Subjects. These are individuals against whom allegations of
wrongdoing have been made. In some instances, these individuals have
been the subjects of investigations conducted by OIG to establish
whether allegations were true. In other instances, the allegations were
deemed too frivolous or indefinite to warrant inquiry.
Principals. These are individuals who are not named subjects of
investigative inquiries, but may be responsible for potential
violations. For example, the responsible officers of a firm alleged to
have violated laws or regulations might be individually listed in the
OIG index.
Complainants. These are individuals who have not requested
anonymity or confidentiality regarding their identity, who allege
wrongdoing, mismanagement, or unfair treatment by USDA employees and/or
relating to USDA programs.
Others. These are all other individuals closely connected with a
matter of investigative interest.
CATEGORIES OF RECORDS IN THE SYSTEM:
The OIG Investigative Files and Automated Investigative Indices
System consist of:
1. Computerized records retrieved by case number or alphabetically
by the names of individuals, organizations, and firms. A separate
record for each contains, if applicable, identification of the OIG file
or files which contain information on that subject and if such
information was available when the record was created or modified; the
individual's name, address, sex, race, date and place of birth,
relationship to the investigation, FBI or State criminal identification
number, and social security number (very few have the dates when
entries were made into the index);
2. Files containing sheets of paper or microfiche of such sheets
from investigative and other reports, correspondence, and informal
notes and notations concerning (a) one investigative matter or (b) a
number of incidents of the same sort of alleged violation or
irregularity; and
3. Where an investigation is being or will be conducted, but has
not been completed, various case management records, investigator's
notes, statements of witnesses, and copies of records. These are
contained on cards and sheets of paper located in an OIG office or in
the possession of the OIG investigator. Certain management records are
retained after the investigative report is released as a means of
following action taken on the basis of the OIG investigative report.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
IG Act of 1978, 5 U.S.C. app.; 5 U.S.C. 301; 7 U.S.C. 2270.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Routine uses (1) through (13) listed in the system of records
designated USDA/OIG-1.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND IMPOSING OF RECORDS IN THE SYSTEM:
Storage:
The OIG Automated Investigative Indices System consists of
computerized records. The investigative files are stored in steel
lektriever cabinets, on microfiche sheets, microfilm, electronic image
filing systems, or in Federal Records Centers.
Retrievability:
Computerized records are retrieved alphabetically or by using the
case number, with each record identifying one or more OIG investigate
case files or administrative files arranged numerically by file number.
Safeguards:
These records are kept in limited-access areas during duty hours,
in locked offices during nonduty hours, or in the possession of the
investigator. Computer files are password protected.
Retention and disposal:
The investigative case files are maintained for 10 years after the
case is closed. Administrative files are kept for 5 years after the
case is closed.
[[Page 61266]]
Computerized records are destroyed at the same time as the physical
files to which they relate.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Resources Management Division, Policy Development and
Resources Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2307.
RECORD ACCESS PROCEDURES:
To request access to information in this system, write to the
Director, Information Management Division, Policy Development and
Resources Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2309.
CONTESTING RECORD PROCEDURE:
An individual may contest information in this system which pertains
to him/her by submitting a written request to the Assistant Inspector
General for Policy Development and Resources Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2310.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to 5 U.S.C. 552a(j)(2), this system of records has been
exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a,
as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through
(F), (e)(6), (7), (9), (10) and (11), and (i).
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), this system has been
exempted from the following provisions of the Privacy Act of 1974, 5
U.S.C. 552a: subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I),
and (f).
USDA/OIG-4
SYSTEM NAME:
OIG Hotline Complaint Records, USDA/OIG.
SYSTEM LOCATION:
In the OIG headquarters office in the Jamie L. Whitten Federal
Building, 1400 Independence Avenue SW., Washington, DC 20250-2317.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
1. Complainants are persons who report or complain of possible
criminal, civil, or administrative violations of law, rule, regulation,
policy, or procedure, or fraud, waste, abuse, mismanagement, gross
waste of funds, or abuse of authority in USDA programs or operations,
or specific dangers to public health or safety, misuse of government
property, personnel misconduct, discrimination, or other irregularities
affecting USDA.
2. Subjects are persons against whom such complaints are made.
CATEGORIES OF RECORDS IN THE SYSTEM:
1. Identities of complaints, if known, and subjects.
2. Details of each allegation.
3.OIG case number and control number(s) used by other agencies for
tracking each complaint.
4. Responses from agencies to which complaints are referred for
inquiry.
5. Summary of substantiated information and results of agency
inquiry into the complaint.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF EACH SUCH USE:
Routine uses (1) through (13) listed in the system of records
designated USDA/OIG-1.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
Stored in a computer and on sheets of paper in file folders.
Retrievability:
The records are retrieved by name of subject or complainant or by
case number.
Safeguards:
Files are kept in a limited access area and are in locked storage
when not in use. Access to computerized information is protected by
requiring a confidential password.
Retention and disposal:
Physical files and computerized records are retained 10 years after
closing, after which they are shredded and deleted.
SYSTEMS MANAGER(S) AND ADDRESS:
Assistant Inspector General for Investigations, Office of Inspector
General, U.S. Department of Agriculture, Washington, DC 20250-2317.
NOTIFICATION PROCEDURE:
Inquiries and requests should be addressed to the Director, of
Information Management Division, Policy Development and Resources
Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2309.
RECORD ACCESS PROCEDURES:
To request access to information in this system, write to the
Director, Information Management Division, Policy Development and
Resources Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2309.
CONTESTING RECORD PROCEDURES:
An individual may contest information in this system which pertains
to him/her by submitting a written request to the Assistant Inspector
General for Policy Development and Resources Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2310.
RECORD SOURCE CATEGORIES:
Identities of complainants and subjects are provided by individual
complainants. Additional information may be provided by individual
complaints, subjects, and/or third parties.
SYSTEMS EXEMPT FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to 5 U.S.C. 552a(j)(2), this system of records has been
exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a,
as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through
(F), (e)(6), (7), (9), (10) and (11), and (i).
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), this system has been
exempted from the following provisions of the Privacy Act of 1974, 5
U.S.C. 552a: subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I),
and (f).
USDA/OIG-5
SYSTEM NAME:
Consolidated Assignments Personnel Tracking Administrative
Information Network (CAPTAIN), USDA/OIG.
SYSTEM LOCATION:
U.S. Department of Agriculture, National Computer Center, 8930 Ward
Parkway, Kansas City, Missouri 64114.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
OIG professional employees who participate in either audit or
investigative assignments.
Subjects of investigations.
CATEGORIES OF RECORDS IN THE SYSTEM:
CAPTAIN provides OIG management officials with a wide range of
[[Page 61267]]
information on audit and investigative operations. The system
identifies individual assignments of employees and provides information
on their use of direct and indirect time, significant dates relating to
each assignment, reported dollar deficiencies, recoveries, penalties,
the number of investigative prosecutions, convictions, other legal and
administrative actions, and subjects of investigation. The system is
used to manage audit and investigative assignments and to facilitate
reporting of OIG activities to Congress and other Governmental
entities.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH:
Routine uses (1) through (13) listed in the system of records
designated USDA/OIG-1.
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained on computer discs, magnetic tape, and in
file folders and notebooks.
Retrievability:
Information in the system generally can be retrieved by OIG
personnel in headquarters and the regions. Information is generally
retrieved by assignment number or geographic location. However,
information can be retrieved by any field in the system, including
subject name, employee name, and employee social security number.
Safeguards:
Normal computer security is maintained including password
protection. Printouts and source documents are kept in limited-access
areas during duty hours and in locked offices during nonduty hours.
Retention and Disposal:
Computer files and other records are cleared, retired, or
destroyed, when no longer useful, in accordance with National Archives
and Records Administration General Records Schedules and USDA record
retention and/or destruction schedules.
System Manager(s) and Address:
Audit Subsystem--Assistant Inspector General for Audit, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2311.
Investigations Subsystem--Assistant Inspector General for
Investigations, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2317.
Notification Procedure:
Any individual may request information regarding this system of
records, or information as to whether the system contains records
pertaining to him/her, from the Director, Information Management
Division, Policy Development and Resources Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2309.
Record Access Procedures:
An individual may request access to a record in this system which
pertains to him/her by submitting a written request to the Director,
Information Management Division, Policy Development and Resources
Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2309.
Contesting Record Procedures:
An individual may contest information in this system which pertains
to him/her by submitting a written request to the Assistant Inspector
General for Policy Development and Resources Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2310.
RECORD SOURCE CATEGORIES:
Information in the system is obtained from various source documents
related to audit and investigative activities including assignment
letters, employee time reports, case entry sheets, etc.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to 5 U.S.C. 552a(j)(2), the Investigations Subsystem and
the Employee Time System are exempted from all provisions of the
Privacy Act of 1974, 5 U.S.C. 552a, as amended, except subsections (b),
(c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and
(11), and (i).
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), the Investigations
Subsystem and the Employee Time System are exempted from the following
provisions of the Privacy Act of 1974, 5 U.S.C. 552a: subsections
(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f).
USDA/OIG-6
SYSTEM NAME:
Training Tracking System, USDA/OIG.
SYSTEM LOCATION:
U.S. Department of Agriculture, National Computer Center, 8930 Ward
Parkway, Kansas City, Missouri 64114.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
OIG audit employees.
CATEGORIES OF RECORDS:
The system contains records of audit employee training history.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
(1) A record from the system of records may be disclosed as a
routine use to a Federal agency or professional organization to
document continuing education credits required by the Government
Auditing Standards, U.S. General Accounting Office Standards of Audit
of Governmental Organizations, Programs, Activities, and Functions. The
record must be relevant to the determination of professional
proficiency and compliance with the general qualification standard for
government auditing, and retention of an employee or other personnel
action.
(2) Routine uses (1) through (13) listed in the system of records
designated USDA/OIG-1.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
Records are maintained on computer and in file folders.
Retrievability:
The records are retrieved by name of individual, social security
number, or group of employees.
Safeguards:
Computer files are password protected and other records are kept in
limited-access areas during duty hours and in locked offices during
nonduty hours.
Retention and Disposal:
Records are retained as long as the agency determines they are
needed. They are then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for Audit, Office of Inspector General,
U.S.
[[Page 61268]]
Department of Agriculture, Washington, DC 20250-2311.
NOTIFICATION PROCEDURE:
Any individual may request information regarding this system of
records, or information, as to whether the system contains records
pertaining to him/here from the Director, Information Management
Division, Policy Development and Resources Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2309.
RECORD ACCESS PROCEDURES:
An individual may request access to a record in this system which
pertains to him/her by submitting a written request to the Director,
Information Management Division, Policy Development and Resources
Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2309.
CONTESTING RECORD PROCEDURES:
An individual may contest information in this system which pertains
to him/her by submitting a written request to the Assistant Inspector
General for Policy Development and Resources Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2310.
RECORD SOURCE CATEGORIES:
Information in the system comes entirely from OIG audit employees.
USDA/OIG-7
SYSTEM NAME:
Freedom of Information Act and Privacy Act Request Records, USDA/
OIG.
SYSTEM LOCATION:
Files are kept in the OIG headquarters office in the Jamie L.
Whitten Federal Building, 1400 Independence Avenue SW., Washington, DC
20250-2309.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records of individuals who have made requests
under the Freedom of Information Act of Privacy Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
The request records consist of the incoming request, all
correspondence developed during the processing of the request, and the
final reply.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Used by OIG employees as an internal control mechanism for tracking
the disposition of requests and for responding to individuals who are
checking on the status of their requests.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
Records are stored in file folders.
Retrievability:
The records are retrieved by name or by using a control number that
is assigned upon date of receipt.
Safeguards:
Freedom of Information Act and Privacy Act request records are
stored in file cabinets in limited-access areas during duty hours and
in locked offices during nonduty hours.
Retention and disposal:
Records are disposed of in accordance with National Archives and
Records Administration General Records Schedule 14 pertaining to
informational services records.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Information Management Division, Policy Development and
Resources Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2309.
NOTIFICATION PROCEDURE:
Any individual may request information regarding this system of
records, or information as to whether the system contains records
pertaining to him/her, from the Director, Information Management
Division, Policy Development and Resources Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2309.
RECORD ACCESS PROCEDURES:
An individual may request access to a record in this system which
pertains to him/her by submitting a written request to the Director,
Information Management Division, Policy Development and Resources
Management, Office of Inspector General, U.S. Department of
Agriculture, Washington, DC 20250-2309.
CONTESTING RECORD PROCEDURES:
An individual may contest information in this system which pertains
to him/her by submitting a written request to the Assistant Inspector
General for Policy Development and Resource Management, Office of
Inspector General, U.S. Department of Agriculture, Washington, DC
20250-2310.
RECORD SOURCE CATEGORIES:
Information in this system comes from the individual making the
request and from OIG employees processing the request.
[FR Doc. 97-29423 Filed 11-14-97; 8:45 am]
BILLING CODE 3410-23-M
