[Federal Register Volume 63, Number 34 (Friday, February 20, 1998)]
[Notices]
[Pages 8659-8687]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-4206]
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DEPARTMENT OF JUSTICE
[AAG/A Order No. 146-97]
Privacy Act of 1974; Notice of Modified Systems of Records
Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a), the Department
proposes to modify the following Privacy Act systems of records:
Antitrust Information Management System (AMIS)--Matter Report,
Justice/ATR-006 (previously published on October 17, 1988 at 53 FR
40502)
Central Civil Rights Division Index File and Associated Records,
Justice/CRT-001 (previously published on May 17, 1993 at 58 FR
28896)
Central Criminal Division Index File and Associated Records,
Justice/CRM-001 (previously published on December 11, 1987 at 53 FR
47186)
Civil Division Case File System, Justice/CIV-001 (previously
published on October 17, 1988 at 53 FR 40504)
Civil Case Files, Justice/USA-005 (previously published on
January 22, 1988 at 53 FR 1864)
Criminal Case Files, Justice/USA-007 (previously published on
January 22, 1988 at 53 FR 1861)
FBI Central Records System, Justice/FBI-002 (previously
published on October 5, 1993 at 58 FR 51858)
Tax Division Central Classification Cards, Index Docket Cards,
and Associated Records--Criminal Tax Cases, Justice/TAX-001
(previously published on September 30, 1977 at 42 FR 53389)
Tax Division Central Classification Cards, Index Docket Cards,
and Associated Records--Civil Tax Cases, Justice/TAX-002 (previously
published on September 30, 1977 at 42 FR 53390)
The Department proposes to add a new routine use disclosure to all
of the above-named systems of records. The routine use will permit
disclosure of health care-related information obtained during health-
care related investigations. In addition, the
[[Page 8660]]
Department proposes to add an additional routine use disclosure to the
Central Civil Rights Division Index File and Associated Records system
to permit the disclosure of information regarding the progress and
results of investigations to the complainants and/or victims involved.
The proposed disclosures have been italicized for the reader's
convenience. The modified systems of records are printed below.
Title 5 U.S.C. 552a(e)(4) and (11) provide that the public be given
a 30-day period in which to comment on proposed new routine use
disclosures. The Office of Management and Budget (OMB), which has
oversight responsibilities under the Act, requires a 40-day period in
which to conclude its review of the new routine uses.
Therefore, please submit any comments by March 23, 1998. The
public, OMB, and the Congress are invited to send written comments to
Patricia E. Neely, Program Analyst, Information Management and Security
Staff, Justice Management Division, Department of Justice, Washington,
DC 20530 (Room 850, WCTR Building).
In accordance with 5 U.S.C. 552a(r), the Department has provided a
report to OMB and the Congress on the proposed modification.
Dated: December 31, 1997.
Stephen R. Colgate,
Assistant Attorney General for Administration.
JUSTICE/ATR-006
SYSTEM NAME:
Antitrust Information Management System (AMIS)-Matter Report.
SYSTEM LOCATION:
U.S. Department of Justice, 10th and Constitution Avenue, NW.,
Washington, DC 20530.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Professional employees of the Antitrust Division of the U.S.
Department of Justice and individual defendants and investigation
targets involved in past and present Antitrust investigations and
cases.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains the names of Division employees and their case/
investigation assignments and the names of individual defendants/
investigation targets as they relate to a specific case/investigation.
In addition, information reflecting the current status and handling of
Antitrust cases/investigations is included within this system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The file is established and maintained pursuant to 28 CFR 40(f), 28
U.S.C. 522, and 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The file is used by Antitrust Division personnel as a basis for
determining Antitrust Division allocation of resources to particular
products and industries (e.g., oil, autos, chemicals), to broad
categories of resource use such as civil cases, criminal cases,
regulatory agency cases, and Freedom of Information Act requests. It is
employed by the section chiefs, the Director and Deputy Director of
Operations, and other Division personnel to ascertain the progress and
current status of cases and investigations within the Division. In
addition, the files will be employed in the preparation of reports for
the Division's budget requests and to the Attorney General and
Congress.
A record maintained in this system, or any facts derived therefrom,
may be disseminated:
1. In a proceeding before a court or adjudicative body before which
the Antitrust Division is authorized to appear, when (1) the Antitrust
Division, or any subdivision thereof; or (2) any employee of the
Antitrust in his or her official capacity; or (3) any employee of the
Antitrust Division in his or her individual capacity where the
Department of Justice has agreed to represent the employee; or (4) the
United States, where the Antitrust Division determines that the
litigation is likely to affect it or any of its subdivisions, is a
party to litigation or has an interest in litigation and such records
are determined by the Antitrust Division to be arguably relevant to the
litigation.
2. In any health care-related civil or criminal case,
investigation, or matter, information indicating patient harm, neglect,
or abuse, or poor or inadequate quality of care, at a health care
facility or by a health care provider, may be disclosed as a routine
use to any federal, state, local, tribal, foreign, joint, international
or private entity that is responsible for regulating, licensing,
registering, or accrediting any health care provider or health care
facility, or enforcing any health care-related laws or regulations.
Further, information indicating an ongoing quality of care problem by a
health care provider or at a health care facility may be disclosed to
the appropriate health plan. Additionally, unless otherwise prohibited
by applicable law, information indicating patient harm, neglect, abuse,
or poor or inadequate quality of care may be disclosed to the affected
patient or his or her representative or guardian at the discretion of
and in the manner determined by the agency in possession of the
information.
3. To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
4. To a Member of Congress or staff acting upon the Member's behalf
when the Member or staff requests the information on behalf of and at
the request of the individual who is the subject of the record.
Information not otherwise required to be released pursuant to 5 U.S.C.
552 may be made available.
5. To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained electronically in the Information systems
support group's AMIS Computerized information system.
RETRIEVABILITY:
Information is retrieved by a variety of key words.
SAFEGUARDS:
Information contained in the system is unclassified. It is
safeguarded and protected in accordance with Department rules and
procedures governing the handling of computerized information. Access
to the file is limited to those persons whose official duties require
such access and employees of the Antitrust Division.
RETENTION AND DISPOSAL:
Information contained in the file is retained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Information Systems Support Group; Antitrust Division; U.S.
Department of Justice; 555 4th Street, NW., Room 11-854, Washington, DC
20001.
NOTIFICATION PROCEDURE:
Address inquiries to the Assistant Attorney General, Antitrust
Division, U.S. Department of Justice, 10th and
[[Page 8661]]
Constitution Avenue, Washington, DC. 20530.
RECORD SOURCE CATEGORIES:
Information for the monthly report is provided by the Antitrust
Division section and filed office chiefs.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Attorney General has exempted this system from subsections
(c)(3), (d), (e)(4)(G)-(H), and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). Rules have been promulgated in accordance with the
requirements of 5 U.S.C. 553(b), (c), and (e) and have been published
in the Federal Register.
JUSTICE/CRT-001
SYSTEM NAME:
Central Civil Rights Division Index File and Associated Records.
SYSTEM LOCATION:
United States Department of Justice Civil Rights Division (CRT),
10th and Constitution Avenue, NW, Washington, DC 20530; 1425 New York
Avenue, NW., Washington, DC 20530; and Federal Records Center,
Suitland, Maryland 20409.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
These persons may include: Subjects of investigations, victims,
potential witnesses, individuals of Japanese ancestry who are eligible,
or potentially eligible, for restitution benefits as a result of their
evacuation, relocation, or internment during World War II,
correspondents on subjects directed or referred to CRT or other persons
or organizations referred to in potential or actual cases and matters
of concern to CRT, and CRT employees who handle complaints, cases or
matters of concern to CRT.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system consists of alphabetical indices bearing the names of
those individuals identified above and the associated record to which
the indices relate containing the general and particular records of all
CRT correspondences cases, matters, and memoranda, including, but not
limited to, investigative reports, correspondence to and from the
Division memoranda, legal papers, evidence, and exhibits. The names of
some individuals, e.g., witnesses, may not yet be on the central
indices. Records relating to such individuals may be obtained by direct
access to the file jackets. Such file jackets are located within the
respective sections of CRT according to the legal subject matter
assigned to each CRT section. The delegated legal duties and
responsibilities of each section are described as follows:
The records related to the duties of the Appellate Section of CRT
include records generated by all CRT cases that have entered the U.S.
Supreme Court and the Courts of Appeal. Other records include those
generated in the course of Appellate Section duties such as advising
Members of Congress on legislative matters, providing legal counsel on
civil rights issues to Federal agencies and providing counsel to the
various components of the Department of Justice.
The records related to the duties of the Coordination and Review
Section of CRT include letters, studies, and reports concerning the
implementation of Executive Orders 12250 and 12236. Under E.O. 12250,
the Attorney General coordinates and monitors the enforcement of Title
VI of the Civil Rights Act of 1964. Title IX of the Education
Amendments of 1972, as amended, and the civil rights provisions of any
Federal assistance grant which forbids discrimination in federally
assisted programs on the basis of race, color, national origin, sex,
handicap or religion. The Coordination and Review Section also works
with Federal agencies under E.O. 12236 to monitor review of their
enabling legislation on the basis of sex.
In addition, the records related to the duties of the Coordination
and Review Section of CRT include complaint investigation files and
other matters arising under Titles II and III of the Americans with
Disabilities Act (ADA), 42 U.S.C. 12131-12134, 12181-12189. Further,
the Coordination and Review Section may maintain case-related records
on investigations arising under section 504 of the Rehabilitation Act
of 1973, as amended, 29 U.S.C. 794, Title VI of the Civil Rights Act of
1964, 42 U.S.C. 2000d, and Title IX of the Education Amendments of
1972, 20 U.S.C. 1681, and other nondiscrimination statutes.
The records related to the duties of the Criminal Section of CRT
include cases or matters arising under 18 U.S.C. 241 and 242 which
prohibit persons acting under color of law or in conspiracy with others
to interfere with or deny the exercise of Federal constitutional
rights, cases involving criminal violations of the Voting Rights Act of
1965 (42 U.S.C. 1971 through 1974), cases or matters involving criminal
interference with housing rights as is prohibited by 42 U.S.C. 3631 and
criminal interference with other federally protected rights as is
prohibited by 18 U.S.C. 245. Other Criminal Section records include
cases or matters involving 18 U.S.C. 1581 through 1588 which prohibit
involuntary servitude, some cases involving maritime law.
The records related to the duties of the Educational Opportunities
Section of CRT include cases or matters arising under Federal laws
requiring nondiscrimination in public education such as Titles IV and
IX of the Civil Rights Act of 1964 (42 U.S.C. 2000c, 42 U.S.C. 2000h-2)
which prohibit discrimination on the basis of race, color, religion,
sex, or national origin: Title IX of the 1972 Education Amendments (20
U.S.C. 1681) which prohibits discrimination on the basis of sex in
educational programs or activities receiving federal financial
assistance and section 504 of the Rehabilitation Act of 1973 which
grants rights to handicapped persons participating in educational
programs receiving federal financial assistance. In addition, the
records related to the duties of the Educational Opportunities Section
include cases or matters arising under the Equal Educational
Opportunities Act of 1974 (20 U.S.C. 1701).
The records related to the duties of the Employment Litigation
Section of CRT include cases or matters arising under Federal laws
prohibiting discriminatory employment practices by State and local
governments such as the equal employment opportunity provisions
contained within the Revenue Sharing Act of 1972, as amended. Other
records include cases or matters arising under Title VII of the Civil
Rights Act of 1964 and its amendment which is the Pregnancy
Discriminatory Act of 1978 (42 U.S.C. 2000e(k)). In addition, the
records related to the duties of the Employment Litigation Section
include cases or matters arising under Executive Order No. 11246
involving equal opportunity laws applicable to public employers,
Federal contractors and subcontractors involved in federally financed
projects.
The records related to the duties of the Housing and Civil
Enforcement Section of CRT include cases or matters involving the Fair
Housing Act of 1968 (42 U.S.C. 3501 through 3619), and cases or matters
involving fair credit laws such as the Equal Credit Opportunity Act (15
U.S.C. 1691 through 1691g) as well as its implementing regulations.
Regulation B (12 CFR part 202). Other records include cases or matters
arising under Title II and Title III of the Civil Rights Act of 1964
which prohibit discrimination in public facilities (except those Title
III matters that involve prison facilities)
[[Page 8662]]
and cases or matters arising under the nondiscrimination provisions of
the Revenue Sharing Act and the Housing and Community Development Act
of 1974.
The records related to the duties of the Special Litigation Section
of CRT includes cases or matters arising under Title III of the Civil
Rights Act of 1964 as it applies to prison facilities, cases or matters
arising under the Civil Rights of Institutionalized Persons Act of 1980
(42 U.S.C. 1997), cases or matters involving the constitutional rights
of institutional juveniles, and the constitutional rights of mentally
and physically handicapped persons of all ages, cases arising under
section 504 of the Rehabilitation Act of 1973, as amended.
The records relate to the duties of the Office of Redress
Administration (ORA) and include records pertaining to the
identification, location and authorization for restitution payments to
eligible individuals of Japanese ancestry who were evacuated, relocated
or interned during World War II. Such restitution payments are
authorized by Section 1C5 of the Civil Liberties Act of 1988 (50 U.S.C.
App. 1989b). Records will also relate to any criminal or civil cases
arising under this Act which occur as a result of fraud, challenges to
ORA administrative regulations.
The records related to the duties of the Public Access Section of
the Civil Rights Division include cases or matters arising under Titles
II and III of the Americans with Disabilities Act (ADA), 42 U.S.C.
12131-12134, 12181-12189, which prohibit discrimination by State and
local governments, public accommodations, commercial facilities, and
providers of certain examinations and courses on the basis of
disability. Other records include cases or matters involving the
certification of State and local building codes under section 308(b) of
the ADA, 42 U.S.C. 12188(b)(1)(A)(ii), and the provision of technical
assistance under section 506 of the ADA, 42 U.S.C. 12206. Further, the
Public Access Section may maintain case-related records on
investigations arising under section 504 of the Rehabilitation Act of
1973, as amended, 29 U.S.C. 794, Title VI of the Civil Rights Act of
1964, 42 U.S.C. 2000d, and Title IX of the Education Amendments of
1972, 20 U.S.C. 1681 and other nondiscrimination statutes. Other
records relate to litigation involving the civil rights statutes
coordinated by the Department of Justice, and such other matters as may
be required to fulfill the duties mandated by the President and
Congress.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The records in the system of records are kept under the authority
of 44 U.S.C. 3101 and in the ordinary course of fulfilling the
responsibility assigned to CRT under the provisions of 28 CFR 0.50,
0.51.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
A. Information in the system may be used by employees and officials
of the Department to make decisions in the course of investigations and
legal proceedings: to assist in preparing responses to correspondence
from persons outside the Department to prepare budget requests, and
various reports on the work product of CRT or to carry out other
authorized Department functions.
B. A record maintained in this system of records may be
disseminated as a routine use of such records as follows:
(1) A record relating to a possible or potential violation of law,
whether civil, criminal, or regulatory in nature may be disseminated to
the appropriate federal, state or local agency charged with the
responsibility of enforcing or implementing such law; (2) In the course
of the Administration by CRT of a federally mandated program, or the
investigation or litigation of a case or matter, a record may be
disseminated to a federal, state or local agency, or to an individual
or organization, if there is reason to believe that such agency,
individual or organization possesses information or has the expertise
in an official or technical capacity to assist in the administration of
such program or to analyze information relating to the investigation,
trial or hearing and the dissemination is reasonably necessary to
elicit such assistance, information or expert analysis, or to obtain
the cooperation of a prospective witness; (3) A record relating to a
case or matter, or any facts derived therefrom, may be disseminated in
a proceeding before a court, grand jury, administrative or regulatory
proceeding or any other adjudicative body before which CRT is
authorized to appear, when the United States, or any agency or
subdivision thereof, is a party to litigation or has an interest in
litigation and such records are determined by CRT to be arguably
relevant to the litigation; (4) a record relating to a case or matter
may be disseminated to an actual or potential party to litigation or
the party's attorney (a) for the purpose of negotiation or discussion
on such matters as settlement of the case or matter, plea bargaining or
(b) in formal or informal discovery proceedings; (5) A record relating
to a case or matter that has been referred for investigation may be
disseminated to the referring agency to notify such agency of the
status of the case or matter or of any determination that has been
made; (6) A record relating to a person held in custody or probation
during a criminal proceeding or after conviction, may be disseminated
to any agency or individual having responsibility for the maintenance,
supervision or release of such person; (7) A record may be disseminated
to the United States Commission on Civil Rights in response to its
request and pursuant to 42 U.S.C. 1975d; (8) A record may be
disseminated to volunteer student workers and students working under a
work-study program as is necessary to enable them to perform their
assigned duties; (9) A record may be disseminated to complainants and
victims to the extent necessary to provide such persons with
information and explanations concerning the progress or results of the
investigation or case arising from the matters of which the
complainants or victims complained or of which they were a victim; (10)
In any health care-related civil or criminal case, investigation, or
matter, information indicating patient harm, neglect, or abuse, or poor
or inadequate quality of care, at a health care facility or by a health
care provider, may be disseminated as a routine use to any federal,
state, local, tribal, foreign, joint, international or private entity
that is responsible for regulating, licensing, registering, or
accrediting any health care provider or health care facility, or
enforcing any health care-related laws or regulations. Further,
information indicating an ongoing quality of care problem by a health
care provider or at a health care facility may be disseminated to the
appropriate health plan. Additionally, unless otherwise prohibited by
applicable law, information indicating patient harm, neglect, abuse, or
poor or inadequate quality of care may be disseminated to the affected
patient or his or her representative or guardian at the discretion of
and in the manner determined by the agency in possession of the
information; (11) Information permitted to be released to the news
media and the public pursuant to 28 CFR 50.2 may be made available
unless it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy; (12) Information may be disclosed as is necessary
to respond to inquiries by Members of Congress on behalf of individual
constituents that
[[Page 8663]]
are subject to CRT records; (13) A record may be disclosed as a routine
use to the National Archives and Records Administration (NARA) and to
the General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS OF RECORDS OF RECORDS IN THE SYSTEM:
STORAGE:
Information in this system is stored on index cards, in file
jackets, and on computer disks or tapes.
RETRIEVABILITY:
Information is retrieved through either use of an index card system
or logical queries to the computer-based system. Entries are arranged
alphabetically by the names of individuals covered by the system.
(Complaints received from individuals which have not been investigated
by the Department have not been systematically indexed and information
pertaining to such individuals may or may not be retrievable.)
Information on such individuals may be retrievable from the file
jackets by a number assigned and appearing on the index cards.
SAFEGUARDS:
Information in manual and computer form is safeguarded and
protected in accordance with applicable Department security regulations
for systems of records. Only a limited number of staff members who are
assigned a specific identification code will be able to use the
computer to access the stored information.
RETENTION AND DISPOSAL:
Records are maintained on the system while current and required for
official Government use. When no longer needed on an active basis, the
paper files are transferred to the Federal Records Center, Suitland,
Maryland and some records are transferred to computer tape and stored
in accordance with Department security regulations for system of
records. Final disposition is in accordance with records retirement or
destruction as scheduled by NARA.
SYSTEM MANAGER(S) AND ADDRESS:
Executive Officer. Administrative Management Section, Civil Rights
Division, United States Department of Justice, Washington, DC 20530.
NOTIFICATION PROCEDURE:
Part of this system is exempted from this requirement under 5
U.S.C. 552a(j)(2) and (k)(2). Address inquiries to the System Manager
listed above.
RECORD ACCESS PROCEDURES:
Part of this system is exempted from this requirement under 5
U.S.C. 552a(j)(2) and (k)(2). To the extent that this system of records
is not subject to exemption, it is subject to access and contest. A
determination as to exemption shall be made at the time a request for
access is received. A request for access to a record retrievable in
this system shall be made in writing, with the envelope and letter
clearly marked ``Privacy Access Request.'' Include in the request the
full name of the individual, his or her current address, date and place
of birth, notarized signature (28 CFR 16.41(b)), the subject of the
case or matter as described under ``Categories of records in the
system,'' and any other information which is known and may be of
assistance in locating the record, such as the name of the civil rights
related case or matter involved, where and when it occurred and the
name of the judicial district involved. The requester will also provide
a return address for transmitting the information. Access requests
should be directed to the System Manager listed above.
CONTESTING RECORD PROCEDURES:
Individuals desiring to contest or amend non-exempt information
retrievable in the system should direct their request to the System
Manager listed above, stating clearly and concisely what information is
being contested, the reasons for contesting it, and the proposed
amendment to the information sought.
RECORD SOURCE CATEGORIES:
Sources of information contained in this system may be an agency or
person who has or offers information related to the law enforcement
responsibilities and/or other statutorily-mandated duties of CRT.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Attorney General has exempted parts of this system from
subsections (c)(3), (d), and (g) of the Privacy Act pursuant to 5
U.S.C. 552a (j)(2) and (k)(2). Rules have been promulgated in
accordance with the requirements of 5 U.S.C. 553 (b), (c) and (e) and
have been published in the Federal Register.
These exemptions apply only to the extent that information in a
record pertaining to a particular individual relates to an official
Federal investigation and/or law enforcement matter. Those files
indexed under an individual's name which concern only the
administrative management of restitution payments under Section 105 of
the Civil Liberties Act of 1988 are not being exempted pursuant to 5
U.S.C. 552a(j)(2) and (k)(2).
JUSTICE/CRM-001
SYSTEM NAME:
Central Criminal Division Index File and Associated Records.
SYSTEM LOCATION:
U.S. Department of Justice, Criminal Division, Bond Building, 1400
New York Avenue NW., Washington, DC 20530, and, Federal Records Center,
Suitland, Maryland 20409.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons referred to in potential or actual cases and matters of
concern to the Criminal Division and correspondents on subjects
directed or referred to the Criminal Division.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system consists of alphabetical indices bearing individual
names, and the associated records to which they relate, arranged either
by subject matter or individual identifying number containing the
general and particular records of all Criminal Division correspondence,
cases, matters, and memoranda, including but not limited to
investigative reports, correspondence to and from the Division, legal
papers, evidence, and exhibits. The system also includes items
classified in the interest of national security with such designations
as confidential, secret, and top secret received and maintained by the
Department of Justice. This system may also include records concerning
subject matters more particularly described in other systems of records
of the Criminal Division.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
This system is established and maintained pursuant to 44 U.S.C.
3101 to implement all functions assigned to the Criminal Division in 28
CFR 0.55 through 0.64-2.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: (1) In any case in which
there is an indication of a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, the record in
question may be disseminated to the appropriate federal, state, local,
or foreign agency charged with the responsibility for investigation or
[[Page 8664]]
prosecuting such violation or charged with enforcing or implementing
such law; (2) in the course of investigating the potential or actual
violation of any law, whether civil, criminal, or regulatory in nature,
or during the course of a trial or hearing or the preparation for a
trial or hearing for such violation, a record may be disseminated to a
federal, state, local, or foreign agency, or to an individual or
organization, if there is reason to believe that such agency,
individual, or organization possesses information relating to the
investigation, trial, or hearing and the dissemination is reasonably
necessary to elicit such information or to obtain the cooperation of a
witness or an informant; (3) a record related to a case or matter may
be disseminated in an appropriate federal, state, local, or foreign
court or grand jury proceeding in accordance with established
constitutional, substantive, or procedural law or practice; (4) a
record relating to a case or matter may be disseminated to a federal,
state, or local administrative or regulatory proceeding or hearing in
accordance with the procedures governing such proceeding or hearing;
(5) a record relating to a case or matter may be disseminated to an
actual or potential party or his attorney for the purposes of
negotiation or discussion on such matters as settlement of the case or
matter, plea bargaining, or informal discovery proceedings; (6) a
record relating to a case or matter that has been referred by an agency
for investigation, prosecution, or enforcement, or that involves a case
or matter within the jurisdiction of an agency, may be disseminated to
such agency to notify the agency of the status of the case or matter or
of any decision or determination that has been made, or to make such
other inquiries and reports as are necessary during the processing of
the case or matter; (7) a record relating to a person held in custody
pending or during arraignment, trial, sentence, or extradition
proceedings, or after conviction or after extradition proceedings, may
be disseminated to a federal, state, local, or foreign prison,
probation, parole, or pardon authority, or to any other agency or
individual concerned with the maintenance, transportation, or release
of such a person; (8) a record relating to a case or matter may be
disseminated to a foreign country pursuant to an international treaty
or convention entered into and ratified by the United States or to an
executive agreement; (9) a record may be disseminated to a federal,
state, local, foreign, or international law enforcement agency to
assist in the general crime prevention and detection efforts of the
recipient agency or to provide investigative leads to such agency; (10)
a record may be disseminated to a federal agency, in response to its
request, in connection with the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of
an employee, the letting of a contract, or the issuance of a license,
grant, or other benefit by the requesting agency, to the extent that
the information relates to the requesting agency's decision on the
matter; (11) a record may be disseminated to the public, news media,
trade associations, or organized groups, when the purpose of the
dissemination is educational or informational, such as descriptions of
crime trends or distinctive or unique modus operandi, provided that the
record does not contain any information identifiable to a specific
individual other than such modus operandi; (12) a record may be
disseminated to a foreign country, through the United States Department
of State or directly to the representative of such country, to the
extent necessary to assist such country in apprehending and/or
returning a fugitive to a jurisdiction which seeks his return; (13) a
record that contains classified national security information and
material may be disseminated to persons who are engaged in historical
research projects, or who have previously occupied policy making
provisions to which they were appointed by the President, in accordance
with the provisions codified in 28 CFR 17.60; (14) a record relating to
an actual or potential civil or criminal violation of title 17, United
States Code, may be disseminated to a person injured by such violation
to assist him in the institution or maintenance of a suit brought under
such title; (15) in any health care-related civil or criminal case,
investigation, or matter, information indicating patient harm, neglect,
or abuse, or poor or inadequate quality of care, at a health care
facility or by a health care provider, may be disclosed as a routine
use to any federal, state, local, tribal, foreign, joint, international
or private entity that is responsible for regulating, licensing,
registering, or accrediting any health care provider or health care
facility, or enforcing any health care-related laws or regulations.
Further, information indicating an ongoing quality of care problem by a
health care provider or at a health care facility may be disclosed to
the appropriate health plan. Additionally, unless otherwise prohibited
by applicable law, information indicating patient harm, neglect, abuse,
or poor or inadequate quality of care may be disclosed to the affected
patient or his or her representative or guardian at the discretion of
and in the manner determined by the agency in possession of the
information; (16) information permitted to be released to the news
media and the public pursuant to 28 CFR 50.2 may be made available
unless it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy; (17) information not otherwise required to be
released pursuant to 5 U.S.C. 552 may be made available to a Member of
Congress or staff acting upon the Member's behalf when the Member or
staff requests the information on behalf of and at the request of the
individual who is the subject of the record; and (18) a record may be
disclosed as a routine use to the National Archives and Records
Administration and the General Services Administration in records
management inspections conducted under the authority of 44 U.S.C. 2904
and 2906.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents are stored in file folders and in the Federal
Records Center; selected summary data is stored on manual index cards
and on microfilm and on IBM System/38.
RETRIEVABILITY:
Summary data, e.g., names, file numbers, subjects, dates of
correspondence, dates of receipt, due dates of assignments, docket
numbers and/or synopses are retrieved from manual index cards
microfilm, and a numerical listing maintained on IBM System/38. File
folders are retrieved through manual or automated indexes which are
accessed through certain summary data, i.e., name or file and docket
numbers.
SAFEGUARDS:
The records are safeguarded and protected in accordance with
applicable Departmental rules. Security for the automated records
include strictly controlled access codes and passwords. In addition,
only authorized Criminal Division employees will have access to the
system.
RETENTION AND DISPOSAL:
Currently there is an agreement with the Federal Records Center for
retention
[[Page 8665]]
and disposal after ten years applicable to approximately 20 percent of
the Division records. All other paper records are currently retained
indefinitely. A retention and disposal schedule for automated records
will be under review in connection with a revised schedule for the
paper records.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Attorney General, Criminal Division, U.S. Department of
Justice; 10th and Constitution Avenue, NW., Washington, DC 20530.
NOTIFICATION PROCEDURE:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a(j)(2), (k)(1), or (k)(2). Inquiry concerning this
system should be directed to the system manager listed above.
RECORD ACCESS PROCEDURES:
The major part of this system is exempted from this requirement
under 5 U.S.C. 552a(j)(2), (k)(1), or (k)(2). To the extent that this
system of records is not subject to exemption, it is subject to access
and contest. A determination as to exemption shall be made at the time
a request for access is received. A request for access to a record
contained in this system shall be made in writing, with the envelope
and the letter clearly marked `Privacy Access Request.' Include in the
request the name of the individual involved, his birth date and place,
or any other identifying number or information which may be of
assistance in locating the record, the name of the case or matter
involved, if known, and the name of the judicial district involved, if
known. The requestor will also provide a return address for
transmitting the information. Access requests will be directed to the
system manager listed above.
CONTESTING RECORD PROCEDURES:
Individuals desiring to contest or amend information maintained in
the system should direct their request to the system manager listed
above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment to
the information sought.
RECORD SOURCE CATEGORIES:
Department officers and employees, and other federal, state, local,
and foreign law enforcement and non-law enforcement agencies, private
persons, witnesses, and informants.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Attorney General has exempted this system from subsections (c)
(3) and (4), (d), (e)(1), (2) and (e)(4), (G), (H) and (I), (e)(5) and
(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2).
Rules have been promulgated in accordance with the requirements of 5
U.S.C. 553 (b), (c) and (e) and have been published in the Federal
Register.
JUSTICE/CIV-001
SYSTEM NAME:
Civil Division Case File System.
SYSTEM LOCATION:
Civil Division, U.S. Department of Justice 10th Street NW,
Washington, DC 20530; Record Management Unit, 5320 Marinelli Road,
Rockville, MD 20652; and Federal Records Center, Suitland, MD 20409.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals referenced in potential or actual cases and matters
under the jurisdiction of the Civil Division; and attorneys, paralegal,
and other employees of the Civil Division directly involved in these
cases or matters.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Records in this system pertain to a broad variety of litigation
under the jurisdiction of the Civil Division relating to torts, civil
fraud and other commercial matters, federal programs and national
security, immigration, and consumer issues. The case files contain
court records, inter-agency and intra-agency correspondence, and legal
research. These records may include civil investigatory and/or criminal
law enforcement information and information classified pursuant to
Executive Order to protect national security interests. (2) Summary
information (i.e., names of principal parties or subjects, case file
numbers, assignments, status, and classification) of these cases or
matters is maintained prior to FY 78 on index cards and from FY 78 in
an automated case tracking system. (3) A timekeeping function for
attorneys, paralegal, and other employees of the Civil Division
directly involved in litigation supplements the automated case tracking
system from May of 1981.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
General authority to maintain the system is contained in 5 U.S.C.
301 and 44 U.S.C. 3101. The particular system was established in
accordance with 28 CFR 0.77(f) and 28 U.S.C. 552 and was delegated to
the Civil Division pursuant to the memorandum from the Deputy Attorney
General, dated July 17, 1974.
PURPOSE(s):
Case records are maintained for the purpose of litigating or
resolving any case or matter under consideration by the Civil Division.
The automated case tracking and timekeeping system exists for the
purpose of managing and evaluating the Division's litigative
activities.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
A record maintained in this system of records may be disseminated
as a routine use of such record as follows: (1) In any case in which
there is an indication of a violation or potential violation of law,
whether civil, criminal or regulatory in nature, the record in question
may be disseminated to the appropriate federal, state, local or foreign
agency charged with the responsibility for investigating or prosecuting
such violation or charged with enforcing or implementing such law; (2)
in the course of investigating the potential or actual violation of any
law, whether civil, criminal or regulatory in nature, or during the
course of a trial or hearing, or the preparation for a trial or hearing
for such violation, a record may be disseminated to a federal, state,
local or foreign agency, or to an individual or organization, if there
is reason to believe that such agency, individual or organization
possesses information or is responsible for acquiring information
relating to the investigation, trial or hearing and the dissemination
is reasonably necessary to elicit such information or to obtain the
cooperation of a witness or an informant; (3) a record relating to a
case or matter that has been referred by an agency for investigation,
prosecution, or enforcement, or that involves a case or matter within
the jurisdiction of an agency, or where the agency or officials thereof
are a party to litigation or where the agency or officials may be
affected by a case or matter, may be disseminated to such agency to
notify the agency of the status of the case or matter or of any
decision or determination that has been made, or to make such other
inquiries and reports as are necessary during the processing of the
case or matter (4) a record relating to a case or matter may be
disseminated to a foreign country pursuant to an international treaty
or convention entered into and ratified by the United States or to an
executive agreement (5) a record may be disseminated to a federal,
state, local, foreign, or international law enforcement agency to
assist in the general crime prevention and detection efforts of the
recipient
[[Page 8666]]
agency or to provide investigative leads to such agency; (6) a record
may be disseminated to a foreign country, through the United States
Department of State or directly to the representative of such country,
to the extent necessary to assist such country in civil or criminal
proceedings in which the United States or one of its officers or
agencies has an interest; (7) a record, or any facts derived therefrom,
may be disclosed in a grand jury proceeding or in a proceeding before a
court or adjudicative body before which the Civil Division is
authorized to appear when the United States, or any agency or
subdivision thereof, is a party to litigation and such records are
determined by the Civil Division to be arguably relevant to the
litigation; (8) to facilitate processing Freedom of Information and
Privacy Act requests for these records, information may be disclosed to
another Federal agency to (a) permit a decision as to access, amendment
or correction of records to be made in consultation with or by that
agency, or (b) verify the identity of an individual or the accuracy of
information submitted by an individual who has requested access to or
amendment or correction of records; (9) information may be released to
the news media and the public in accordance with 28 CFR 50.2 unless it
is determined that release would constitute an unwarranted invasion of
personal privacy; (10) a record may be disclosed to the National
Archives and Records Administration and the General Services
Administration in records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906; (11) in any health care-related
civil or criminal case, investigation, or matter, information
indicating patient harm, neglect, or abuse, or poor or inadequate
quality of care, at a health care facility or by a health care
provider, may be disclosed as a routine use to any federal, state,
local, tribal, foreign, joint, international or private entity that is
responsible for regulating, licensing, registering, or accrediting any
health care provider or health care facility, or enforcing any health
care-related laws or regulations. Further, information indicating an
ongoing quality of care problem by a health care provider or at a
health care facility may be disclosed to the appropriate health plan.
Additionally, unless otherwise prohibited by applicable law,
information indicating patient harm, neglect, abuse, or poor or
inadequate quality of care may be disclosed to the affected patient or
his or her representative or guardian at the discretion of and in the
manner determined by the agency in possession of the information.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Manual records are stored in file cabinets and on index cards.
Automated records are stored on magnetic disks. Classified information
is stored in locked safes.
RETRIEVABILITY:
Manual records are retrieved by file number. This number can be
obtained from index cards arranged alphabetically by subject name for
records received prior to FY 78 and from logical queries to the
computer-based data for FY 78 and subsequent years.
SAFEGUARDS:
Classified information is maintained in locked safes. Access to all
information is limited to Department of Justice personnel who have need
for the records to perform their duties. Automated records are
safeguarded and protected in accordance with Department rules and
procedures governing the handling of computerized information.
RETENTION AND DISPOSAL:
When a case file is closed by the responsible attorney, it is sent
to the Federal Records Center for retention in accordance with the
authorized Record Disposal Schedule for the classification of the case.
Such schedules are approved by the National Archives.
After the designated period has passed, the file is destroyed.
However, the index and docket cards are not purged. Automated records
constitute a cumulative resource file for which there are no plans to
delete records.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Attorney General; Civil Division: U.S. Department of
Justice; 10th and Constitution Avenue, NW, Washington, DC 20530.
NOTIFICATION PROCEDURE:
Address inquiries to: Assistant Attorney General; Civil Division;
U.S. Department of Justice; 10th and Constitution Avenue, NW,
Washington, DC 20530.
RECORD ACCESS PROCEDURES:
Portions of this system are exempt from disclosure and contest by 5
U.S.C. 552a(j)(2), (k)(1) and (k)(2). Submit in writing all requests
for access to those portions not so exempted to the system manager
identified above. Clearly mark the envelope and letter ``FOI/PA
Request'' and provide a return address. The subject of the record
should also provide his/her full name and notarized signature, data and
place of birth, case caption, or other information which may assist in
locating the records sought.
CONTESTING RECORD PROCEDURES:
Individuals desiring to contest or amend information maintained in
the system should direct their request to the Assistant Attorney
General, Department of Justice, 10th and Constitution Avenue, NW,
Washington, DC 20530. The request should clearly state what information
is being contested, the reasons for contesting it, and the proposed
amendment to the information sought.
RECORD SOURCE CATEGORIES:
Information may be obtained from all individuals referred to in all
cases or matters under consideration of the Civil Division. Timekeeping
information is obtained from all Civil Division attorneys, paralegals,
and other employees directly involved in such litigation or matters.
SYSTEMS EXEMPTED FORM CERTAIN PROVISIONS OF THE ACT:
The Attorney General has exempted certain categories of records in
this system form subsections (c)(3) and (4), (d), (e)(1), (e)(2),
(e)(3), (e)(4)(G) and (H), (e)(5), (e)(8), and (g) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2), (k)(1) and (k)(2). That is, these
exemptions apply only to the extent that the file contains information
which has been properly classified pursuant to an Executive Order, or
to the extent that it contains investigatory and other law enforcement
materials. Rules have been promulgated in accordance with the
requirements of 5 U.S.C. 552(b), (c) and (e) and have been published in
the Federal Register.
JUSTICE/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)
[[Page 8667]]
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
[[Page 8668]]
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.
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
[[Page 8669]]
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-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.
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
[[Page 8670]]
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.
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).
Notification procedure:
Address inquiries to the System Manager for the judicial district
in which the case or matter is pending (See appendix).
[[Page 8671]]
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/FBI-002
System name:
The FBI Central Records System.
System location:
a. Federal Bureau of Investigation, J. Edgar Hoover Building, 10th
and Pennsylvania Avenue, NW, Washington DC 20535; b. 56 field divisions
(see Appendix); c. 16 Legal Attache (see Appendix).
Categories of individuals covered by the system:
a. Individuals who relate in any manner to official FBI
investigations including, but not limited to subjects, suspects,
victims, witnesses, and close relatives and associates who are relevant
to an investigation.
b. Applicants for and current and former personnel of the FBI and
persons related thereto who are considered relevant to an applicant
investigation, personnel inquiry, or other personnel matters.
c. Applicants for and appointees to sensitive positions in the
United States Government and persons related thereto who are considered
relevant to the investigation.
d. Individuals who are the subject of unsolicited information, who
offer unsolicited information, request assistance, and make inquiries
concerning record material, including general correspondence, and
contacts with other agencies, businesses, institutions, clubs; the
public and the news media.
e. Individuals associated with administrative operations or
services including pertinent functions, contractors and pertinent
persons related thereto. (All manner of information concerning
individuals may be acquired in connection with and relating to the
varied investigative responsibilities of the FBI which are further
described in ``CATEGORIES OF RECORDS IN THE SYSTEM.'' Depending on the
nature and scope of the investigation this information may include,
among other things, personal habits and conduct, financial information,
travel and organizational affiliation of individuals. The information
collected is made a matter of record and placed in FBI files.)
Categories of records in the system:
The FBI Central Records Systems--The FBI utilizes a central records
system of maintaining its investigative, personnel, applicant,
administrative, and general files. This system consists of one
numerical sequence of subject matter files, an alphabetical index to
the files, and a supporting abstract system to facilitate processing
and accountability of all important mail placed in files. This abstract
system is both a textual and an automated capability for locating mail.
Files kept in FBI field offices are also structured in the same manner,
except they do not utilize an abstract system.
The 281 classifications used by the FBI in its basic filing system
pertain primarily to Federal violations over which the FBI has
investigative jurisdiction. However, included in the 281
classifications are personnel, applicant, and administrative matters to
facilitate the overall filing scheme. These classifications are as
follows (the word ``obsolete'' following the name of the classification
indicates the FBI is no longer initiating investigative cases in these
matters, although the material is retained for reference purposes):
1. Training Schools; National Academy Matters: FBI National Academy
Applicants. Covers general information concerning the FBI National
Academy, including background investigations of individual candidates.
2. Neutrality Matters. Title 18, United States Code, Sections 956
and 958 962; Title 22, United States Code, Sections 1934 and 401.
3. Overthrow or Destruction of the Government. Title 18, United
States Code, Section 2385.
4. National Firearms Act, Federal Firearms Act; State Firearms
Control Assistance Act; Unlawful Possession or Receipt of Firearms.
Title 26, United States Code, Sections 5801-5812; Title 18, United
States Code, Sections 921-928; Title 18, United States Code, Sections
1201-1203.
5. Income Tax. Covers violations of Federal income tax laws
reported to the FBI. Complaints are forwarded to the Commissioner of
the Internal Revenue Service.
6. Interstate Transportation of Strikebreakers. Title 18, United
States Code, Section 1231.
7. Kidnapping. Title 28, United States Code, Sections 1201 and
1202.
8. Migratory Bird Act. Title 18, United States Code, Section 43;
Title 16, United States Code, Section 703 through 718.
9. Extortion. Title 18, United States Code, Sections 876, 877, 875,
and 873.
10. Red Cross Act. Title 18, United States Code, Sections 706 and
917.
11. Tax (Other than Income). This classification covers complaints
concerning violations of Internal
[[Page 8672]]
Revenue law as they apply to other than alcohol, social security and
income and profits taxes, which are forwarded to the Internal Revenue
Service.
12. Narcotics. This classification covers complaints received by
the FBI concerning alleged violations of Federal drug laws. Complaints
are forwarded to the headquarters of the Drug Enforcement
Administration (DEA), or the nearest district office of DEA.
13. Miscellaneous. Section 125, National Defense Act, Prostitution;
Selling Whiskey Within Five Miles of An Army Camp, 1920 only. Subjects
were alleged violators of abuse of U.S. flag, fraudulent enlistment,
selling liquor and operating houses of prostitution within restricted
bounds of military reservations. Violations of Section 13 of the
Selective Service Act (Conscription Act) were enforced by the
Department of Justice as a war emergency measure with the Bureau
exercising jurisdiction in the detection and prosecution of cases
within the purview of that Section.
14. Sedition. Title 18, United States Code, Sections 2387, 2388,
and 2391.
15. Theft from Interest Shipment. Title 18, United States Code,
Section 859; Title 18, United States Code, Section 660; Title 18 United
States Code, Section 2117.
16. Violations of Federal Injunction (obsolete). Consolidated into
Classification 69, ``Contempt of Court''.
17. Fraud Against the Government, Department of Veterans Affairs,
Department of Veterans Affairs Matters. Title 18, United States Code,
Section 287, 289, 290, 371, or 1001, and Title 38, United States Code,
Sections 787(a), 787(b), 3405, 3501, and 3502.
18. May Act. Title 18, United States Code, Section 1384.
19. Censorship Matter (obsolete). Pub. L. 77th Congress.
20. Federal Grain Standards Act (obsolete) 1920 only. Subjects were
alleged violators of contracts for sale. Shipment of Interstate
Commerce, Section 5, U.S. Grain Standards Act.
21. Food and Drugs. This classification covers complaints received
concerning alleged violations of the Food, Drug and Cosmetic Act; Tea
Act; Import Milk Act; Caustic Poison Act; and Filled Milk Act. These
complaints are referred to the Commissioner of the Food and Drug
Administration of the field component of that Agency.
22. National Motor Vehicle Traffic Act, 1922-27 (obsolete).
Subjects were possible violators of the National Motor Vehicle Theft
Act, Automobiles seized by Prohibitions Agents.
23. Prohibition. This classification covers complaints received
concerning bootlegging activities and other violations of the alcohol
tax laws. Such complaints are referred to the Bureau of Alcohol,
Tobacco and Firearms, Department of the Treasury, or field
representatives of the Agency.
24. Profiteering 1920-42 (obsolete). Subjects are possible
violators of the Lever Act--Profiteering in food and clothing or
accused company was subject of file. Bureau conducted investigations to
ascertain profits.
25. Selective Service Act; Selective Training and Service Act.
Title 50, United States Code, Section 462; Title 50, United States
Code, Section 459.
26. Interstate Transportation of Stolen Motor Vehicle; Interstate
Transportation of Stolen Aircraft. Title 18, United States Code,
Sections 2311 (in part), 2312, and 2313.
27. Patent Matter. Title 35, United States Code, Sections 104 and
105.
28. Copyright Matter. Title 17, United States Code, Sections 104
and 105.
29. Bank Fraud and Embezzlement. Title 18, United States Code,
Sections 212, 213, 215, 334, 655-657, 1004-1006, 1008, 1009, 1014, and
1306; Title 12, United States Code, Section 1725(g).
30. Interstate Quarantine Law, 1922-25 (obsolete). Subjects alleged
violators of Act of February 15, 1893, as amended, regarding interstate
travel of persons afflicted with infectious diseases. Cases also
involved unlawful transportation of animals, Act of February 2, 1903.
Referrals were made to Public Health Service and the Department of
Agriculture.
31. White Slave Traffic Act. Title 18, United States Code, Section
2421-2424.
32. Identification (Fingerprint) Matters. This classification
covers general information concerning Identification (fingerprint)
matters.
33. Uniform Crime Reporting. This classification covers general
information concerning the Uniform Crime Reports, a periodic
compilation of statistics of criminal violations throughout the United
States.
34. Violation of Lacy Act. 1922-43. (obsolete) Unlawful
Transportation and shipment of black bass and fur seal skins.
35. Civil Service. This classification covers complaints received
by the FBI concerning Civil Service matters which are referred to the
Office of Personnel Management in Washington or regional offices of
that Agency.
36. Mail Fraud. Title 18, United States Code, Section 1341.
37. False Claims Against the Government. 1921-22 (obsolete).
Subjects submitted claims for allotment, vocational training,
compensation as veterans under the Sweet Bill. Letters were generally
referred elsewhere (Veterans Bureau). Violators apprehended for
violation of Article No. 1, War Risk Insurance Act.
38. Application for Pardon to Restore Civil Rights. 1921-35
(obsolete). Subjects allegedly obtained their naturalization papers by
fraudulent means. Cases later referred to Immigration and
Naturalization Service.
39. Falsely Claiming Citizenship (obsolete). Title 18, United
States Code, Sections 911 and 1015(a)(b).
40. Passport and Visa Matter. Title 18, United States Code,
Sections 1451-1546.
41. Explosives (obsolete). Title 50, United States Code, Sections
121 through 144.
42. Deserter; Deserter, Harboring. Title 10, United States Code,
Sections 808 and 885.
43. Illegal Wearing of Uniforms; False Advertising or Misuse of
Names, Words, Emblems or Insignia; Illegal Manufacturer, Use,
Possession, or Sale of Emblems and Insignia; Illegal Manufacture,
Possession, or Wearing of Civil Defense Insignia; Miscellaneous,
Forging or Using Forged Certificate of Discharge from Military or Naval
Service; Miscellaneous, Falsely Making or Forging Naval, Military, or
Official Pass; Miscellaneous, Forging or Counterfeiting Seal of
Department or Agency of the United States, Misuse of the Great Seal of
the United States or of the Seals of the President or the Vice
President of the United States; Unauthorized Use of ``Johnny Horizon''
Symbol; Unauthorized Use of Smokey Bear Symbol. Title 18, United States
Code, Sections 702, 703, and 704; Title 18, United States Code,
Sections 701, 705, 707, and 710; Title 36, United States Code, Section
182; Title 50, Appendix, United States Code, Section 2284; Title 46,
United States Code, Section 249; Title 18, United States Code, Sections
498, 499, 506, 709, 711, 711a, 712, 713, and 714; Title 12, United
States Code, Sections 1457 and 1723a; Title 22, United States Code,
Section 2518.
44. Civil Rights; Civil Rights, Election Laws, Voting Rights Act,
1965, Title 18, United States Code, Sections 241, 242, and 245; Title
42, United States Code, Section 1973; Title 18, United States Code,
Section 243; Title 18, United States Code, Section 244, Civil Rights
Act--Federally Protected Activities; Civil Rights Act--Overseas
Citizens Voting Rights Act of 1975.
45. Crime on the High Seas (includes stowaways on boats and
aircraft). Title
[[Page 8673]]
18, United States Code, Sections 7, 13, 1243, and 2199.
46. Fraud Against the Government (includes Department of Health,
Education and Welfare; Department of Labor (CETA), and Miscellaneous
Government Agencies), Anti-Kickback Statute; Department Assistance Act
of 1950; False Claims, Civil; Federal-Aid Road Act; Lead and Zinc Act;
Public Works and Economic Development Act of 1965; Renegotiation Act,
Criminal; Renegotiation Act, Civil; Trade Expansion Act of 1962;
Unemployment Compensation Statutes; Economic Opportunity Act, Title 50,
United States Code, Section 1211 et seq.; Title 31, United States Code,
Section 231; Title 41, United States Code, Section 119; Title 40,
United States Code, Section 489.
47. Impersonation. Title 18, United States Code, Sections 912, 913,
915, and 916.
48. Postal. Violation (Except Mail Fraud). This classification
covers inquiries concerning the Postal Service and complaints
pertaining to the theft of mail. Such complaints are either forwarded
to the Postmaster General or the nearest Postal Inspector.
49. Bankruptcy Fraud. Title 18, United States Code, Sections 151-
155.
50. Involuntary Servitude and Slavery. U.S. Constitution, 13th
Amendment; Title 18, United States Code, Sections 1581-1588, 241, and
242.
51. Jury Panel Investigations. This classification covers jury
panel investigations which are requested by the appropriate Assistant
Attorney General as authorized by 28 U.S.C. 533 and AG memorandum 781,
dated November 9, 1972. These investigations can be conducted only upon
such request and consist of an indices and arrest check, and only in
limited important trials where defendant could have influence over a
juror.
52. Theft, Robbery, Embezzlement, Illegal Possession or Destruction
of Government Property. Title 18, United States Code, Sections 641,
1024, 1660, 2112, and 2114. Interference With Government
Communications, Title 18, United States Code, Section 1632.
53. Excess Profits on Wool. 1918 (obsolete). Subjects possible
violators of Government Control of Wool Clip Act of 1918.
54. Customs Laws and Smuggling. This classification covers
complaints received concerning smuggling and other matters involving
importation and entry of merchandise into and the exportation of
merchandise from the United States. Complaints are referred to the
nearest district office of the U.S. Customs Service or the Commissioner
of Customs, Washington, DC.
55. Counterfeiting. This classification covers complaints received
concerning alleged violations of counterfeiting of U.S. coins, notes,
and other obligations and securities of the Government. These
complaints are referred to either the Director, U.S. Secret Service, or
the nearest office of that Agency.
56. Election Laws. Title 18, United States Code, Sections 241, 242,
245, and 591-607; Title 42, United States Code, Section 1973; Title 26,
United States Code, Sections 9012 and 9042; Title 2, United States
Code, Sections 431-437, 439, and 441.
57. War Labor Dispute Act (obsolete). Pub. L. 89--77th Congress.
58. Corruption of Federal Public Officials. Title 18, United States
Code, Sections 201-203, 205-211; Public Law 89-4 and 89-136.
59. World War Adjusted Compensation Act of 1924-44 (obsolete).
Bureau of Investigation was charged with the duty of investigating
alleged violations of all sections of the World War Adjusted
Compensation Act (Pub. L. 472, 69th Congress (H.R. 10277)) with the
exception of Section 704.
60. Anti-Trust, Title 15, United States Code, Sections 1-7, 12-27,
and 13.
61. Treason or Misprision of Treason. Title 18, United States Code,
Sections 2381, 2382, 2389, 2390, 756, and 757.
62. Administrative Inquiries. Misconduct Investigations of Officers
and Employees of the Department of Justice and Federal Judiciary;
Census Matters (Title 13, United States Code, Sections 211-214, 221-
224, 304, and 305) Domestic Police Cooperation; Eight-Hour-Day Law
(Title 40, United States Code, Sections 321, 332, 325a, 326); Fair
Credit Reporting Act (Title 15, United States Code, Sections 1681q and
1681r); Federal Cigarette Labeling and Advertising Act (Title 15,
United States Code, Section 1333); Federal Judiciary Investigations;
Kickback Racket Act (Title 18, United States Code, Section 874); Lands
Division Matter, other Violations and/or Matters; Civil Suits--
Miscellaneous; Soldiers' and Sailors' Civil Relief Act of 1940 (Title
50, Appendix, United States Code, Sections 510-590); Tariff Act of 1930
(Title 19, United States Code, Section 1304); Unreported Interstate
Shipment of Cigarettes (Title 15, United States Code, Sections 375 and
376); Fair Labor Standards Act of 1938 (Wages and Hours Law) (Title 29,
United States Code, Sections 201-219); Conspiracy (Title 18, United
States Code, Section 371 (formerly Section 88, Title 18, United States
Code); effective September 1, 1948).
63. Miscellaneous--Nonsubversive. This classification concerns
correspondence from the public which does not relate to matters within
FBI jurisdiction.
64. Foreign Miscellaneous. This classification is a control file
utilized as a repository for intelligence information of value
identified by country. More specific categories are placed in
classification 108-113.
65. Espionage. Attorney General Guidelines on Foreign
Counterintelligence; Internal Security Act of 1950; Executive Order
11905.
66. Administrative Matters. This classification covers such items
as supplies, automobiles, salary matters and vouchers.
67. Personnel Matters. This classification concerns background
investigations of applicants for employment with the FBI and folders
for current and former employees.
68. Alaskan matters (obsolete). This classification concerns FBI
investigations in the Territory of Alaska prior to its becoming a
State.
69. Contempt of Court. Title 18, United States Code, Sections 401,
402, 3285, 3691, 3692; Title 10, United States Code. Section 847; and
Rule 42, Federal Rules of Criminal Procedure.
70. Crime on Government Reservation. Title 18, United States Code,
Sections 7 and 13.
71. Bills of Lading Act, Title 49, United States Code, Section 121.
72. Obstruction of Criminal Investigations: Obstruction of Justice,
Obstruction of Court Orders. Title 18, United States Code. Sections
1503 through 1510.
73. Application for Pardon After Completion of Sentence and
Application for Executive Clemency. This classification concerns the
FBI's background investigation in connection with pardon applications
and request for executive clemency.
74. Perjury. Title 18, United States Code, Sections 1621, 1622, and
1623.
75. Bondsmen and Sureties. Title 18, United States Code, Section
1506.
76. Escaped Federal Prisoner. Escape and Rescue; Probation
Violator, Parole Violator, Mandatory, Release Violator. Title 18,
United States Code, Sections 751-757, 1072; Title 18, United States
Code. Sections 3651-3656; and Title 18, United States Code. Sections
4202-4207, 5037, and 4161-4166.
77. Applicants (Special Inquiry, Departmental and Other Government
Agencies, except those having special classifications). This
classification covers the background investigations
[[Page 8674]]
conducted by the FBI in connection with the aforementioned positions.
78. Illegal Use of Government Transportation Requests. Title 18,
United States Code, Section 287, 495, 508, 641, 1001 and 1002.
79. Missing Persons. This classification covers the FBI's
Identification Division's assistance in the locating of missing
persons.
80. Laboratory Research Matters. At FBI Headquarters this
classification is used for Laboratory research matters. In field office
files this classification covers the FBI's public affairs matters and
involves contact by the FBI with the general public, Federal and State
agencies, the Armed Forces, Corporations, the news media and other
outside organizations.
81. Gold Hoarding. 1933-45. (obsolete) Gold Hoarding investigations
conducted in accordance with an Act of March 9, 1933 and Executive
Order issued August 28, 1933. Bureau instructed by Department to
conduct no further investigations in 1935 under the Gold Reserve Act of
1934. Thereafter, all correspondence referred to Secret Service.
82. War Risk Insurance (National Life Insurance (obsolete)). This
classification covers investigations conducted by the FBI in connection
with civil suits filed under this statute.
83. Court of Claims. This classification covers requests for
investigations of cases pending in the Court of Claims from the
Assistant Attorney General in charge of the Civil Division of the
Department of Justice.
84. Reconstruction Finance Corporation Act (obsolete). Title 15,
United States Code, Chapter 14.
85. Home Owner Loan Corporation (obsolete). This classification
concerned complaints received by the FBI about alleged violations of
the Home Owners Loan Act, which were referred to the Home Owners Loan
Corporation. Title 12, United States Code, Section 1464.
86. Fraud Against the Government--Small Business Administration.
Title 15, United States Code, Section 645; Title 18, United States
Code, Sections 212, 213, 215, 216, 217, 657, 658, 1006, 1011, 1013,
1014, 1906, 1907, and 1909.
87. Interstate Transportation of Stolen Property (Heavy Equipment--
Commercialized Theft). Title 18, United States Code, Sections 2311,
2314, 2315 and 2318.
88. Unlawful Flight to Avoid Prosecution, Custody, or Confinement;
Unlawful Flight to Avoid Giving Testimony. Title 18, United States
Code, Sections 1073 and 1074.
89. Assaulting or Killing a Federal Officer, Crimes Against Family
Members, Congressional Assassination Statute, Title 18, United States
Code, Sections 1111, 1114, 2232.
90. Irregularities in Federal Penal Institutions. Title 18, United
States Code, Sections 1791 and 1792.
91. Bank Burglary, Bank Larceny; Bank Robbery. Title 18, United
States Code, Section 2113.
92. Racketeer Enterprise Investigations. Title 18, United States
Code. Section 3237.
93. Ascertaining Financial Ability. This classification concerns
requests by the Department of Justice for the FBI to ascertain a
person's ability to pay a claim, fine or judgment obtained against him
by the United States Government.
94. Research matters. This classification concerns all general
correspondence of the FBI with private individuals which does not
involve any substantive violation of Federal law.
95. Laboratory Cases (Examination of Evidence in Other Than
Bureau's Cases). The classification concerns non-FBI cases where a duly
constituted State, county or a municipal law enforcement agency in a
criminal matter has requested an examination of evidence by the FBI
Laboratory.
96. Alien Applicant (obsolete). Title 10, United States Code,
Section 310.
97. Foreign Agents Registration Act. Title 18, United States Code,
Section 951; Title 22, United States Code, Sections 611-621; Title 50,
United States Code, Sections 851-857.
98. Sabotage. Title 18, United States Code, Sections 2151-2156;
Title 50, United States Code, Section 797.
99. Plant Survey (obsolete). This classification covers a program
wherein the FBI inspected industrial plants for the purpose of making
suggestions to the operations of those plants to prevent espionage and
sabotage.
100. Domestic Security. This classification covers investigations
by the FBI in the domestic security field, e.g., Smith Act violations.
101. Hatch Act (obsolete). Public Law 252, 76th Congress.
102. Voorhis Act, Title 18, United States Code, Section 1386.
103. Interstate Transportation of Stolen Livestock, Title 18,
United States Code, Sections 667, 2311, 2316 and 2317.
104. Servicemen's Dependents Allowance Act of 1942 (obsolete).
Public Law 625, 77th Congress, Sections 115-119.
105. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
106. Alien Enemy Control; Escaped Prisoners of War and Internees,
1944-55 (obsolete). Suspects were generally suspected escaped prisoners
of war, members of foreign organizations, failed to register under the
Alien Registration Act. Cases ordered closed by Attorney General after
alien enemies returned to their respective countries upon termination
of hostilities.
107. Denaturalization Proceedings (obsolete). This classification
covers investigation concerning allegations that an individual
fraudulently swore allegiance to the United States or in some other
manner illegally obtained citizenship to the U.S. Title 8, United
States Code, Section 738.
108. Foreign Travel Control (obsolete). This classification
concerns security-type investigations wherein the subject is involved
in foreign travel.
109. Foreign Political Matters. This classification is a control
file utilized as a repository for intelligence information concerning
foreign political matters broken down by country.
110. Foreign Economic Matters. This classification is a control
file utilized as a repository for intelligence information concerning
foreign economic matters broken down by country.
111. Foreign Social Conditions. This classification is a control
file utilized as a repository for intelligence information concerning
foreign social conditions broken down by county.
112. Foreign Funds. This classification is a control file utilized
as a repository for intelligence information concerning foreign funds
broken down by country.
113. Foreign Military and Naval Matters. This classification is a
control file utilized as a repository for intelligence information
concerning foreign military and naval matters broken down by country.
114. Alien Property Custodian Matter (obsolete). Title 50, United
States Code, Sections 1 through 38. This classification covers
investigations concerning ownership and control of property subject to
claims and litigation under this statute.
115. Bond Default; Bail Jumper. Title 18, United States Code,
Sections 3146-3152.
116. Department of Energy Applicant; Department of Energy,
Employee. This classification concerns background investigations
conducted in connection with employment with the Department of Energy.
117. Department of Energy, Criminal. Title 42, United States Code,
Sections 2011-2281; Public Law 93-438.
118. Applicant, Intelligence Agency (obsolete). This classification
covers applicant background investigations conducted of persons under
[[Page 8675]]
consideration for employment by the Central Intelligence Group.
119. Federal Regulation of Lobbying Act. Title 2, United States
Code, ections 261-270.
120. Federal Tort Claims Act, Title 28, United States Code,
Sections 2671 to 2680. Investigations are conducted pursuant to
specific request from the Department of Justice in connection with
cases in which the Department of Justice represents agencies sued under
the Act.
121. Loyalty of Government Employees (obsolete). Executive Order
9835.
122. Labor Management Relations Act, 1947. Title 29, United States
Code, Sections 161, 162, 176-178 and 186.
123. Section inquiry, State Department, Voice of America (U.S.
Information Center) (Public Law 402, 80th Congress) (obsolete). This
classification covers loyalty and security investigations on personnel
employed by or under consideration for employment for Voice of America.
124. European Recovery Program Administration, formerly Foreign
Operations Administration, Economic Cooperation Administration or
E.R.P., European Recovery Programs; A.I.D. Agency for International
Development (obsolete). This classification covers security and loyalty
investigation of personnel employed by or under consideration for
employment with the European Recovery Program, Public Law 472, 80th
Congress.
125. Railway Labor Act; Railway Labor Act--Employer's Liability Act
Title 45, United States Code, Sections 151-163 and 181-188.
126. National Security Resources Board, Special Inquiry (obsolete).
This classification covers loyalty investigations on employees and
applicants of the National Security Resources Board.
127. Sensitive Positions in the United States Government, Public
Law 266 (obsolete). Public Law 81st Congress.
128. International Development Program (Foreign Operations
Administration) (obsolete). This classification covers background
investigations conducted on individuals who are to be assigned to
duties under the International Development Program.
129. Evacuation Claims (obsolete). Public Law 886, 80th Congress.
130. Special Inquiry. Armed Forces Security Act (obsolete). This
classification covers applicant-type investigations conducted for the
Armed Forces security agencies.
131. Admiralty Matter. Title 46, United States Code, Sections 741-
752 and 781-799.
132. Special Inquiry, Office of Defense Mobilization (obsolete).
This classification covers applicant-type investigations of individuals
associated with the Office of Defense Mobilization.
133. National Science Foundation Act, Applicant (obsolete). Public
Law 507, 81st Congress.
134. Foreign Counterintelligence Assets. This classification
concerns individuals who provide information to the FBI concerning
Foreign Counterintelligence matters.
135. PROSAB (Protection of Strategic Air Command Bases of the U.S.
Air Force (obsolete). This classification covered contacts with
individuals with the aim to develop information useful to protect bases
of the Strategic Air Command.
136. American Legion Contact (obsolete). This classification
covered liaison contracts with American Legion offices.
137. Informants. Other than Foreign Counterintelligence Assets.
This classification concerns individuals who furnish information to the
FBI concerning criminal violations on a continuing and confidential
basis.
138. Loyalty of Employees of the United Nations and Other Public
International Organizations. This classification concerns FBI
investigations based on referrals from the Office of Personnel
Management wherein a question or allegation has been received regarding
the applicant's loyalty to the U.S. Government as described in
Executive Order 10422.
139. Interception of Communications (Formerly, Unauthorized
Publication or Use of Communications). Title 47, United States Code,
Section 605; Title 47, United States Code, Section 501; Title 18,
United States Code, Sections 2510-2513.
140. Security of Government Employees; Fraud Against the
Government, Executive Order 10450.
141. False Entries in Records of Interstate Carriers. Title 47,
United States Code, Section 220; Title 49, United States Code, Section
20.
142. Illegal Use of Railroad Pass. Title 49, United States Code,
Section 1.
143. Interstate Transport of Gambling Devices. Title 15, United
States Code, Sections 1171 through 1180.
144. Interstate Transportation of Lottery Tickets. Title 18, United
States Code, Section 1301.
145. Interstate Transportation of Obscene Materials. Title 18,
United States Code, Sections 1462, 1464, and 1465.
146. Interstate Transportation of Prison-Made Goods. Title 18,
United States Code, Sections 1761 and 1762.
147. Fraud Against the Government--Department of Housing and Urban
Development, Matters. Title 18, United States Code, Sections 657, 709,
1006, and 1010; Title 12, United States Code, Sections 1709 and 1715.
148. Interstate Transportation of Fireworks. Title 18, United
States Code, Section 836.
149. Destruction of Aircraft or Motor Vehicles. Title 18, United
States Code, Section 31-35.
150. Harboring of Federal Fugitives, Statistics (obsolete).
151. (Referral cases received from the Office of Personnel
Management under Pub. L. 298). Agency for International Development;
Department of Energy; National Aeronautics and Space Administration;
National Science Foundation; Peace Corps; Action; U.S. Arms Control and
Disarmament Agency; World Health Organization; International Labor
Organization; International Communications Agency. This classification
covers referrals from the Office of Personnel Management where an
allegation has been received regarding an applicant's loyalty to the
U.S. Government. These referrals refer to applicants from Peace Corps;
Department of Energy, National Aeronautics and Space Administration,
Nuclear Regulatory Commission, United States Arms Control and
Disarmament Agency and the International Communications Agency.
152. Switchblade Knife Act. Title 15, United States Code, Sections
1241-1244.
153. Automobile Information Disclosure Act. Title 15, United States
Code, Sections 1231-1233.
154. Interstate Transportation of Unsafe Refrigerators. Title 15,
United States Code, Sections 1211-1214.
155. National Aeronautics and Space Act of 1958. Title 18, United
States Code, Section 799.
156. Employee Retirement Income Security Act. Title 29, United
States Code, Sections 1021-1029, 1111, 1131, and 1141; Title 18, United
States Code, Sections 644, 1027, and 1954.
157. Civil Unrest. This classification concerns FBI responsibility
for reporting information on civil disturbances or demonstrations. The
FBI's investigative responsibility is based on the Attorney General's
Guidelines for Reporting on Civil Disorders and Demonstrations
Involving a Federal Interest which became effective April 5, 1976.
158. Labor-Management Reporting and Disclosure Act of 1959
(Security Matter) (obsolete). Public Law 86-257, Section 504.
159. Labor-Management Reporting and Disclosure Act of 1959
[[Page 8676]]
(Investigative Matter). Title 29, United States Code, Sections 501,
504, 522, and 530.
160. Federal Train Wreck Statute. Title 18, United States Code,
Section 1992.
161. Special Inquiries for White House, Congressional Committee and
Other Government Agencies. This classification covers investigations
requested by the White House. Congressional committees or other
Government agencies.
162. Interstate Gambling Activities. This classification covers
information acquired concerning the nature and scope of illegal
gambling activities in each field office.
163. Foreign Police Cooperation. This classification covers
requests by foreign police for the FBI to render investigative
assistance to such agencies.
164. Crime Aboard Aircraft. Title 49, United States Code, Sections
1472 and 1473.
165. Interstate Transmission of Wagering Information. Title 18,
United States Code, Section 1065.
166. Interstate Transportation in Aid of Racketeering. Title 18,
United States Code, Section 1952.
167. Destruction of Interstate Property. Title 15, United States
Code, Sections 1281 and 1282.
168. Interstate Transportation of Wagering Paraphernalia. Title 18,
United States Code, Section 1953.
169. Hydraulic Brake Fluid Act (obsolete); 76 Stat. 437, Public Law
87-637.
170. Extremist Informants (obsolete). This classification concerns
individuals who provided information on a continuing basis on various
extremist elements.
171. Motor Vehicle Seat Belt Act (obsolete). Pub. L. 88-201, 80th
Congress.
172. Sports Bribery. Title 18, United States Code, Section 244.
173. Public Accommodations. Civil Rights Act of 1964 Public
Facilities; Civil Rights Act of 1964 Public Education; Civil Rights Act
of 1964 Employment; Civil Rights Act of 1964. Title 42, United States
Code, Section 2000; Title 18, United States Code, Section 245.
174. Explosives and Incendiary Devices; Bomb Threats (Formerly
Bombing Matters; Bombing Matters, Threats). Title 18, United States
Code, Section 844.
175. Assaulting, Kidnapping or Killing the President (or Vice
President) of the United States. Title 18, United States Code, Section
1751.
176. Anti-riot Laws. Title 18, United States Code, Section 245.
177. Discrimination in Housing. Title 42, United States Code,
Sections 3601-3619 and 3631.
178. Interstate Obscene or Harassing Telephone Calls. Title 47,
United States Code, Section 223.
179. Extortionate Credit Transactions. Title 18, United States
Code, Sections 891-896.
180. Desecration of the Flag. Title 18, United States Code, Section
700.
181. Consumer Credit Protection Act. Title 15, United States Code,
Section 1611.
182. Illegal Gambling Business: Illegal Gambling Business,
Obstruction; Illegal Gambling Business Forfeiture. Title 18, United
States Code, Section 1955; Title 18, United States Code, Section 1511.
183. Racketeer, Influence and Corrupt Organizations. Title 18,
United States Code, Sections 1961-1968.
184. Police Killings. This classification concerns investigations
conducted by the FBI upon written request from local Chief of Police or
duty constituted head of the local agency to actively participate in
the investigation of the killing of a police officer. These
investigations are based on a Presidential Directive dated June 3,
1971.
185. Protection of Foreign Officials and Officials Guests of the
United States. Title 18, United States Code, Sections 112, 970, 1116,
1117, and 1201.
186. Real Estate Settlement Procedures Act of 1974. Title 12,
United States Code, Section 2602; Title 12, United States Code, Section
2606, and Title 12, United States Code, Section 2607.
187. Privacy Act of 1974, Criminal. Title 5, United States Code,
Section 552a.
188. Crime Resistance. This classification covers FBI efforts to
develop new or improved approaches, techniques, systems, equipment and
devices to improve and strengthen law enforcement as mandated by the
Omnibus Crime Control and Safe Streets Action of 1968.
189. Equal Credit Opportunity Act. Title 15, United States Code,
Section 1691.
190. Freedom of Information/Privacy Acts. This classification
covers the creation of a correspondence file to preserve and maintain
accurate records concerning the handling of requests for records
submitted pursuant to the Freedom of Information--Privacy Acts.
191. False Identity Matters. (obsolete) This classification covers
the FBI's study and examination of criminal elements' efforts to create
false identities.
192. Hobbs Act--Financial Institutions; Commercial Institutions
Armored Carrier. Title 18, United States Code, Section 1951.
193. Hobbs Act--Commercial Institutions (obsolete). Title 18,
United States Code, Section 1951; Title 47, United States Code, Section
506.
194. Hobbs Act--Corruption of Public Officials. Title 18, United
States Code, Section 1951.
195. Hobbs Act--Labor Related. Title 18, United States Code,
Section 1951.
196. Fraud by Wire. Title 18, United States Code, Section 1343.
197. Civil Actions or Claims Against the Government. This
classification covers all civil suits involving FBI matters and most
administrative claims filed under the Federal Tort Claims Act arising
from FBI activities.
198. Crime on Indian Reservations. Title 18, United States Code,
Sections 1151, 1152, and 1153.
199. Foreign Counterintelligence--Terrorism. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
200. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
201. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
202. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
203. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
204. Federal Revenue Sharing. This classification covers FBI
investigations conducted where the Attorney General has been authorized
to bring civil action whenever he has reason to believe that a pattern
or practice of discrimination in disbursement of funds under the
Federal Revenue Sharing status exists.
205. Foreign Corrupt Practices Act of 1977. Title 15, United States
Code, Section 78.
206. Fraud Against the Government--Department of Defense,
Department of Agriculture, Department of Commerce, Community Services
Organization, Department of Transportation. (See classification 46
(supra) for a statutory authority for this and the four following
classifications.)
207. Fraud Against the Government--Environmental Protection Agency,
National Aeronautics and Space Administration, Department of Energy,
Department of Transportation.
208. Fraud Against the Government--General Services Administration.
[[Page 8677]]
209. Fraud Against the Government--Department of Health and Human
Services (Formerly Department of Health, Education, and Welfare).
210. Fraud Against the Government--Department of Labor.
211. Ethics in Government Act of 1978, Title VI (Title 28, Sections
591-596).
212. Foreign Counterintelligence--Intelligence Community Support.
This is an administrative classification for the FBI's operational and
technical support to other Intelligence Community agencies.
213. Fraud Against the Government--Department of Education.
214. Civil Rights of Institutionalized Persons Act (Title 42,
United States Code, Section 1997).
215. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
216. thru 229. Foreign Counterintelligence Matters. (Same authority
as 215.)
230. thru 240. FBI Training Matters.
241. DEA Applicant Investigations.
242. Automation Matters.
243. Intelligence Identities Protection Act of 1982.
244. Hostage Rescue Team.
245. Drug Investigative Task Force.
246 thru 248. Foreign Counterintelligence Matters. (Same authority
as 215.)
249. Environmental Crimes--Investigations involving toxic or
hazardous waste violations.
250. Tampering With Consumer Products (Title 18, U.S. Code, Section
1395).
251. Controlled Substance-- Robbery;--Burglary (Title 18, U.S.
Code, section 2118).
252. Violent Crime Apprehension Program (VICAP). Case folders
containing records relevant to the VICAP Program, in conjunction with
the National Center for the Analysis of Violent Crime Record System at
the FBI Academy; Quantico, Virginia.
253. False Identification Crime Control Act of 1982 (Title 18, U.S.
Code, Section 1028--Fraud and Related Activity in Connection With
Identification Documents, and Section 1738--Mailing Private
Identification Documents Without a Disclaimer).
254. Destruction of Energy Facilities (Title 18, U.S. Code, Section
1365) relates to the destruction of property of nonnuclear energy
facilities.
255. Counterfeiting of State and Corporate Securities (Title 18,
U.S. Code, Section 511) covers counterfeiting and forgery of all forms
of what is loosely interpreted as securities.
256. Hostage Taking--Terrorism (Title 18, U.S. Code, Section 1203)
prohibits taking of hostage(s) to compel third party to do or refrain
from doing any act.
257. Trademark Counterfeiting Act (Title 18, United States Code,
section 2320) covers the international trafficking in goods which bear
a counterfeited trademark.
258. Credit Card Fraud Act of 1984 (Title 18, United States Code,
section 1029) covers fraud and related activities in connection with
access devices (credit and debit cards).
259. Security Clearance Investigations Program. (Same authority as
215.)
260. Industrial Security Program. (Same authority as 215.)
261. Security Officer Matters. (Same authority as 215.)
262. Overseas Homicide (Attempted Homicide--International
Terrorism). Title 18, United States Code, Section 2331.
263. Office of Professional Responsibility Matters.
264. Computer Fraud and Abuse Act of 1986. Electronic
Communications Privacy Act of 1986. Title 18, United States Code,
Section 1030; Title 18, United States Code, Section 2701.
265. Acts of Terrorism in the United States--International
Terrorist. (Followed by predicate offense from other classification.)
266. Acts of Terrorism in the United States--Domestic Terrorist.
(Followed by predicate offense from other classification.)
267. Drug-Related Homicide. Title 21, U.S. Code, Section 848(e).
268. Engineering Technical Matters--FCI.
269. Engineering Technical Matters--Non-FCI.
270. Cooperative Witnesses.
271. Foreign Counterintelligence Matters. Attorney General
Guidelines on Foreign Counterintelligence. Executive Order 11905.
272. Money Laundering. Title 18, U.S. Code, Sections 1956 and 1957.
273. Adoptive Forfeiture Matter--Drug. Forfeiture based on seizure
of property by state, local or other Federal authority.
274. Adoptive Forfeiture Matter--Organized Crime. (Same explanation
as 273.)
275. Adoptive Forfeiture Matter--White Collar Crime. (Same
explanation as 273.)
276. Adoptive Forfeiture Matter--Violent Crime/Major Offenders
Program. (Same explanation as 273.)
277. Adoptive Forfeiture Matter--Counterterrorism Program. (Same
explanation as 273.)
278. Presidents Intelligence Oversight Board. Executive Order
12334.
279. Biological Weapons Anti-Terrorism Act of 1989. (Title 18, U.S.
Code, Sections 175-179).
280. Equal Employment Opportunity Investigations.
281. Organized Crime Drug Investigations. Records Maintained in FBI
Field Divisions--FBI field divisions maintain for limited periods of
time investigative, administrative and correspondence records,
including files, index cards and related material, some of which are
duplicated copies of reports and similar documents forwarded to FBI
Headquarters. Most investigative activities conducted by FBI field
divisions are reported to FBI Headquarters at one or more stages of the
investigation. There are, however, investigative activities wherein no
reporting was made to FBI Headquarters, e.g., pending cases not as yet
reported and cases which were closed in the field division for any of a
number of reasons without reporting to FBI Headquarters.
Duplicate records and records which extract information reported in
the main files are also kept in the various divisions of the FBI to
assist them in their day-to-day operation. These records are lists of
individuals which contain certain biographic data, including physical
description and photograph. They may also contain information
concerning activities of the individual as reported to FBIHQ by the
various field offices. The establishment of these lists is necessitated
by the needs of the Division to have immediate access to pertinent
information duplicative of data found in the central records without
the delay caused by a time-consuming manual search of central indices.
The manner of segregating these individuals varies depending on the
particular needs of the FBI Division. The information pertaining to
individuals who are a part of the list is derivative of information
contained in the Central Records System. These duplicative records fall
into the following categories:
(1) Listings of individuals used to assist in the location and
apprehension of individuals for whom legal process is outstanding
(fugitives):
(2) Listings of individuals used in the identification of
particular offenders in cases where the FBI has jurisdiction. These
listings include various photograph albums and background data
concerning persons who have been formerly charged with a particular
crime and who may be suspect in similar criminal activities; and
photographs of individuals who are unknown but
[[Page 8678]]
suspected of involvement in a particular criminal activity, for
example, bank surveillance photographs:
(3) Listings of individuals as part of an overall criminal
intelligence effort by the FBI. This would include photograph albums,
lists of individuals known to be involved in criminal activity,
including theft from interstate shipment, interstate transportation of
stolen property, and individuals in the upper echelon of organized
crime:
(4) Listings of individuals in connection with the FBI's mandate to
carry out Presidential directives on January 8, 1943, July 24, 1950,
December 15, 1953, and February 18, 1976, which designated the FBI to
carry out investigative work in matters relating to espionage,
sabotage, and foreign counterintelligence. These listings may include
photograph albums and other listings containing biographic data
regarding individuals. This would include lists of identified and
suspected foreign intelligence agents and informants:
(5) Special indices duplicative of the central indices used to
access the Central Records System have been created from time to time
in conjunction with the administration and investigation of major
cases. This duplication and segregation facilitates access to documents
prepared in connection with major cases.
In recent years, as the emphasis on the investigation of white
collar crime, organized crime, and hostile foreign intelligence
operations has increased, the FBI has been confronted with increasingly
complicated cases, which require more intricate information processing
capabilities. Since these complicated investigations frequently involve
massive volumes of evidence and other investigative information, the
FBI uses its computers, when necessary to collate, analyze, and
retrieve investigative information in the most accurate and expeditious
manner possible. It should be noted that this computerized
investigative information, which is extracted from the main files or
other commercial or governmental sources, is only maintained as
necessary to support the FBI's investigative activities. Information
from these internal computerized subsystems of the ``Central Records
System'' is not accessed by any other agency. All disclosures of
computerized information are made in printed form or other appropriate
format, in accordance with the routine uses which are set forth below
and in compliance with applicable security requirements.
Records also are maintained on a temporary basis relevant to the
FBI's domestic police cooperating program, where assistance in
obtaining information is provided to state and local police agencies.
Also, personnel type information, dealing with such matters as
attendance and production and accuracy requirements is maintained by
some divisions.
(The following chart identifies various listings or indexes maintained
by the FBI which have been or are being used by various divisions of
the FBI in their day-to-day operations. The chart identifies the list
by name, description and use, and where maintained, i.e., FBI
Headquarters and/or Field Office. The number of field offices which
maintain these indices is also indicated. The list indicates those
indexes which are in current use (designated by the word ``active'')
and those which are no longer being used, although maintained
(designated by the word ``inactive''). There are 27 separate indices
which are classified in accordance with existing regulations and are
not included in this list. The following indices are no longer being
used by the FBI and are being maintained at FBIHQ pending receipt of
authority to destroy: Black Panther Party Photo Index; Black United
Front Index; Security Index; and Wounded Knee Album.)
1. Administrative Index (ADEX). Consists of cards with descriptive
data on individuals who were subject to investigation in a national
emergency because they were believed to constitute a potential or
active threat to the internal security of the United States. When ADEX
was started in 1971, it was made up of people who were formerly on the
Security Index, Reserve Index, and Agitator Index. This index is
maintained in two separate locations in FBI Headquarters. ADEX was
discontinued in January 1978. This list is inactive at FBI Headquarters
and 29 Field Offices.
2. Anonymous Letter File. Consists of photographs of anonymous
communications and extortionate credit transactions, kidnapping,
extortion and threatening letters. It is active at FBI Headquarters.
3. Associates of DEA Class I Narcotics Violators Listing. Consists
of a computer listing of individuals whom DEA has identified as
associates of Class I Narcotics Violators. It is active at FBI
Headquarters and 56 Field Offices.
4. Background Investigation Index--Department of Justice. Consists
of cards on persons who have been the subject of a full field
investigation in connection with their consideration of employment in
sensitive positions with Department of Justice, such as U.S. Attorney,
Federal judges, or a high level Department position. It is active at
FBI Headquarters.
5. Background Investigation Index--White House, Other Executive
Agencies, and Congress. Consists of cards on persons who have been the
subject of a full field investigation in connection with their
consideration for employment in sensitive positions with the White
House, Executive agencies (other than the Department of Justice) and
the Congress. Active at FBI Headquarters.
6. Bank Fraud and Embezzlement Index. Consists of individuals who
have been the subject of ``Bank Fraud and Embezzlement'' investigation.
This file is used as an investigative aid. It is active in one Field
Office.
7. Bank Robbery Album. Consists of photos of bank robbers,
burglars, and larceny subjects. In some field offices it will also
contain pictures obtained from local police departments of known armed
robbers and thus potential bank robbers. The index is used to develop
investigative leads in bank robbery cases and may also be used to show
to witnesses of bank robberies. It is usually filed by race, height,
and age. This index is also maintained in one resident agency (a
suboffice of a field office). Active in 47 Field Offices.
8. Bank Robbery Nickname Index. Consists of nicknames used by known
bank robbers. The index cards on each would contain the real name and
method of operation and are filed in alphabetical order. Active in one
Field Office.
9. Bank Robbery Note File. Consists of photographs of notes used in
bank robberies in which the suspect has been identified. This index is
used to help solve robberies in which the subject has not been
identified but a note was left. The role is compared with the index to
try to match the sentence structure and handwriting for the purpose of
identifying possible suspects. Active at FBI Headquarters.
10. Bank Robbery Suspect Index. Consists of a control file or index
cards with photos, if available, of bank robbers or burglars. In some
field offices these people may be part of a bank robbery album. This
index is generally maintained and used in the same manner as the bank
robbery album. Active in 33 Field Offices.
11. Car Ring Case Photo Album. Consists of photos of subjects and
suspects involved in a large car theft ring investigation. It is used
as an investigative aid. Active in one Field Office.
12. Car Ring Case Photo Album and Index. Consists of photos of
subjects and
[[Page 8679]]
suspects involved in a large car theft ring investigation. The card
index maintained in addition to the photo album contains the names and
addresses appearing on fraudulent title histories for stolen vehicles.
Most of these names appearing on these titles are fictitious. But the
photo album and card indexes are used as an investigative aid. Active
in one Field Office.
13. Car Ring Case Toll Call Index. Consists of cards with
information on persons who subscribe to telephone numbers to which toll
calls have been placed by the major subjects of a large car theft ring
investigation. It is maintained numerically by telephone number. It is
used to facilitate the development of probable cause for a court-
approved wiretap. Active in two Field Offices.
14. Car Ring Theft Working Index. Contains cards on individuals
involved in car ring theft cases on which the FBI Laboratory is doing
examination work. Active at FBI Headquarters.
15. Cartage Album. Consists of photos with descriptive data of
individuals who have been convicted of theft from interstate shipment
or interstate transportation of stolen property where there is a reason
to believe they may request the offense. It is used in investigating
the above violations. Active in three Field Offices.
16. Channelizing Index. Consists of cards with the names and case
file numbers of people who are frequently mentioned in information
reports. The index is used to facilitate the distributing or channeling
of information reports to appropriate files. Active in nine Field
Offices.
17. Check Circular File. Consists of fliers numerically in a
control file on fugitives who are notorious fraudulent check passers
and who are engaged in a continuing operation of passing checks. The
fliers, which include the subject's name, photo, a summary of the
subject's method of operation and other identifying data, are used to
alert other FBI field offices and business establishments which may be
the victims of bad checks.
18. Computerized Telephone Number File (CTNF) Intelligence.
Consists of a computer listing of telephone numbers (and) subscribers'
names and addresses) utilized by subjects and/or certain individuals
which come to the FBI's attention during major investigations. During
subsequent investigations, telephone numbers, obtained through
subpoena, are matched with the telephone numbers on file to determine
connections or associations. Active at FBI Headquarters.
19. Con Man Index. Consists of computerized names of individuals,
along with company affiliation, who travel nationally and
internationally while participating in large-dollar-value financial
swindles. Active in four Field Offices.
20. Confidence Game (Flim Flam) Album. Consists of photos with
descriptive information on individuals who have been arrested for
confidence games and related activities. It is used as an investigative
aid. Active in one Field Office.
21. Copyright Matters Index. Consists of cards of individuals who
are film collectors and film titles. It is used as a reference in the
investigation of copyright matters. Active in one Field Office.
22. Criminal Intelligence Index. Consists of cards with name and
file number of individuals who have become the subject of an
antiracketeering investigation. The index is used as a quick way to
ascertain file numbers and the correct spelling of names. This index is
active in two Field Offices and one Resident Agency.
23. Criminal Informant Index. Consists of cards containing identity
and brief background information on all active and inactive informants
furnishing information in the criminal area. Active at FBI
Headquarters.
24. DEA Class 1 Narcotics Violators Listing. Consists of a computer
listing of narcotic violators--persons known to manufacture, supply, or
distribute large quantities of illicit drugs--with background data. It
is used by the FBI in their role of assisting DEA in disseminating
intelligence data concerning illicit drug trafficking. This index is
also maintained in two resident agencies.
25. Deserter Index. Contains cards with the names of individuals
who are known military deserters. It is used as an investigative aid.
Active in four Field Offices.
26. False Identities Index. Contains cards with the names of
deceased individuals whose birth certificates have been obtained by
other persons for possible false identification uses and in connection
with which the FBI laboratory has been requested to perform
examinations. Inactive at FBI Headquarters.
27. False Identities List. Consists of a listing of names of
deceased individuals whose birth certificates have been obtained after
the person's death, and thus whose names are possibly being used for
false identification purposes. The listing is maintained as part of the
FBI's program to find persons using false identities for illegal
purposes. Inactive at 31 Field Offices.
28. False Identity Photo Album. Consists of names and photos of
people who have been positively identified as using a false
identification. This is used as an investigative aid in the FBI's
investigation of false identities. Inactive in two Field Offices.
29. FBI/Inspector General (IG) Case Pointer System (FICPS).
Consists of a computerized listing of individual names of organizations
which are the subject of active and inactive fraud investigations,
along with the name of the agency conducting the investigation. Data is
available to IG offices throughout the federal government to prevent
duplication of investigative activity. Active at FBI Headquarters.
30. FBI Wanted Persons Index. Consists of cards on persons being
sought on the basis of Federal warrants covering violations which fall
under the jurisdiction of the FBI. It is used as a ready reference to
identify those fugitives. Active at FBI Headquarters.
31. Foreign Counterintelligence (FCI). Consists of cards with
identity background data on all active and inactive operational and
informational assets in the foreign counterintelligence field. It is
used as a reference aid on the FCI Asset program. Active at FBI
Headquarters.
32. Fraud Against the Government Index. Consists of individuals who
have been the subject of a ``fraud against the
Government''investigation. It is used as an investigative aid. Active
in one Field Office.
33. Fugitive Bank Robbers File. Consists of fliers on bank robbery
fugitives filed sequentially in a control file. FBI Headquarters
distributes to the field offices fliers on bank robbers in a fugitive
status for 15 or more days to facilitate their location. Active at FBI
Headquarters and in 43 Field Offices.
34. General Security Index. Contains cards on all persons that have
been the subject of a security classification investigation by the FBI
field office. These cards are used for general reference purposes.
Active in one Field Office.
35. Hoodlum License Plate Index. Consists of cards with the license
plate numbers and descriptive data on known hoodlums and cars observed
in the vicinity of hoodlum homes. It is used for quick identification
of such person in the course of investigation. The one index which is
not fully retrievable is maintained by a resident agency. Active in
three Field Offices.
36. Identification Order Fugitive Flier File. Consists of fliers
numerically in a control file. When immediate leads have
[[Page 8680]]
been exhausted in fugitive investigations and a crime of considerable
public interest has been committed, the fliers are given wide
circulation among law enforcement agencies throughout the United States
and are posted in post offices. The fliers contain the fugitive's
photograph, fingerprints, and description. Active at FBI Headquarters
and in 49 Field Offices.
37. Informant Index. Consists of cards with the name, symbol
numbers, and brief background information on the following categories
of active and inactive informants, top echelon criminal informants,
security informants, criminal information, operational and
informational assets, extremist informants (discontinued), plant
informant--informants on and about certain military basis
(discontinued), and potential criminal informants. Active in 56 Field
Offices.
38. Informants in Other Field Offices, Index of. Consist of cards
with names and/or symbol numbers of informants in other FBI field
offices that are in a position to furnish information that would also
be included on the index card. Active in 15 Field Offices.
39. Interstate Transportation of Stolen Aircraft Photo Album.
Consists of photos and descriptive data on individuals who are suspects
known to have been involved in interstate transportation of stolen
aircraft. It is used as an investigative aid. Active in one Field
Office.
40. IRS Wanted List. Consists of one-page fliers from IRS on
individuals with background information who are wanted by IRS for tax
purposes. It is used in the identification of persons wanted by IRS.
Active in 11 Field Offices.
41. Kidnapping Book. Consists of data, filed chronologically, on
kidnappings that have occurred since the early fifties. The victims'
names and the suspects, if known, would be listed with a brief
description of the circumstances surrounding the kidnapping. The file
is used as a reference aid in matching up prior methods of operation in
unsolved kidnapping cases. Active at FBI Headquarters and inactive in
four Field Offices.
42. Known Check Passers Album. Consists of photos with descriptive
data of persons known to pass stolen, forged, or counterfeit checks. It
is used as an investigative aid. Active in four Field Offices.
43. Known Gambler Index. Consists of cards with names, descriptive
data, and sometimes photos of individuals who are known bookmakers and
gamblers. The index is used in organized crime and gambling
investigations. Subsequent to GAO's review, and at the recommendation
of the inspection team at one of the two field offices where the index
was destroyed and thus is not included in the total. Active in five
Field Offices.
44. La Cosa Nostra (LCN) Membership Index. Contains cards on
individuals having been identified as members of the LCN index. The
cards contain personal data and pictures. The index is used solely by
FBI agents for assistance in investigating organized crime matters.
Active at FBI Headquarters and 55 Field Offices.
45. Leased Line Letter Request Index. Contains cards on individuals
and organizations who are or have been the subject of a national
security electronic surveillance where a leased line letter was
necessary. It is used as an administrative and statistical aid. Active
at FBI Headquarters.
46. Mail Cover Index. Consists of cards containing a record of all
mail covers conducted on individuals and group since about January
1973. It is used for reference in preparing mail cover requests. Active
at FBIHQ.
47. Military Deserter Index. Consists of cards containing the names
of all military deserters where the various military branches have
requested FBI assistance in locating. It is used as an administrative
aid. Active at FBI Headquarters.
48. National Bank Robbery Album. Consists of fliers on bank robbery
suspects held sequentially in a control file. When an identifiable bank
camera photograph is available and the case has been under
investigation for 30 days without identifying the subject, FBIHQ sends
a flier to the field offices to help identify the subject. Active at
FBI Headquarters and in 42 Field Offices.
49. National Fraudulent Check File. Contains photographs of the
signature on stolen and counterfeit checks. It is filed alphabetically
but there is no way of knowing the names are real or fictitious. The
index is used to help solve stolen check cases by matching checks
obtained in such cases against the index to identify a possible
suspect. Active at FBI Headquarters.
50. National Security Electronic Surveillance Card File. Contains
cards recording electronic surveillances previously authorized by the
Attorney General and previously and currently authorized by the FISC;
current and previous assets in the foreign counterintelligence field;
and a historical, inactive section which contains cards believed to
record nonconsented physical entries in national security cases,
previously toll billings, mail covers and leased lines. The inactive
section also contains cards Attorney General approvals and denials for
warrantless electronic surveillance in the national security cases.
Inactive at FBI Headquarters.
51. Night Depository Trap Index. Contains cards with the names of
persons who have been involved in the theft of deposits made in bank
night depository boxes. Since these thefts have involved various
methods, the FBI uses the index to solve such cases by matching up
similar methods to identify possible suspects. Active at FBI
Headquarters.
52. Organized Crime Photo Album. Consists of photos and background
information on individuals involved in organized crime activities. The
index is used as a ready reference in identifying organized crime
figures within the field offices' jurisdiction. Active in 13 Field
Offices.
53. Photospread Identification Elimination File. Consists of photos
of individuals who have been subjects and suspects in FBI
investigations. It also includes photos received from other law
enforcement agencies. These pictures can be used to show witnesses of
certain crimes. Active in 14 Field Offices.
54. Prostitute Photo Album. Consists of photos with background data
on prostitutes who have prior local or Federal arrests for
prostitution. It is used to identify prostitutes in connection with
investigations under the White Slave Traffic Act. Active in four Field
Offices.
55. Royal Canadian Mounted Policy (RCMP) Wanted Circular File.
Consists of a control file of individuals with background information
of persons wanted by the RCMP. It is used to notify the RCMP if an
individual is located. Active in 17 Field Offices.
56. Security Informant Index. Consists of cards containing identity
and brief background information on all active and inactive informants
furnishing information in the criminal area. Active at FBI
Headquarters.
57. Security Subjects Control Index. Consists of cards containing
the names and case file numbers of individuals who have been subject to
security investigations check. It is used as a reference source. Active
in one Field Office.
58. Security Telephone Number Index. Contains cards with telephone
subscriber information subpoenaed from the telephone company in any
security investigation. It is maintained numerically by the last three
digits in the telephone number. It is used for general reference
purposes in security
[[Page 8681]]
investigations. Active in one Field Office.
59. Selective Service Violators Index. Contains cards on
individuals being sought on the basis of Federal warrants for violation
of the Selective Service Act. Active at FBI Headquarters.
60. Sources of Information Index. Consists of cards on individuals
and organizations such as banks, motels, local government that are
willing to furnish information to the FBI with sufficient frequency to
justify listing for the benefit of all agents. It is maintained to
facilitate the use of such sources. Active in 10 Field Offices.
61. Special Services Index. Contains cards of prominent individuals
who are in a position to furnish assistance in connection with FBI
investigative responsibility. Active in 28 Field Offices.
62. Stolen Checks and Fraud by Wire Index. Consists of cards on
individuals involved in check and fraud by wire violations. It is used
as an investigative aid. Active in one Field Office.
63. Stop Notices Index. Consists of cards on names of subjects or
property where the field office has placed a stop at another law
enforcement agency or private business such as pawn shops in the event
information comes to the attention of that agency concerning the
subject or property. This is filed numerically by investigative
classification. It is used to insure that the agency where the stop is
placed is notified when the subject is apprehended or the property is
located or recovered. Active in 43 Field Offices.
64. Surveillance Locator Index. Consists of cards with basic data
on individuals and businesses which have come under physical
surveillance in the city in which the field office is located. It is
used for general reference purposes in antiracketeering investigations.
Active in two Field Offices.
65. Telephone Number Index--Gamblers. Contains information on
persons identified usually as a result of a subpoena for the names of
subscribers to particular telephone numbers or toll records for a
particular phone number of area gamblers and bookmakers. The index
cards are filed by the last three digits of the telephone number. The
index is used in gambling investigations. Active in two Field Offices.
66. Telephone Subscriber and Toll Records Check Index. Contains
cards with information on persons identified as the result of a formal
request or subpoena to the phone company for the identity of
subscribers to particular telephone numbers. The index cards are filed
by telephone number and would also include identity of the subscriber,
billing party's identity, subscriber's address, date of request from
the telephone company, and file number. Active in one Field Office.
67. Thieves, Couriers and Fences Photo Index. Consists of photos
and background information on individuals who are or are suspected of
being thieves, couriers, or fences based on their past activity in the
area of interstate transportation of stolen property. It is used as an
investigative aid. Active in four Field Offices.
68. Toll Record Request Index. Contains cards on individuals and
organizations on whom toll records have been obtained in national
security related cases and with respect to which FBIHQ had to prepare a
request letter. It is used primarily to facilitate the handling of
repeat requests on individuals listed. Active at FBIHQ.
69. Top Burglar Album. Consists of photos and background data of
known and suspect top burglars involved in the area of interstate
transportation of stolen property. It is used as an investigative aid.
Active in four Field Offices.
70. Top Echelon Criminal Informer Program (TECIP) Index. Consists
of cards containing identity and brief background information on
individuals who are either furnishing high level information in the
organized crime area or are under development to furnish such
information. The index is used primarily to evaluate, corroborate, and
coordinate informant information and to develop prosecutive data
against racket figures under Federal, State, and local statutes. Active
at FBI Headquarters.
71. Top Ten Program File. Consists of fliers, filed numerically in
a control file, on fugitives considered by the FBI to be 1 of the 10
most wanted. Including a fugitive of the top 10 usually assures a
greater national news coverage as well as nation-wide circulation of
the flier. Active at FBI Headquarters and in 44 Field Offices.
72. Top Thief Program Index. Consists of cards of individuals who
are professional burglars, robbers, or fences dealing in items likely
to be passed in interstate commerce or who travel interstate to commit
the crime. Usually photographs and background information would also be
obtained on the index card. The index is used as an investigative aid.
Active in 27 Field Offices.
73. Truck Hijack Photo Album. Contains photos and descriptive data
of individuals who are suspected truck hijackers. It is used as an
investigative aid and for displaying photos to witnesses and/or victims
to identify unknown subjects in hijacking cases. Active in four Field
Offices.
74. Truck Thief Suspect Photo Album. Consists of photos and
background data on individuals previously arrested or are currently
suspects regarding vehicle theft. The index is used as an investigative
aid. Active in one Field Office.
75. Traveling Criminal Photo Album. Consists of photos with
identifying data of individuals convicted of various criminal offenses
and may be suspects in other offenses. It is used as an investigative
aid. Active in one Field Office.
76. Veterans Administrative (VA)/Federal Housing Administration
(FHA) Matters Index. Consists of cards of individuals who have been
subject of an investigation relative to VA and FHA matters. It is used
as an investigative aid. Active in one Field Office.
77. Wanted Fliers File. Consists of fliers, filed numerically in a
control file, on badly wanted fugitives whose apprehension may be
facilitated by a flier. The flier contains the names, photographs,
aliases, previous convictions, and a caution notice. Active at FBI
Headquarters and in 46 Field Offices.
78. Wheeldex. Contains the nicknames and the case file numbers of
organized crime members. It is used in organized crime investigations.
Active in one Field Office.
79. White House Special Index. Contains cards on all potential
White House appointees, staff members, guests, and visitors that have
been referred to the FBI by the White House security office for a
records check to identify any adverse or derogatory information. This
index is used to expedite such check in view of the tight timeframe
usually required. Active at FBI Headquarters.
80. Witness Protection Program Index. Contains cards on individuals
who have been furnished a new identity by the U.S. Justice Department
because of their testimony in organized crime trials. It is used
primarily to notify the U.S. Marshals Service when information related
to the safety of a protected witness comes to the FBI's attention.
Active at FBI Headquarters.
Authority for maintenance of the system:
Federal Records Act of 1950, Title 44, United States Code, chapter
31, section 3101; and title 36, Code of Federal Regulations, chapter
XII, require Federal agencies to insure that adequate and proper
records are made and preserved to document the organization, functions,
policies, decisions, procedures and transactions and to protect the
legal and
[[Page 8682]]
financial rights of the Federal Government, title 28, United States
Code, section 534, delegates authority to the Attorney General to
acquire, collect, classify, and preserve identification, criminal
identification, crime and other records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records, both investigative and administrative, are maintained in
this system in order to permit the FBI to function efficiently as an
authorized, responsive component of the Department of Justice.
Therefore, information in this system is disclosed to officials and
employees of the Department of Justice, and/or all components thereof,
who have need of the information in the performance of their official
duties.
Personal information from this system may be disclosed as a routine
use to any Federal agency where the purpose in making the disclosure is
compatible with the law enforcement purpose for which it was collected,
e.g., to assist the recipient agency in conducting a lawful criminal or
intelligence investigation, to assist the recipient agency in making a
determination concerning an individual's suitability for employment
and/or trustworthiness for employment and/or trustworthiness for access
clearance purposes, or to assist the recipient agency in the
performance of any authorized function where access to records in this
system is declared by the recipient agency to be relevant to that
function.
In addition, personal information may be disclosed from this system
to members of the Judicial Branch of the Federal Government in response
to a specific request, or at the initiation of the FBI, where
disclosure appears relevant to the authorized function of the recipient
judicial office or court system. An example would be where an
individual is being considered for employment by a Federal judge.
Information in this system may be disclosed as a routine use to any
state or local government agency directly engaged in the criminal
justice process, e.g., police, prosecution, penal, probation and
parole, and the judiciary, where access is directly related to a law
enforcement function of the recipient agency, e.g., in connection with
a lawful criminal or intelligence investigation, or making a
determination concerning an individual's suitability for employment as
a state or local law enforcement employee or concerning a victim's
compensation under a state statute. Disclosure to a state or local
government agency, (a) not directly engaged in the criminal justice
process or (b) for a licensing or regulatory function, is considered on
an individual basis only under exceptional circumstances, as determined
by the FBI.
Information in this system pertaining to the use, abuse or traffic
of controlled substances may be disclosed as a routine use to federal,
state or local law enforcement agencies and to licensing or regulatory
agencies empowered to engage in the institution and prosecution of
cases before courts and licensing boards in matters relating to
controlled substances, including courts and licensing boards
responsible for the licensing or certification of individuals in the
fields of pharmacy and medicine.
In any health care-related civil or criminal case, investigation,
or matter, information indicating patient harm, neglect, or abuse, or
poor or inadequate quality of care, at a health care facility or by a
health care provider, may be disclosed as a routine use to any Federal,
State, local, tribal, foreign, joint, international, or private entity
that is responsible for regulating, licensing, registering, or
accrediting any health care provider or health care facility, or
enforcing any health care-related laws or regulations. Further,
information indicating an ongoing quality of care problem by a health
care provider or at a health care facility may be disclosed to the
appropriate health plan. Additionally, unless otherwise prohibited by
applicable law, information indicating patient harm, neglect, abuse, or
poor or inadequate quality of care may be disclosed to the affected
patient or his or her representative or guardian at the discretion of
and in the manner determined by the agency in possession of the
information. Information in this system may be disclosed as a routine
use in a proceeding before a court of adjudicative body, e.g., the
Equal Employment Opportunity Commission and the Merit Systems
Protection Board, before which the FBI is authorized to appear, when
(a) the FBI or any employee thereof in his or her official capacity, or
(b) any employee in his or her individual capacity where the Department
of Justice has agreed to represent the employee, or (c) the United
States, where the FBI determines it is likely to be affected by the
litigation, is a party to litigation or has an interest in litigation
and such records are determined by the FBI to be relevant to the
litigation.
Information in this system may be disclosed as a routine use to an
organization or individual in both the public or private sector if
deemed necessary to elicit information or cooperation from the
recipient for use by the FBI in the performance of an authorized
activity. An example would be where the activities of an individual are
disclosed to a member of the public in order to elicit his/her
assistance in our apprehension or detection efforts.
Information in this system may be disclosed as a routine use to an
organization or individual in both the public or private sector where
there is reason to believe the recipient is or could become the target
of a particular criminal activity or conspiracy, to the extent the
information is relevant to the protection of life or property.
Information in this system may be disclosed to legitimate agency of
a foreign government where the FBI determines that the information is
relevant to that agency's responsibilities, and dissemination serves
the best interests of the U.S. Government, and where the purpose in
making the disclosure is compatible with the purpose for which the
information was collected.
Relevant information may be disclosed from this system to the news
media and general public where there exists a legitimate public
interest, e.g., to assist in the location of Federal fugitives, to
provide notification of arrests, and where necessary for protection
from imminent threat of life or property. This would include releases
of information in accordance with 28 CFR 50.2.
A record relating to an actual or potential civil or criminal
violation of the copyright statute, Title 17, United States Code, or
the trademark statutes. Titles 15 and 17, U.S. Code, may be
disseminated to a person injured by such violation to assist him/her in
the institution or maintenance of a suit brought under such titles. The
FBI has received inquiries from private citizens and Congressional
offices on behalf of constituents seeking assistance in locating
individuals such as missing children and heirs to estates. Where the
need is acute, and where it appears FBI files may be the only lead in
locating the individual, consideration will be given to furnishing
relevant information to the requester. Information will be provided
only in those instances where there are reasonable grounds to conclude
from available information the individual being sought would want the
information to be furnished, e.g., an heir to a large estate.
Information with regard to missing children will not be provided where
they have reached their majority.
Information contained in this system, may be made available to a
Member of Congress or staff acting upon the
[[Page 8683]]
member's behalf when the member of staff requests the information in
behalf of and at the request of the individual who is the subject of
the record.
A record from this system of records may be disclosed as a routine
use to the National Archives and Records Administration and General
Services Administration in records management inspections conducted
under the authority of 44 U.S.C. 2904 and 2906, to the extent that
legislation governing the records permits.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The active main files are maintained in hard copy form and some
inactive records are maintained on microfilm. Investigative information
which is maintained in computerized form may be stored in memory, on
disk storage, on computer tape, or on a computer printed listing.
Retrievability:
The FBI General Index must be searched to determine what
information, if any, the FBI may have in its files. Index records, or
pointers to specific FBI files, are created on all manner of subject
matters, but the predominant type record is the name index record. It
should be noted the FBI does not index all individuals who furnish
information or all names developed during the course of an
investigation. Only that information considered pertinent, relevant, or
essential for future retrieval, is indexed. In certain major cases,
individuals interviewed may be indexed to facilitate the administration
of the investigation. The FBI has automated that portion of its index
containing the most recent information--15 years for criminal related
matters and 30 years for intelligence and other type matters.
Automation will not change the ``Central Records System''; it will
only facilitate more economic and expeditious access to the main files.
Searches against the automated records are accomplished on a ``batch
off-line'' basis for certain submitting agencies where the name search
requests conform to FBI specified formats and also in an ``on-line''
mode with the use of video display terminals for other requests. The
FBI will not permit any organization, public or private, outside the
FBI to have direct access to the FBI indices system. All searches
against the indices data base will be performed on site within FBI
space by FBI personnel with the assistance of the automated procedures,
where feasible. Automation of the various FBI field office indices was
completed in 1989. This automation initiative has been on a ``day-one''
basis. This indices system points to specific files within a given
field office. Additionally, certain complicated investigative matters
may be supported by specialized computer systems or by individual
microcomputers. Indices created in these environments are maintained as
part of the particular computer system and accessible only through the
system or through printed listings of the indices. Full text retrieval
is used in a limited number of cases as an investigative technique. It
is not part of the normal search process and is not used as a
substitute for the General Index or computer indices mentioned above.
The FBI will transfer historical records to the National Archives
consistent with 44 U.S.C. 2103. No record of individuals or subject
matter will be retained for transferred files; however, a record of the
file numbers will be retained to provide full accountability of FBI
files and thus preserve the integrity of the filing system.
Safeguards:
Records are maintained in a restricted area and are accessed only
by agency personnel. All FBI employees receive a complete background
investigation prior to being hired. All employees are cautioned about
divulging confidential information or any information contained in FBI
files. Failure to abide by this provision violates Department of
Justice regulations and may violate certain statutes providing maximum
severe penalties of a ten thousand dollar fine or 10 years imprisonment
or both. Employees who resign or retire are also cautioned about
divulging information acquired in the jobs. Registered mail is used to
transmit routine hard copy records between field offices. Highly
classified records are hand carried by Special Agents or personnel of
the Armed Forces Courier Service. Highly classified or sensitive
privacy information, which is electronically transmitted between field
offices, is transmitted in encrypted form to prevent interception and
interpretation. Information transmitted in teletype form is placed in
the main files of both the receiving and transmitting field offices.
Field offices involved in certain complicated investigative matters may
be provided with on-line access to the duplicative computerized
information which is maintained for them on disk storage in the FBI
Computer Center in Washington, DC, and this computerized data is also
transmitted in encrypted form.
Retention and disposal:
As the result of an extensive review of FBI records conducted by
NARA, records evaluated as historical and permanent will be transferred
to the National Archives after established retention periods and
administrative needs of the FBI have elapsed. As deemed necessary,
certain records may be subject to restricted examination and usage, as
provided by 44 U.S.C. section 2104.
FBI record disposition programs relevant to this System are
conducted in accordance with the FBI Records Retention Plan and
Disposition Schedule which was approved by the Archivist of the United
States and the U.S. District Court, District of Columbia.
Investigative, applicant and administrative records which meet the
destruction criteria will be destroyed after 20 or 30 years at FBI
Headquarters and after 1, 5, 10 or 20 years in FBI Field Offices.
Historical records will be transferred to the National Archives after
30 or 50 years, contingent upon investigative and administrative needs.
The administrative indices and listings described within this System
were appraised separately and disposition authority established. (Job
No. NC1-65-82-4 and amendments)
System manager(s) and address:
Director, Federal Bureau of Investigation, Washington, DC 20535.
Notification procedure:
Same as above.
Record access procedures:
A request for access to a record from the system shall be made in
writing with the envelope and the letter clearly marked ``Privacy
Access Request''. Include in the request your full name, complete
address, date of birth, place of birth, notarized signature, and other
identifying data you may wish to furnish to assist in making a proper
search of our records. Also include the general subject matter of the
document of its file number. The requester will also provide a return
address for transmitting the information. Requests for access to
information maintained at FBI Headquarters must be addressed to the
Director, Federal Bureau of Investigation, Washington, DC 20535.
Requests for information maintained at FBI field divisions or Legal
Attaches must be made separately and addressed to the specific field
division or Legal Attache listed in the appendix to this system notice.
[[Page 8684]]
Contesting record procedures:
Individuals desiring to contest or amend information maintained in
the system should also direct their request to the Director, Federal
Bureau of Investigation, Washington, DC 20535, stating clearly and
concisely what information is being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Record source categories:
The FBI, by the very nature and requirement to investigate
violations of law within its investigative jurisdiction and its
responsibility for the internal security of the United States, collects
information from a wide variety of sources. Basically, it is the result
of investigative efforts and information furnished by other Government
agencies, law enforcement agencies, and the general public, informants,
witnesses, and public source material.
Systems exempted from certain provisions of the act:
The Attorney General has exempted this system from subsections
(c)(3), (d), (e) (1), (2) and (3), (e)(4) (G) and (H), (e)(8) (f), (g),
of the Privacy Act pursuant to 5 U.S.C. 552a (j) and (k). Rules have
been promulgated in accordance with the requirements of 5 U.S.C. 553
(b), (c) and (e).
Appendix of Field Divisions and Legal Attaches for the Federal Bureau
of Investigation Field Divisions; Justice/FBI-999
5th Floor, 445 Broadway, Albany, NY 12201.
POB 25186, Albuquerque, NM 87125.
POB 100560, Anchorage, AK 99510.
POB 1683, Atlanta, GA 30370.
7142 Ambassador Road, Baltimore, MD 21207.
2122 Building, Birmingham, AL 35203.
One Center Plaza, Suite 600, Boston, MA 02108.
111 West Huron Street, Buffalo, NY 14202.
6010 Kenley Lane, Charlotte, NC 28217.
219 S. Dearborn St., Chicago, IL 60604.
POB 1277, Cincinnati, OH 45201.
1240 E. 9th St., Cleveland, OH 44199.
POB 137, Columbia, SC 29202.
1801 W. Lamar, Dallas, TX 75202.
POB 1229, Denver, CO 80201.
POB 2118, Detroit, MI 48231.
700 E. San Antonio Ave., El Paso, TX 79901.
POB 50164, Honolulu, HI 96850.
POB 61369, Houston, TX 77208.
POB 1186, Indianapolis, IN 45206.
100 W. Capitol St., Jackson, MS 39269.
POB 8928, Jacksonville, FL 32239.
POB 2449, Kansas City, MO 64142.
POB 10368, Knoxville, TN 37919.
POB 16032, Las Vegas, NV 89101.
POB 21470, Little Rock, AR 72221-1470.
11000 Wilshire Blvd., Los Angeles, CA 90024.
POB 2467, Louisville, KY 40201.
167 N. Main St., Memphis, TN 38103.
POB 592418, Miami, FL 33159.
POB 2058, Milwaukee, WI 53201.
111 Washington Ave. South S-1100, Minneapolis, MN 55401.
POB 2128, Mobile, AL 36652.
POB 1158, Newark, NJ 07101.
POB 2058, New Haven, CT 06521.
POB 51930, New Orleans, LA 70151.
POB 1425, New York, NY 10008.
POB 3828, Norfolk, VA 23514.
POB 54511, Oklahoma City, OK 73154.
POB 548, Omaha, NE 68101.
600 Arch St., Philadelphia, PA 19106.
201 E. Indianola, Phoenix, AZ 85012.
POB 1315, Pittsburgh, PA 15230.
POB 709, Portland, OR 97207.
POB 12325, Richmond, VA 23241.
POB 13130, Sacramento, CA 95813.
POB 7251, St. Louis, MO 63177.
125 S. State St., Salt Lake City, UT 84138.
POB 1630, San Antonio, TX 78296.
880 Front St., San Diego, CA 92188.
POB 36015, San Francisco, CA 94102.
POB BT, San Juan, PR 00936.
915 2nd Ave., Seattle, WA 98174.
POB 3646, Springfield, IL 62708.
POB 172177, Tampa, FL 33602.
Washington Field Office, Washington, DC 20535.
Federal Bureau of Investigation Academy, Quantico, VA 22135.
Legal Attaches: (Send c/o the American Embassy for the Cities
indicated).
Athens, Greece (PSC 108, Box 45, APO AE 09842) Bangkok, Thailand
(Box 67, APO AP 96546).
Bern, Switzerland.
Bogota, Columbia (APO, Miami 34038).
Bonn, Germany (Box 310, APO, New York 09080).
Bridgetown, Barbados (Box B, FPO, Miami 34054).
Brussels, Belgium (APO, New York 09667).
Canberra, Australia (APO, San Francisco 96404-0001).
Caracas, Venezuela (Unit 4966, APO AA 34037).
Hong Kong, B.C.C. (FPO, San Francisco 96659-0002).
London, England (Box 2, FPO, New York 09509).
Madrid, Spain (PSC 61, Box 0001, APO AE 09642).
Manila, Philippines (APO, San Francisco 96528).
Mexico City, Mexico (POB 3087, Laredo, TX 78044-3087).
Montevideo, Uruguay (APO, Miami 34035).
Ottawa, Canada.
Panama City, Panama (Box E, APO, Miami 34002).
Paris, France (APO, New York 09777).
Rome, Italy (APO, New York 09794).
Tokyo, Japan (APO, San Francisco 96503).
Vienna, Austria (Unit 27937, Box 37, APO AE 09222).
JUSTICE/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
[[Page 8685]]
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.
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
[[Page 8686]]
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.
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.
[[Page 8687]]
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.
[FR Doc. 98-4206 Filed 2-19-98; 8:45 am]
BILLING CODE 4410-01-P
