[Federal Register Volume 64, Number 215 (Monday, November 8, 1999)]
[Notices]
[Pages 60832-60849]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-28631]
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DEPARTMENT OF JUSTICE
[AAG/A Order No. 177-99]
Privacy Act of 1974; System of Records
AGENCY: Department of Justice.
ACTION: Notice of Modified Systems of Records.
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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974 (5
U.S.C. 552a), the United States Marshals Service (USMS), Department of
Justice, is issuing public notice of its proposal to modify its systems
of records. This notice publishes updates to those systems of records,
last published in the Federal Register on October 13, 1989 (54 FR
42100), except as otherwise set forth below under the caption
SUPPLEMENTARY INFORMATION. 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 routine
uses. The Office of Management and Budget (OMB), which has oversight
responsibility under the Act, requires a 40-day period in which to
review the systems modifications. The public, OMB and Congress are
invited to comment on the modifications to these systems.
DATES: The proposed changes will be effective December 20, 1999, unless
comments are received that result in a contrary determination.
ADDRESSES: Submit written comments to the Department of Justice (DOJ),
ATTN: Mary E. Cahill, Management and Planning Staff, Justice Management
Division, Washington, DC 20530 (Room 1400, NPB).
FOR FURTHER INFORMATION CONTACT: Mary E. Cahill at (202) 307-1823.
SUPPLEMENTARY INFORMATION: Modifications to the USMS systems of records
include changes to correct the office designations for systems
locations and titles of systems managers, to reflect nomenclature
changes, to more accurately describe the systems purposes, categories
of records and safeguards, to revise sections on notification and
access procedures, to clarity existing routine uses, to add routine
uses, to update the retention and disposal section, to add data
elements omitted from previous notices, and to further exempt one
system from certain provisions of the Privacy Act. Specific changes for
each USMS system of records notice are set forth below:
USMS Badge & Credentials File, Justice/USM-001: To correct the
office designation for system location, title of system manager and
personnel with authorized access; to add data elements omitted from
previous notice; to clarify an existing routine use; to add a new
routine use for disclosure to student volunteers and other non-federal
workers when they perform work for USMS as authorized and they need
access to personally identifiable information in USMS records in order
to perform their assigned USMS functions, and to correct the
notification procedure.
USMS Internal Affairs System, Justice/USM-002: To rename the
system; to correct the office designation for system location and title
of system manager; to add data elements omitted from previous notice;
to more accurately described categories of records, storage, and
safeguards; to update retention and disposal section; to correct the
notification procedure; to clarify an existing routine use; and to add
four new routine uses for disclosure to complainants of alleged civil
rights violations or to victims of such violations, for disclosure to
other Federal agencies in connection with decisions on employment,
licensing or contract issues, for disclosures to obtain cooperation in
USMS investigations of alleged misconduct, and for disclosure to
student volunteers and other non-federal workers when they perform work
for USMS as authorized and they need access to personally identifiable
information in USMS records in order to perform their assigned USMS
functions. Also, a proposed rule to further exempt this system from
subsections (e)(1) and (e)(5) of the Privacy Act can be found in the
Proposed Rules Section of today's Federal Register. The Office of the
Federal Register shall remove from DOJ's compilation of Privacy Act
issuances the system of records entitled ``Internal Inspection System,
Justice/USM-002,'' and add of DOJ's compilation the modified system of
records entitled ``Internal Affairs System, Justice/USM-002.''
Special Deputation Files, Justice/USM-004: To rename the system; to
correct the office designation for system location and title of system
manager; to add data elements omitted from previous notice; to expand
categories of individuals; to more accurately describe categories of
records, storage, and safeguards; to update retention and disposal
section; to correct the notification and records access procedures; and
to add a new routine use for disclosure to student volunteers and other
non-federal workers when they perform work for USMS as authorized and
they need access to personally identifiable information in USMS records
in order to perform their assigned USMS functions. The Office of the
Federal Register shall remove from DOJ's compilation of Privacy Act
issuances the system of records entitled ``Special Deputy File,
Justice/USM-004,'' and add to DOJ's compilation the modified system of
records entitled ``Special Deputation Files, Justice/USM-004.''
USMS Prisoner Processing and Population Management/Prisoner
Tracking System (PPM/PTS), Justice/USM-005, last published in the
Federal Register on February 3, 1992 (57 FR 4059): This system has been
revised to rename the system; to correct the office designation for
system location and title of system manager; to identify the location
of decentralized segments of the system at USMS district offices; to
add data elements omitted for previous notice; to expand the
description of medical records in the system; to clarify the purpose of
medical records; to correct the notification procedure; and to add two
new routine uses. The Office of the Federal Register shall remove from
DOJ's compilation of Privacy Act issuances the system of records
entitled ``U.S. Marshals Service Prisoner Processing and Population
Management System, Justice/USM-005,'' and add to DOJ's compilation the
modified system of records entitled ``U.S. Marshals Service Prisoner
Processing and Population Management/Prisoner Tracking System (PPM/
PTS), Justice/USM-005 .''
USMS Training Files, Justice/USM-006, last published on October 13,
1989
[[Page 60833]]
(54 FR 42103): To correct the office designation for system location
and title of system manager; to add data elements omitted from the
previous notice; to correct the notification procedure; to clarify an
existing routine use; and to add to new routine uses for disclosure to
student volunteers and other non-federal workers when they perform work
for USMS as authorized and they need access to personally identifiable
information in USMS records in order to perform their assigned USMS
functions, and for disclosure to other Federal agencies in connection
with decisions on employment, retention, licensing or contract issues.
Warrant Information Network (WIN), Justice/USM-007: This system has
been revised to rename the system; to correct the office designation
for system location and title of system manager; to add data elements
omitted from previous notice; to expand the categories of individuals
covered by and records in this system; to correct the notification
procedure; to more accurately describe retrievability and safeguards;
and to update retention and disposal section. The Office of the Federal
Register shall remove from DOJ's compilation of Privacy Act issuances
the system of records entitled ``Warrant Information System, Justice/
USM-007,'' and add to DOJ's compilation the modified system of records
entitled ``Warrant Information Network (WIN), Justice/USM-007.''
Witness Security Files Information System, Justice/USM-008: To
correct the office designation for system location and title of system
manager; to correct authority cited for maintenance of the system; to
add data elements omitted from the previous notice; to more accurately
describe storage, retrievability and safeguards; to update retention
and disposal section; and to clarify record sources.
Inappropriate Communications/Threat Information System (IC/TIS),
Justice/USM-009: This system has been revised to rename the system; to
correct the office designation for system location and title of system
manager; to identify the location of decentralized segments at USMS
district offices; to add data elements omitted from previous notice; to
expand the categories of individuals, records and the purpose of this
system; to correct the notification procedure; to more accurately
describe storage and safeguards; and to clarify an existing routine
use. The office of the Federal Register shall remove from DOJ's
compilation of Privacy Act issuances the system of records entitled
``Threat Analysis System, Justice/USM-009,'' and add to DOJ's
compilation the modified system of records entitled ``Inappropriate
Communications/Threat Information System (IC/TIS), Justice/USM-009.''
Judicial Facility Security Index System, Justice/USM-010: To
correct the office designation for system location and title of system
manager; to correct authority cited for maintenance of the system; to
add data elements omitted from the previous notice; to clarify an
existing routine use; and to correct notification procedure.
Judicial Protection Information System, Justice/USM-011: To correct
the office designation for system location and title of system manager;
to correct authority cited for maintenance of the system; to add data
elements omitted from the previous notice; to clarify an existing
routine use; and to correct the notification procedure.
Freedom of Information Act/Privacy Act (FOIA/PA) Files, Justice/
USM-012: To correct the office nomenclature for system location and
title of system manager; to expand the categories of individuals in
this system; to add data elements omitted from the previous notice; to
more accurately describe storage, retrievability and safeguards; to
correct the notification procedures; to clarify an existing routine
use; and to add a new routine use for disclosure to student volunteers
and other non-federal workers when they perform work for USMS as
authorized and they need access to personally identifiable information
in USMS records in order to perform their assigned USMS functions.
Administrative Proceedings, Claims, and Civil Litigation Files,
Justice/USM-013: To correct the office nomenclature for system location
and title of system manager; to expand the categories of individuals in
this system; to add data elements omitted from the previous notice; to
more accurately describe storage, retrievability and safeguards; to
update retention and disposal section; to correct notification
procedures; to correct or clarify two existing routine uses; and to add
a new routine use for disclosure to student volunteers and other non-
federal workers when they perform work for USMS as authorized and they
need access to personally identifiable information in USMS records in
order to perform their assigned USMS functions.
U.S. Marshals Service (USMS) Employee Assistance Program (EAP)
Records, Justice/USM-015, last published in the Federal Register on May
2, 1994 (59 FR 22684): To correct the office designations for system
location and title of system manager; to change the nomenclature for
the location of certain records contained in the system; to expand the
categories of records and identify the location of certain duplicate
records; to add data elements omitted from the previous notice; and to
make other minor changes for greater clarity.
USMS Key Control Record System, Justice/USM-016, last published in
the Federal Register on February 23, 1994 (59 FR 8660): To correct the
office designation for system location and title of system manager; to
add data elements omitted from the previous notice; to add a new
routine use for disclosure to student volunteers and other non-federal
workers when they perform work for USMS as authorized and they need
access to personally identifiable information in USS records in order
to perform their assigned USMS functions; and to correct the
notification procedure.
In accordance with 5 U.S.C. 552a(r), the Department has provided a
report on the modified systems to OMB and the Congress. Descriptions of
these systems are required below.
Dated October 22, 1999.
Janis A. Sposato,
Acting Assistant Attorney General for Administration.
JUSTICE/USM-001
System name:
U.S. Marshals Service Badge & Credentials File.
Security classification:
Limited official use.
System location:
Human Resources Division, United States Marshals Service, 600 Army
Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
U.S. Marshals Service (USMS) personnel.
Categories of records in the system:
Personnel data system established to control issuance of badges and
credentials to USMS personnel which contains photographs of all
employees and hand receipts showing the employee's name, title, duty
location, badge and credential numbers, and date of issuance.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
The Badge & Credentials File system assists in controlling the
issuance of badges and credentials to USMS personnel which are used for
[[Page 60834]]
identification purposes in the performance of official duties.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
This file serves as a record of issuance of credentials.
Information from this file may be disclosed:
(a) To the appropriate law enforcement agency, e.g., FBI, Secret
Service, State, county and municipal police responsible for
investigating, prosecuting, enforcing, defending, or implementing a
statute, rule, regulation, or order, to the extent that the information
is relevant to the recipient's functions or where there is an
indication of an actual or potential violation of civil or criminal
law, statute, rule, regulation, or order within the jurisdiction of the
recipient agency;
(b) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation or has an interest in litigation and such records
are determined by the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions;
(c) To student volunteers and other workers, who technically do not
have the status of federal employees, when they are performing work for
the USMS as authorized by law, and they need access to personally
identifiable information in USMS records in order to perform their
assigned agency functions;
(d) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy;
(e) To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff requests the information on behalf of
and at the request of the individual who is the subject of the record;
(f) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
STORAGE:
Records are kept in standard folders.
RETRIEVABILITY:
Indexed by name of individual and numerical order of badges and
credentials.
Safeguards:
Access restricted to personnel of the Background and Suitability
Team, Human Resources Division. Records are maintained in metal filing
cabinets which are locked during non-duty hours.
RETENTION AND DISPOSAL:
Records are kept for duration of employee's tenure in the service.
SYSTEM MANAger(s) and address:
Assistant Director, Human Resources Division, USMS, 600 Army Navy
Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
A request for access to a record from this system shall be made in
writing with the envelope and the letter clearly marked ``privacy Act
Request.'' It should clearly indicate the name of requester, the nature
of the record sought and the approximate dates covered by the record.
The requester shall also provide the required verification of identity
(28 CFR 16.41(d)) and provide a return address for transmitting the
information. Access requests will be directed to the System Manager
listed above, Attention: FOI/PA Officer.
Contesting record procedures:
Individuals desiring to contest or amend information maintained in
the system should direct their request to the System Manager listed
above, stating clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment to
the information sought.
Record source categories:
Record of Notification of Employment by U.S. Marshals Service,
Human Resources Division.
Exemptions claimed for the system:
None.
JUSTICE/USM-002
System name:
Internal Affairs System.
Security classification:
Limited Official Use.
System location:
United States Marshals Service (USMS), Executive Services Division,
600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
USMS employees.
Categories of records in the system:
The Internal Affairs System contains statements of the investigator
and witnesses interviewed, exhibits and reports of investigations
prepared by the Office of Internal Affairs, USMS, on findings of
alleged misconduct of USMS employees, and records on the disposition of
the investigation.
Authority for maintenance of the system:
28 U.S.C. 509, and 510; 5 U.S.C. 301; 44 U.S.C. 3101; and 28 CFR
0.111(n).
Purpose(s):
The Internal Affairs system is maintained in order to carry out the
responsibility of investigating allegations of improper conduct on the
part of USMS employees, and to support adverse personnel actions and
proceedings which may result based on the findings of the
investigation.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records or information may be disclosed:
(a) To complainants of alleged civil rights violations and/or
victims of civil rights violations to the extent necessary to provide
such persons with information and explanations concerning the progress
and/or results of the civil rights investigation, and discipline
imposed in substantiated cases.
(b) To the extent that investigations reveal actual or potential
violations of criminal or civil laws, to the appropriate Federal, State
or local law enforcement agencies for further investigations, or to the
appropriate agency responsible for investigating, prosecuting,
enforcing, defending, or implementing a statute, rule, regulation or
order, to the extent the information is relevant to the recipient's
function.
(c) To public and private organizations, individuals, and Federal,
State, local, and foreign agencies to the extent necessary to obtain
information
[[Page 60835]]
or cooperation in investigations of alleged misconduct by USMS
employees.
(d) To students volunteers or other workers, who technically do not
have the status of Federal employees, when they are performing work for
the USMS as authorized by law and they need access to personally
identifiable information in USMS records in order to perform their
assigned USMS functions.
(e) To a Federal agency, in response to its request, in connection
with the hiring or retention of an employee, the issuance of a security
clearance, the conducting of a security or suitability investigation of
an individual, the classifying of jobs, the letting of a contract or
the issuance of grant, license or other benefit by the requesting
agency, to the extent the information is relevant and necessary to the
requesting agency's decision on the matter.
(f) In a proceeding before a Court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation or has an interest in litigation and such records
are determined by the USMS to be arguably relevant to the litigation;
the USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity, where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
(g) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
(h) To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff requests the information on behalf of
and at the request of the individual who is the subject of the record.
(i) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Originals stored in standard file folders. Duplicate copies are
maintained on compact discs.
Retrievability:
Information is retrieved by name of employee and case file number.
Safeguards:
Records are stored in locked safe. Access to automated records is
protected by user identification and passwords.
Retention and disposal:
Records are transferred to the Washington National Records Center
three years after close of case or investigation, and destroyed 10
years after close of case or investigation.
System manager(s) and address:
Chief, Office of Internal Affairs, Executive Services Division,
U.S. Marshals Services, 600 Army Navy Drive, Arlington, Virginia 22202-
4210.
Notification procedure:
Same as the ``Records access procedures.''
Record access procedures:
To the extent that this system is not subject to exemption, it is
subject to access and contest. A determination as to exemption shall be
made at the time a request for access is received. A request for access
to a record from this system shall be made in writing, with the
envelope and the letter clearly marked ``Privacy Act Request.'' It
should clearly indicate name of the requestor, the nature of the record
sought and approximate dates covered by the record. The requestor shall
also provide the required verification of identity (28 CFR 16.41(d))
and provide a return address for transmitting the information. Access
requests will be directed to the System Manager listed above,
Attention: FOI/PA Officer.
Contesting record procedures:
Individuals desiring to contest or amend information maintained in
the system should direct their request to the System Manager identified
above, stating clearly and concisely what information is being
contested, the reason for contesting it, and the proposed amendment to
the information sought.
Record source categories:
Information derived from investigation of alleged malfeasance by
USMS, Office of Internal Affairs.
Exemption claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G) and (H), (e)(5),
(f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2) and
(k)(5). To the extent that investigations reveal actual or potential
criminal or civil violations, this system is additionally exempt from
subsection (e)(8) of the Privacy Act pursuant to 5 U.S.C. 552(j)(2).
Rules have been promulgated in accordance with the requirements of 5
U.S.C. 553(b), (c), and (e) and have been published in the Federal
Register.
JUSTICE/USM-004
System name:
Special Deputation Files.
Security Classification:
Limited Official Use.
System location:
United States Marshals Service (USMS), Executive Services Division,
600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Special Deputies, who are selected law enforcement officers and
employees of the U.S. Government, and selected employees of private
security companies.
Categories of records in the system:
Special Deputation files contain the oath of office and credential
of persons utilized as deputy marshals and include identifying data on
the special deputy, expiration date of special deputation, requests for
special deputation submitted by the employing agency, and certification
of firearms qualification.
Authority for maintenance of the system:
28 CFR subpart T, Sec. 0.112, 28 U.S.C. 562.
Purpose(s):
The USMS is authorized to deputize selected persons to perform the
functions of a Deputy U.S. Marshal whenever the law enforcement needs
of the USMS so require, to provide courtroom security for the Federal
judiciary, and as designated by the Associate Attorney General pursuant
to 28 CFR 0.19(a)(3). USMS Special Deputation files serve as a
centralized record of the special deputations granted by the USMS to
assist in tracking, controlling and monitoring the Special Deputation
Program.
[[Page 60836]]
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records of information may be disclosed:
(a) To Federal agencies for whom the USMS has deputized employees.
(b) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation or has an interest in litigation and such records
are determined by the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
(c) To student volunteers or other workers, who technically do not
have the status of Federal employees, when they are performing work for
the USMS as authorized by law and they need access to personally
identifiable information in USMS records in order to perform their
assigned USM functions.
(d) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
(e) To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff requests the information on behalf of
and at the request of the individual who is the subject of the record.
(f) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records are filed in standard file cabinets. Duplicate copies of
paper records are stored on magnetic discs.
Retrievability:
Files are indexed by name and by government department.
Safeguards:
Records are kept in a locked file. Computerized records are
password protected.
Retention and disposal:
Records and closed annually upon expiration of special deputation
and destroyed when give years old.
System manager(s) and address:
Assistant Director, Executive Services Division, U.S. Marshals
Service, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Notification procedures:
Same as the ``Records access procedures.''
Records access procedures:
A request for access to a record from this system shall be made in
writing, with the envelope and the letter clearly, marked ``Privacy Act
Request.'' It should clearly indicate name of the requester, the nature
of the record sought and approximate dates covered by the record. The
requestor shall also provide the required verification of identity (28
CFR 16.41(d)) and provide a return address for transmitting the
information. Access requests will be directed to the System Manager
listed above, Attention: FOI/PA Officer.
Contesting record procedures:
Individuals desiring to contest or amend information maintained in
the system should direct their request to the System Manager identified
above, stating clearly and concisely what information is being
contested, the reasons for contesting it and the proposed amendment to
the information sought.
Record source categories:
Federal agencies requesting special deputations provide all
necessary information required by the USMS in making the special
deputations.
Exemptions claimed for the system:
None.
JUSTICE/USM-005
System name:
U.S. Marshals Service Prisoner Processing and Population
Management/Prisoner Tracking System (PPM/PTS).
Security classification:
Limited Official Use.
System location:
Primary System: Prisoner Services Division, U.S. Marshals Service,
600 Army Navy Drive, Arlington, Virginia 22202-4210.
Decentralized Segments: Each district office of the U.S. Marshalls
Service (USMS) maintains files on prisoners taken into custody of the
U.S. Marshal for the respective district. The addresses of USMS
district offices are on the Internet (www.usdoj.gov/marshals/
usmsofc.html).
Categories of individuals covered by the system:
Prisoners taken into U.S. Marshal custody.
Categories of records in the system:
Any and all information necessary to complete administrative
processes, safekeeping, health care, and disposition of individual
Federal prisoners who are in custody pending criminal proceedings,
together with any law enforcement related records generated during such
custody. Records include a compilation of basic information on each
prisoner taken into custody of the U.S. Marshal covering identifying
data, the reason for U.S. Marshal custody (e.g., Federal indictment,
complaint, or writ) the court disposition of charges, dates of custody,
and institutions to which committed or housed. Also included are Form
USM-129, Prisoner Custody, Detention and Disposition Record (formerly
DJ-100; prisoner photograph; personal history statement; fingerprint
card; identification record; detainer notice; speedy trial notice;
prisoner remand or order to deliver prisoner, and receipt for U.S.
prisoner; property receipt; court records including writs, bail/bond
release information, judgment and commitment and other court orders;
prisoner alert notice; prisoner complaints or serious incident reports
(and related investigatory information) filed by either the prisoner or
by officials or by other individuals at the institution where the
prisoner is housed and covering a wide range of potentially serious
issues, e.g., medical treatment of prisoners, and attempted escapes or
alleged prisoner misconduct or criminal activity; designation requests
to Bureau of Prisons (BOP) and BOP responses; information identifiable
to informants, protected witnesses, and confidential sources; access
codes and data entry codes and message routing symbols used to
communicate with law enforcement officials regarding the custody and
safekeeping of prisoners; and prisoner transportation requests to the
Prisoner Transportation Division (and any related records) which may
include sensitive security data. Medical records included in this
system consist of nurses notes of medical problems, diagnosis,
treatment recommended;
[[Page 60837]]
names of health care providers at the housing unit, social workers,
attorneys, family members and USMS contact personnel; special issue or
treatment notices; name and address of treatment facility, dates of
service, provider tax identification numbers; medical care given, cost
of care, and billing records. Medical records generated by health care
providers maybe included in this system as authorized by the prisoner
for treatment purposes or infectious disease control.
Authority for maintenance of the system:
18 U.S.C, 3149, 3193, 3604, 3621, 4002, 4006, 4086, 4285; 28 U.S.C.
509, 510, 568, 569; 5 U.S.C. 301; 44 U.S.C. 3101; and 28 CFR 0.111.
Purpose(s):
The Prisoner Processing and Population Management/Prisoner Tracking
System (PPM/PTS) is maintained to cover law enforcement and security
related records which are generated in the local USMS district offices
in connection with the processing, safekeeping, and disposition of
Federal prisoners who are in custody pending criminal proceedings.
Medical records included in this system assist consultation and
coordination between the USMS district office, the housing unit,
treatment facility, transportation facility, and other Federal
agencies, e.g., BOP, to ensure that prisoners in custody of the U.S.
Marshal are given proper treatment. Through USMS nursing staff,
districts are assisted in determining medical treatment necessary while
the prisoner is in custody of the U.S. Marshal and in ensuring the
prisoner's medical clearance for travel. Routine uses of records
maintained in the system, including categories of users and purposes of
such uses:
Relevant records or information may be disclosed under subsection
(b)(3) of the Privacy Act as follows:
1. To other Federal, State, local or foreign law enforcement
agencies, contract detention or medical facilities (1) who provide
temporary custody or housing or care of prisoners, or who otherwise
require information (a) to protect the safety and/or health of the
prisoners, the public, and of law enforcement officials or (b) to
otherwise ensure fair and proper treatment of prisoners during custody
and transfer of custody or (2) who may also assist the USMS in pursuing
any necessary inquiry/investigation of complaints, alleged misconduct
or criminal activity. For example, relevant records or information may
be disclosed to secure their safe and efficient transfer to other
jurisdictions, to court appearances, or to the designated institution
for service of sentence; to ensure that appropriate credit for time in
custody is given; that appropriate medical treatment is provided; that
all rights of the prisoner, whether statutory, humanitarian, or
otherwise, are provided and protected; and to elicit information from
which to initiate an inquiry/investigation and/or respond to prisoner
complaints and reports of alleged misconduct or criminal activity; or,
conversely, to enable those entities to respond to, or provide
information relating to, such prisoner complaints or reports of
misconduct or criminal activity.
2. To the appropriate Federal, State, local or foreign agency
responsible for investigating, prosecuting, enforcing, defending, or
implementing a statute, rule, regulation, or order to the extent that
the information is relevant to the recipient's law enforcement
function.
3. To the appropriate Federal, State, local or foreign law
enforcement agency where there is an indication of an actual or
potential violation of civil or criminal laws, statutes, rules, or
regulations within the jurisdiction of the recipient agency.
4. To Federal, State or local public health agencies for infectious
disease control.
5. In a proceeding before a court or adjudicative body before which
the USMS is authorized to appear when any of the following is a party
to litigation or has an interest in litigation and such records are
determined by the USMS to be arguably relevant to the litigation: The
USMS or any of its subdivisions; any USMS employee in his or her
official capacity or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
6. To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case should constitute an unwarranted invasion
of personal privacy.
7. To a Member of Congress or staff acting upon the Member's behalf
when the Member or staff requests the information on behalf of and at
the request of the individual who is the subject of the record
8. To the National Archives and Records Administration (NARA) and
to the General Services Administration in records management
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
Policies and procedures for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Information is stored in standard file cabinets. Duplicate copies
of certain paper records are stored on magnetic discs.
Retrievability:
Information is retrieved by name of prisoner and/or prisoner
number.
Safeguards:
Paper records are stored in locked files. Access to computerized
data is restricted through user identification and discrete password
functions. In addition, USMS district and headquarters offices are
secured behind locked doors around the clock and access is restricted
to USMS personnel with official identification.
Retention and disposal:
Records are kept in active files until a prisoner has been
transferred out of the district's custody or until his/her judicial
proceedings have been completed. Records are then transferred to
inactive files. The USMS is reviewing a proposed disposition schedule
for these records. Upon approval by the USMS Records Management Officer
and NARA, this section of the notice will be revised to identify the
approved schedule.
System manager(s) and address:
Assistant Director, Prisoner Services Division, United States
Marshals Service, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
A request for access to a record from this system shall be made in
writing, with the envelope and the letter clearly marked ``Privacy Act
Request.'' It should clearly indicate name of requester, the nature of
the record sought and approximate dates covered by the record. The
requester shall also provide the required verification of identity (28
CFR 16.41(d)) and provide a return address for transmitting the
information. Access requests will be directed to the system manager
listed above, Attention: FOI/PA Officer.
Contesting record procedures
Individuals desiring to contest or amend information maintained in
the system should direct their request to the system manager listed
above, Attention: FOI/PA Officer, stating clearly and concisely what
information is being
[[Page 60838]]
contested, the reasons for contesting it, and the proposed amendment
sought.
Record source categories:
Information is received from the prisoner, the courts, Federal,
State, local and foreign law enforcement agencies, and medical care
professionals.
Exemptions claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2), (3), (e)(5) and (e)(8) and (g) of the
Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Rules have been
promulgated in accordance with the requirements of 5U.S.C. 553(b), (c)
and (e) and have been published in the Federal Register.
JUSTICE/USM-006
System name:
United States Marshals Service Training Files.
Security classification:
Limited official use.
System location:
a. Primary system: Human Resources Division, United States Marshals
Service, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
b. Decentralized segments: Individual training files and the
Fitness in Total (FIT) Program training assessment files, identified as
items (1) and (3) under ``Category of Records in the System,'' are
located also at the USMS Training Academy, Department of Justice,
Building 70, Glynco, Georgia 31524. Each district office of the USMS
maintains FIT files only on their respective participants in the FIT
Program. The addresses of USMS district offices are on the Internet
(www.usdoj.gov/marshals/usmsofc.html).
Categories of individuals covered by the system:
USMS employees.
Categories of records in the system:
(1) Individual training files contain information on the
individual's educational background and employee training history, and
an individual career development plan; (2) skills files identify
languages and other special skills possessed by the individual USMS
employee; and (3) individual FIT Program training assessment files
contain records on physical and medical examinations, blood tests,
health histories, physical assessments, and administrative records on
participation, goal setting and progress while in the program. The
Certificate of Medical Examination (SF-78) is maintained in the primary
system at USMS headquarters only unless obtained and placed in the
district file by the individual FIT participant.
Authority for maintenance of the system:
28 U.S.C. 509, 510, and 569; 5 U.S.C. 301; 44 U.S.C. 3101; and 28
CFR 0.111(h).
Purpose(s):
Individual training files are used to make employment, promotion,
or retention determinations for all Deputy U.S. Marshals; to develop
training histories; and to determine training and/or promotion
eligibility. In addition, FIT Program training assessment files are
used to make hiring/retention determinations for Deputy U.S. Marshal
personnel entering on duty as of July 1, 1984 and later; to determine
employees' eligibility to participate in the program; to tailor an
individual fitness program for each employee; to chart employee
progress in the program; to determine the need for and to chart
progress toward weight reduction; to develop physical fitness standards
for performance appraisal purposes; and to examine statistically the
physical fitness level of the USMS workforce against law enforcement
populations and the general population of the United States. Skills
files re used to identify special skills and language abilities
possessed by personnel to aid in staffing special assignments which
require such skills.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records or information may be disclosed as a routine use:
(a) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation or has an interest in litigation and such records
are determined by the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
(b) To student volunteers and other workers, who technically do not
have the status of federal employees, when they are performing work for
the USMS as authorized by law, and they need access to personally
identifiable information in USMS records in order to perform their
assigned agency functions.
(c) To a Federal agency, in response to its request, in connection
with the hiring or retention of an employee, the issuance of a security
clearance, the conducting of a security or suitability investigation of
an individual, the classifying of jobs, the letting of a contract or
the issuance of a grant, license or other benefit by the requesting
agency, to the extent that the information is relevant and necessary to
the requesting agency's decision on the matter.
(d) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
(e) To congressional members or staff on behalf of and at the
request of the constituent who is the subject of the record.
(f) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of title 44 of the United States Code.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Originals of paper records contained in this system are kept in
standard file cabinets. Skills files, summaries of FIT Program training
assessment records, and duplicates of paper records are stored on
magnetic discs.
Retrievability:
Records are retrieved by name of employee.
Safeguards:
Records are maintained in metal filing cabinets which are locked
during nonduty hours. Entry to headquarters is restricted by 24-hour
guard service to employees with official and electronic identification.
Entry to the Training Academy and district offices is restricted
generally to trainees/employees with official identification. Access to
computerized records in this system is restricted to the responsible
headquarters employees by assigned code.
Retention and disposal:
Files are maintained until the employee leaves the USMS at which
time paper records are shredded and magnetic discs are erased.
[[Page 60839]]
System manager(s) and address:
Assistant Director, Human Resources Division, USMS, 600 Army Navy
Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelop ``Freedom of Information Act/Privacy Act Request.'' Clearly
indicate name of the requester, nature of the record sought,
approximate dates of the records, and provide the required verification
of identity (28 CFR 16.41(d)). Direct all requests to the system
manager identified above, Attention: FOI/PA Officer, and provide a
return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager listed above. State clearly and concisely the information being
contested, the reasons for contesting it, and the proposed amendment to
the information sought. Clearly mark the letter and envelope ``Freedom
of Information Act/Privacy Act Request.''
Record source categories:
Information contained in this system is collected from the
individual, training personnel, the Combined Federal Law Enforcement
Training Academy, examining physicians, fitness coordinators, and
personnel records.
Exemptions claimed for the system:
None.
JUSTICE/USM-007
System name:
Warrant Information Network (WIN)
Security classification:
Limited Official Use.
System location:
Primary System: Investigative Services Division, U.S. Marshals
Service (USMS), 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Decentralized Segments: Each district office of the USMS maintains
their own files. The addresses of USMS district offices are available
on the Internet at www.usdoj.gov/marshals/usmsofc.html.
Categories of individuals covered by the system:
Individuals for whom Federal warrants have been issued; individuals
for whom State or local warrants have been issued when the warrant is
part of a USMS sponsored multi-agency task force; and associates who
may provide information, assistance or leads in USMS fugitive
investigations.
Categories of records in the system:
Computerized records in this system consist of information related
to the warrant, including dates, issuing Federal district, nature of
the offense, investigative notes; information related to subjects,
including biographical data, physical description, and criminal
history, and their association with other individuals, dangerous gangs,
extremist groups, or other organizations; information on associates
including physical description, photographs, numerical identifiers,
addresses, and driver's license information; and investigative
information furnished by other Federal, State or local law enforcement
or other government agencies and non-government sources. In addition to
the abbreviated data described above, the complete file contains the
warrant and other court records and internal correspondence related to
the warrant; photograph; wanted flyers/posters and investigative
reports reflecting patterns of activity, leads developed and statements
of witnesses and other persons cooperating with USMS fugitive
investigations. Investigative reports and criminal record information
from other Federal, State, local and foreign law enforcement agencies
participating in or cooperating with USMS fugitive investigations and
apprehension efforts are also included in this system.
Authority for maintenance of the system:
28 U.S.C. 509, 510 and 561 et seq.; 28 CFR 0,111(a) and (q).
Purpose(s):
The USMS is responsible for ensuring the effective operation of the
judicial system through the execution of Federal arrest warrants,
parole violator warrants, Federal custodial and extradition warrants,
and for investigating fugitive matters, domestic and foreign, involving
escaped federal prisoners, and probation, parole, mandatory release,
and bond default violators. The WIN system facilitates the efficient
management and administration of USMS fugitive investigations through
the collection, flow, analysis, dissemination and maintenance of
records and information necessary to accomplish this mission.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records or information may be disclosed: (a) To public and private
organizations, individuals, and Federal, State, local and foreign
agencies to the extent necessary to obtain information or cooperation
in USMS fugitive investigations and apprehension efforts.
(b) Upon request, to the appropriate Federal, State, local or
foreign law enforcement agency responsible for investigating,
prosecuting, enforcing, defending, or implementing a statute, rule;
regulation; or order, to the extent that the information is relevant to
the recipient's function.
(c) Without a request, to an appropriate Federal, State or local
law enforcement agency where there is an indication of an actual or
potential violation of civil or criminal laws, statutes, rules, or
regulations within the jurisdiction of the recipient agency.
(d) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation or has an interest in litigation and such records
are determined by the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
(e) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
(f) To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff requests the information on behalf of
and at the request of the individual who is the subject of the record.
(g) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in standard file folders. Duplicate copies of
paper records are stored on magnetic discs.
Retrievability:
Records are retrieved by individual names or identifying numbers.
Safeguards:
Except as otherwise noted in paragraph (b) under ``Routine uses,''
[[Page 60840]]
access is restricted to personnel in the Investigative Services
Division and in each USMS district office. Access to computerized
records is safeguarded by user identification and password
restrictions. Paper records are maintained in filing cabinets within
supervised areas of the U.S. Marshals' offices. District and
headquarters offices are locked during working and non-duly hours and
entry is restricted to employees with official identification.
Retention and disposal:
Records are kept in an operating file until warrant is executed and
then transferred to closed file. Closed files are retained for one year
after file is closed, then transferred to the Federal Records Center
and destroyed after 55 years. Computerized records are retained
indefinitely as an operating file or as a closed case file.
System manager(s) and address:
Assistant Director, Investigative Services Division, U.S. Marshals
Service, U.S. Department of Justice, 600 Army Navy Drive, Arlington,
Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate the name of the requester, nature of the record sought,
approximate date of the record, and provide the required verification
of identity (28 CFR 16.41(d). Direct all requests to the system manager
identified above, Attention: FOI/PA Officer, and provide a return
address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager identified above. State clearly and concisely the information
being contested, the reason for contesting it, and the proposed
amendment to the information sought. Clearly mark the envelope
``Freedom of Information/Privacy Act Request.''
Record source categories:
Information is obtained from the courts, Federal, State, local and
foreign law enforcement agencies, public and private organizations,
witnesses, informants, and other persons interviewed during the course
of the fugitive investigation.
Exemptions claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5),
(e)(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2).
Rules have been promulgated in accordance with the requirements of 5
U.S.C. 553(b), (c) and (e) and have been published in the Federal
Register.
JUSTICE/USMS-008
System name:
Witness Security Files Information System.
Security classification:
Limited Official use.
System location:
Witness Security Program, United States Marshals Service (USMS),
600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Government witnesses who are participants in the Federal Witness
Security Program.
Categories of records in the system:
(1) Authorization to enter the program; (2) background information
(education, experience, medical history, names, relatives, etc.); (3)
funding information; (4) moving information; (5) documentation of all
of the above.
Authority for maintenance of the system:
28 U.S.C. 509, 510, 524 and 561 et seq.; 5 U.S.C. 301; 44 U.S.C.
3101; 28 CFR 0.111(c); 18 U.S.C. 3521.
Purpose(s):
The USMS provides for the security, health and safety of government
witnesses and their immediate dependants whose lives are in danger as a
result of their testimony against organized crime, drug traffickers,
terrorists and other major criminals. The Witness Security Files are
used to plan and accomplish the major functions involved in the
protection of government witnesses and their families. Routine uses of
records maintained in the system, including categories of users and the
purposes of such uses:
Records or information may be disclosed as follows:
(a) In a proceeding before a Court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation or has an interest in litigation and such records
are determined by the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions, any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions;
(b) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy;
(c) To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff requests the information on behalf of
and at the request of the individual who is the subject of the record;
(d) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are kept in file folders and in a computerized database.
Retrievability:
Filed and retrieved by special ID number.
Safeguards:
Access is restricted to Witness Security personnel using locks and
alarm devices, passwords and/or encrypting data communications. The
records are located in a restricted area of USMS Headquarters under 24-
hour guard protection with entry controlled by official and electronic
identification.
Retention and disposal:
All records at this time are being indefinitely maintained with the
exception of financial records, which are destroyed after three years
and three months in accordance with General Records Schedules 6, 7 and
8.
Chief, Witness Security Program, U.S. Marshals Service, 600 Army
Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as the ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope
[[Page 60841]]
``Privacy Act Request.'' Clearly indicate name of the requester, nature
of the record sought, approximate dates of the record, and provide the
required verification of identity (28 CFR 16.41(d)). Direct all
requests to the system manager identified above, Attention: FOI/PA
Officer, and provide a return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager listed above. State clearly and concisely the information being
contested, the reasons for contesting it, and the proposed amendment to
the information sought. Clearly mark the letter and envelope ``Privacy
Act Request.''
Record source categories:
All identifying background criteria of individual: (1) Education;
(2) job history; (3) medical history; (4) history of residence; (5)
relatives, etc., is provided by the individual, the court, other
Federal, State, local and foreign law enforcement agencies, and medical
personnel.
Exemptions claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(2) and (3), (e)(4)(G) and (H), (e)(8), (f) and
(g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Rules have been
promulgated in accordance with the requirements of 5 U.S.C. 553(b), (c)
and (e) and have been published in the Federal Register.
JUSTICE/USM-009
System name:
Inappropriate Communications/Threat Information System.
Security classification:
Limited Official Use.
System location:
Primary System: Investigative Services Division, U.S. Marshals
Service (USMS), 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Decentralized Segments: Each district office of the USMS maintains
their own files. The addresses of USMS district offices are available
on the Internet at www.usdoj.gov/marshals/usmsofc.html.
Categories of individuals covered by the system:
Individuals who have inappropriately communicated with, directly
threatened, or pose a threat to USMS protectees, including Federal
judges, prosecutors, and other court officials. U.S. Marshals, deputies
and other law enforcement officers, courtroom security, and federal
property and buildings; associates of such individuals; and individuals
reported by State or local agencies to the USMS who have threatened to
harm State or local judicial officials.
Categories of records in the system:
Manual and automated records which consist of information related
to the inappropriate communication or threat, including type of
communication, the means by which it was issued, and information
contained in the communication such as dates, locations, and events;
analysis of the communication or threat and other in internal USMS
correspondence related the communication; biographical data including
physical description, photograph, and criminal history information--in
particular, known history of violence and skills related to the nature
of the threat; investigative information including associations with
other individuals and dangerous gangs, extremist groups, or other
organizations; information on associates including physical
descriptions, photographs, numerical identifiers, address(es), driver's
license information; and investigative information furnished by other
Federal, State and local law enforcement or other government agencies
and non-government sources.
Authority for maintenance of the system:
28 U.S.C. 509, 510, and 561 et seq.; 5 U.S.C. 301; 44 U.S.C. 3101;
and 28 CFR 111(c) through (f).
Purpose(s):
The USMS is required to protect government witnesses, U.S.
Attorneys and their assistants, Federal jurists and other court
officers; to provide for courtroom security; and to assist in
protecting Federal property and buildings. The USMS also conducts
Federal law enforcement activities itself, e.g., warrant apprehension
investigations, which subject its officers to security danger. These
operations require acquiring information to allow an accurate
assessment of the existence and extent of the dangers posed, including
specific threats, to aid in responding to specific security assignments
and needs, as well as developing protective measures and plans in
advance. With the information collected, officials determine and carry
out operating plans, funding, personnel, and any special resources
needed to counteract threat situations.
Individuals reported by State and local agencies to the USMS who
have threatened to harm State or local judicial officials often appear
before the Federal bar as a result of appeals, civil rights suits,
continuing criminal behavior, etc. Such individuals may continue their
inappropriate communications or threats at the Federal level. In that
event, information concerning these individuals provided by the State
and local agencies assists the USMS in assessing the dangers they pose
to Federal Officials and in developing protective measures and
responding to specific security requirements. This information also
assists in researching inappropriate communications directed toward
judicial officials of all jurisdictions to gain a full and
comprehensive picture of the diverse circumstances involved, to analyze
trends based upon a statistically reliable study, and to more fully
address the problem.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Records or information may be disclosed:
(a) To other appropriate Federal, State and local law enforcement
agencies in connection with actual or potential violation of criminal
or civil laws, statutes, or regulations, or in conjunction with
investigative of litigative responsibilities of the recipient agency,
or to the extent that disclosure is necessary to obtain additional
case-related information or to develop protective measures.
(b) To other law enforcement agencies to develop protective
measures where a specific threat is posed to their members; and to an
individual or organization where the recipient is or could become the
target of a specific threat.
(c) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation or has an interest in litigation and such records
are determined by the USMS to be arguable relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions.
(d) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
[[Page 60842]]
(e) As is necessary to appropriately respond to congressional
inquiries on behalf of and at the request of the constituent who is the
subject of the record.
(f) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records are kept in file folders. Duplicate copies of paper
records are stored on magnetic discs.
Retrievability:
Records are retrieved by name and identifying number or a
combination of the name and number.
Safeguards:
Except as otherwise noted in paragraphs (a) and (b) under ``Routine
uses,'' access to computerized records is restricted to personnel in
the Investigative Services Division and in each district office by user
identification and password. Paper records are maintained in filing
cabinets within supervised areas. District and headquarters offices are
locked during working and non-duty hours and entry is restricted to
employees with official identification.
Retention and disposal:
Records are maintained indefinitely until a detailed records
retention plan and disposal schedule is developed by NARA and the USMS.
System manager(s) and address:
Assistant Director, Investigative Services Division, U.S. Marshals
Service, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedure.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate name of the requester, nature of the record sought,
approximate date of the record, and provide the required verification
of identity (28 CFR 16.41(d)). Direct all requests to the system
manager identified above, Attention: FOI/PA Officer, and provide a
return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager identified above. State clearly and concisely the information
being contested, the reason for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Freedom of Information/Privacy Act Request.''
Record Source Categories:
Information is obtained from public and confidential sources and
from Federal, State and local law enforcement agencies.
Exemptions claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (4), (d), (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5),
(e)(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2).
Rules have been promulgated in accordance with the requirements of 5
U.S.C. 553(b), (c) and (e) and have been published in the Federal
Register.
JUSTICE/USMA-010
Sytem name:
Judicial Facility Security Index System.
Security classification:
Limited Official Use.
System location:
Judicial Security Division, United States Marshals Service (USMS),
600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Individuals employed, or offered employment as contract court
security officers (CSO's) by companies contracting with the USMS to
provide judicial area security in Federal courthouses.
Categories of records in the system:
An alphabetical index contains the name, date of birth and social
security number of the CSO, name of the contracting security firm
(employer), completion dates and cost data for limited background
investigation and orientation, district of employment, dates contract
performance started and ended, posts and hours of duty and the status
of employment, i.e., active or inactive. For inactive CSO's, the index
contains the reason for inaction, e.g., CSO resigned; applicant
rejected based on the preliminary records check; CSO removed based on
Office of Personnel Management (OPM) background investigation; etc. In
addition to providing abbreviated date, the index assists in locating
records on the CSO related to the initial screening process for
eligibility, e.g., application and preliminary checks for arrest
records, which are filed under the contract number and name of the
contracting security firm (employer). The index also assists sin
locating files containing OPM reports on the limited background
investigation and internal suitability memoranda which are segregated
by categories ``active'' and ``inactive.''
Authority for maintenance of the system:
28 U.S.C. 509, 510 and 561 et seq.; 5 U.S.C. 301; 44 U.S.C. 3101
and 28 CFR 0.111.
Purpose(s):
The USMS administers and implements courtroom security requirements
for the federal judiciary and provides assistance in the protection of
federal property and buildings. The Judicial Facility Security Program
provides uniformed security officers and security systems and equipment
for judicial area security in Federal courthouses throughout the
country. It is funded by the Judiciary through the Administrative
Office of the U.S. Courts (AOUSC) and is managed by the USMS. This
system of records is used to make security/suitability determinations
in the hiring of CSO's to monitor orientation completed, to track costs
related to background investigations and attendance at Government-
sponsored orientation, and to monitor contractor performance. It
enables program officers to compile data for reports to AOUSC on actual
and projected expenses, to list CSO's their posts and hours of duty,
and to determine turnover and reemployment ratios among CSO's.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be disclosed as follows: Individual cost data may be
disclosed to the contractor (employer) in connection with billing and
recovering reimbursable costs. In addition, records or information also
may be disclosed as follows:
(a) To an appropriate Federal, State or local law enforcement
agency to the extent necessary to obtain information on arrest, or to
the extent relevant to an actual or potential criminal or civil
investigation, litigation or enforcement proceedings of that agency;
(b) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation
[[Page 60843]]
or has an interest in litigation and such records are determined by the
USMS to be arguably relevant to the litigation: The USMS or any of its
subdivisions; any USMS employee in his or her official capacity or in
his or her individual capacity where the Department of Justice agrees
to represent the employee; or the United States where the USMS
determines that the litigation is likely to affect it or any of its
subdivisions;
(c) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy;
(d) To congressional members or staff on behalf of and at the
request of the constituent who is the subject of the record;
(e) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
An index record is stored on magnetic disks and original paper
records are kept in file folders.
Retrievability:
Records are retrieved by name of the contract CSO.
Safeguards:
Records are stored in locked metal filing cabinets during off-duty
hours. Access to computerized records is controlled by restricted code
to personnel on a need-to-know basis. Entry to USMS Headquarters is
restricted by 24-hour guard service to employees with official and
electronic identification.
Retention and disposal:
Records are maintained indefinitely until a detailed records
retention plan and disposal schedule is developed by the National
Archives and Records Administration and the USMS.
System manager(s) and address:
Chief, Judicial Facility Security Program, Judicial Security
Division, U.S. Marshals Service, 600 Army Navy Drive, Arlington,
Virginia 22202-4210.
Notification procedures:
Same as the ``Records access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate name of the requester, nature of the record sought,
approximate dates of the record, and provide the required verification
of identity (28 CFR 16.41(d)). Direct all request to the system manager
identified above, Attention: FOI/PA Officer, and provide a return
address for transmitting the information.
Contesting record procedures:
Direct all request to contest or amend information to the system
manager listed above. State clearly and concisely the information being
contested, the reasons for contesting it, and the proposed amendment to
the information sought. Clearly mark the letter and envelope ``Freedom
of Information/Privacy Act Request.''
Record source categories:
Information contained in this system is collected from the
individual, USMS orientation records, other law enforcement agencies,
OPM and from the contractor (employer).
Exemptions claimed for the system:
The Attorney General has exempted this system from subsections
(c)(3) and (d) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
Rules have been promulgated in accordance with the requirements of 5
U.S.C. 553(b), (c) and (e) and have been published in the Federal
Register.
JUSTICE/USM-011
System name:
Judicial Protection Information System.
Security classification:
Limited Official Use.
System location:
Judicial Security Division, United States Marshals Service (USMS),
600 Army Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Individuals who have been directly threatened or are subject to
violent threat by virtue of their responsibilities within the judicial
system, e.g., U.S. Attorneys and their assistants, Federal jurists and
other court officials.
Categories of records in the system:
Manual and automated indices contain abbreviated data, e.g., case
number, name of protected subject, name of control district and
district number, an indication of the type and source of threat, and
the means by which the threat was made. In addition to the abbreviated
data named above, the complete file may contain descriptive physical
data of the protectee, and other information to identify security risks
and plan protective measures in advance of or during periods of active
protection, e.g., individual practices and routines, including
associational memberships. Information regarding the expenditure of
funds and allocation of resources assigned to the protectee may also be
included in the file to enable officials to develop operating plans to
counteract threat situations.
Authority for maintenance of the system:
28 U.S.C. 509, 510 and 561 et seq., 5 U.S.C. 301; 44 U.S.C. 3101;
and 28 CFR 0.111 (c) through (f).
Purpose:
The USMS is required to protect U.S. Attorneys and their
assistants, Federal jurists and other court officers; to provide for
courtroom security, and to assist in protecting federal property and
buildings. This operation requires obtaining information to allow an
accurate assessment of the individual security needs of such threatened
persons to aid in developing protective measures and advance planning
of specific security assignments. With the information collected, USMS
officials determine and carry out operating plans, funding, personnel
assignments and any special resources needed to counteract specific
threat situations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records or information may be disclosed:
(a) To other Federal, State and local law enforcement agencies to
the extent that disclosure is necessary to develop and/or implement
protective measures;
(b) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation and such records are determined by the USMS to be
arguably relevant to the litigation: The USMS or any of its
subdivisions; any USMS employee in his or her official capacity or in
his or her individual capacity where the Department of Justice agrees
to represent the employees; or the United
[[Page 60844]]
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions;
(c) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy;
(d) To congressional members or staff on behalf of and at the
request of the constituent who is the subject of the record;
(e) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
An index record is stored on index cards and magnetic tape.
Original paper records are kept in file folders.
Retrievability:
Records are indexed and retrieved by name of protectee.
Safeguards:
Access to computerized records is restricted to Court Security
Program personnel by assigned user code and password. In addition,
records are stored in locked metal cabinets during off-duty hours. The
records are located in a restricted area, and USMS Headquarters is
under 24-hour guard protection with entry controlled by official and
electronic identification.
Retention and disposal:
Records are maintained indefinitely until a detailed records
retention plan and disposal schedule is developed by the National
Archives and Records Administration and the USMS.
System manager(s) and address:
Chief, Court Security Program, Judicial Security Division, U.S.
Marshals Service, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as the ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate the name of the requester, nature of the record sought,
approximate dates of the record, and provide the required verification
of identity (28 CFR 16.41(d)). Direct all requests to the system
manager identified above, Attention: FOI/PA Officer, and provide a
return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager identified above. State clearly and concisely the information
being contested, the reason for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Freedom of Information/Privacy Act Request.''
Record source categories:
Information is obtained from individual protectees. Where
information is maintained in this system on identified threat sources
to a particular protectee, such information is obtained from public and
confidential sources and from Federal, State and local law enforcement
agencies, and is not retrievable by name or other identifying
particular assigned to the threat source.
Exemptions claimed for the system:
None.
JUSTICE/USM-012
System name:
U.S. Marshals Service Freedom of Information/Privacy Act (FOIA/PA)
Files.
Security classification:
Limited Official Use.
System location:
Office of General Counsel, U.S. Marshal Service, 600 Army Navy
Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Individuals who request disclosure of U.S. Marshals Service (USMS)
records pursuant to the Freedom of Information Act (FOIA); individuals
who request access to or correction of records maintained in USMS
systems of records pursuant to the Privacy Act (PA); individuals whose
FOIA or PA requests have been referred to the USMS by another
Department of Justice component or another agency; and USMS FOIA/PA
Specialists assigned to process requests.
Categories of records in the system:
A computerized case tracking system is maintained to aid in the
orderly processing of requests and to prepare annual reports. Data
items include the name and address of the requester; the type of
request; dates on which the request was conceived, acknowledged, and
answered; type of final responses; exemptions used to deny access to
records, when applicable, and the name of the USMS FOIA/PA Specialist
assigned to process the request. Identifying data, i.e., date and place
of birth, and social security number, is maintained on PA requesters to
verify their identity and ensure proper disclosure. Files contain a
record of the FOIA/PA request, along with the response, copies of
documents which have been requested, and internal memoranda or other
records related to the initial processing of such request, subsequent
appeals and/or litigation.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101 to implement the provisions of 5
U.S.C. 552 and 5 U.S.C. 552a.
Purpose(s):
As a component of the Department of Justice, the U.S. Marshals
Service is required to respond to requests under the Freedom of
Information Act for records maintained in and under the control of the
Service; and requests to access or amend records in systems of records
pursuant to the Privacy Act. 5 U.S.C. 552 and 552a. To effectively
carry out this responsibility, records retrievable by individual
identifiers are necessary to respond to individual requesters, to
consult with the Office of Information and Privacy, Department of
Justice, on administrative appeals of USMS action, to participate in
litigation regarding agency action on requests, and to compile data to
report to the Department, OMB and Congress on activities implementing
the Acts.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
A record maintained in this system may be disseminated as a routine
use:
(a) To any Department of Justice component for consideration in
connection with an FOIA or PA request, appeal or civil suit pursuant to
the Acts.
(b) To a Federal, State or local agency which furnished the record
to permit that agency to make a decision as to access or correction, or
to consult with that agency to enable the USMS to determine the
propriety of access or correction.
(c) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation
[[Page 60845]]
or has an interest in litigation and such records are determined by the
USMS to be arguably relevant to the litigation: The USMS or any of its
subdivisions; any USMS employee in his or her official capacity or in
his or her individual capacity where the Department of Justice agrees
to represent the employee; or the United States where the USMS
determines that the litigation is likely to affect it or any of its
subdivisions. In addition, records or information which is relevant to
the subject matter involved in a pending judicial or administrative
proceeding may be disclosed in response to a request for discovery or
for appearance of a witness.
(d) To student volunteers or other workers, who technically do not
have the status of Federal employees, when they perform work for the
USMS as authorized by law and they need access to personally
identifiable information in USMS records in order to perform their
assigned USMS functions.
(e) To the news media and the public pursuant to 28 CFR 50.2 unless
is it determined that the release of specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
(f) To congressional members or staff on behalf of the constituent
who is the subject of the records.
(g) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
disclosures to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Request files are stored in standard file cabinets. The
computerized case tracking system and duplicate copies of some paper
records are maintained on magnetic discs.
Retrievability:
Records are retrieved by name of requester, USMS FOIA/PA
Specialist, or request control number.
Safeguards:
Access to computerized records is restricted to Office of General
Counsel personnel by user identification and passwords. In addition,
request files are stores in metal filing cabinets and in designated
file rooms within the Office of General Counsel, USMS Headquarters
during off-duty hours. Access to USMS Headquarters is restricted to
employees with official identification.
Retention and disposal:
Records are destroyed 6 years after final response or appeal
determination by the Department of Justice, Office of Information and
Privacy; or 3 years after final adjudication by the courts.
System manager(s) and address:
General Counsel, Office of General Counsel, U.S. Marshals Service,
600 Army Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate name of the requester, nature of the record sought,
approximate dates of the record, and provide the required verification
of identity (28 CFR 16.41(d)). Direct all requests to the system
manager identified above. Attention FOI/PA Officer, and provide a
return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager listed above. State clearly and concisely what information is
being contested, the reasons for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Freedom of Information Act/Privacy Act Request.''
Record source categories:
The sources of information contained in this system are the
individuals making requests, the systems of records searched in the
process of responding to requests, and other agencies who have referred
to the USMS those requests for access to or correction of USMS records.
Exemptions claimed for the system:
The Attorney General has exempted certain categories of records in
this system from subsections (c)(3) and (4); (d); (e)(1), (2) and (3);
(e)(4)(G) and (H); (e)(5), (e)(8); (f) and (g) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2), (k)(2) and (k)(5). The system is
exempted pursuant to subsections (j)(2) and (k)(2) only to the extent
that the records there reflect criminal and civil law enforcement and
investigative information. The system is exempted pursuant to
subsections (k)(5) only to the extent necessary to protect confidential
sources. Rules have been promulgated in accordance with the
requirements of 5 U.S.C. 553(b), (c) and (3) and have been published in
the Federal Register.
JUSTICE/USM-013
System name:
U.S. Marshals Service Administrative Proceedings, Claims and Civil
Litigation Files
Security Classification:
Limited Official Use
System location:
Office of General Counsel, U.S. Marshals Service (USMS), 600 Army
Navy Drive, Arlington, Virginia 22202-4210.
Categories of individuals covered by the system:
Individuals who have filed tort and employee claims against the
USMS; individuals who have initiated administrative proceedings against
the USMS; individuals who have filed civil suits naming the USMS and/or
personnel as defendants, including those suits arising from authorized
criminal law enforcement activities; individuals named as defendants in
Federal court actions initiated by the USMS; and USMS attorneys
assigned to defend such claims and litigation.
Categories of records in the system:
In addition to the names of individuals covered by the system and
the title of cases, a computerized case tracking system contains
certain summary data, e.g.; a summary of correspondence and pleadings
received in a case, names of parties involved; names of attorneys
handling the case or matter, court in which action is brought, and
civil action number, thereby facilitating location of the complete
file. Cases or matters include adverse actions, grievances, unfair
labor practice charges, tort claims, Equal Employment Opportunity and
other employee claims, and suits against USMS employees in their
official capacities, etc. Files contain correspondence/claim forms
submitted by claimants and internal reports and related documents
concerning the merits of the claim, attorney or staff recommendations
and findings related to the claim; records on actions taken by USMS
giving rise to appeals, attorney notes, recommendations and strategy
for defending appeals; copies of civil actions filed and criminal
investigative records related to the action e.g.,
[[Page 60846]]
criminal investigative reports relating the underlying criminal matter
which relates to or constitutes the basis of the claim or suit
(including those from on-Federal law enforcement participants in USMS
criminal or civil law enforcement activities), witness statements,
reports of interviews, exhibits, attorney notes, pleadings, and
recommendations and strategy for defending civil actions.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
Among other responsibilities, the Office of General Counsel, U.S.
Marshals Service, provides legal representation to USMS management in
all administrative matters including, but not limited to, adverse
actions, grievances, unfair labor practices, EEO, tort and employee
claim proceedings; represents the Service and its employees in district
court actions brought against them for acts taken in the course of
official duties; and represents the Service in other actions in which
its interests are involved. Effective representation in such matters
requires that records be retrievable by individual identifiers.
Routine uses of records maintained in the system including categories
of users and the purposes of such uses:
Records maintained in this system of records may be disseminated as
follows:
(a) To any component of the Department of Justice for consideration
in connection with the case or matter to which the record related;
(b) To the appropriate Federal, State or local agency responsible
for investigating, prosecuting or defending an action where there is an
indication of actual or potential violation of criminal or civil laws
or regulations or civil liability of any government agency;
(c) To any Federal, State or local agency, organization or
individual to the extent necessary to elicit information or witness
cooperation if there is reason to believe the recipient possesses
information related to the case or matter;
(d) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation or has an interest in litigation and such records
are determined by the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions;
(e) To a Federal agency, in response to its request, in connection
with the hiring or retention of an employee, the issuance of a security
clearance, the conducting of a security or suitability investigation of
an individual, the classifying of jobs, the letting of a contract or
the issuance of a grant, license or other benefit by the requesting
agency, to the extent that the information is relevant and necessary to
the requesting agency's decision on the matter;
(f) To respond to a request for discovery or for appearance of a
witness when the information is relevant to the subject matter involved
in a pending judicial or administrative proceeding;
(g) To student volunteers or other workers, who technically do not
have the status of Federal employees, when they perform work for the
USMS as authorized by law and they need access to personally
identifiable information in USMS records in order to perform their
assigned USMS functions;
(h) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy;
(i) To Congressional members or staff on behalf of the constituent
who is the subject of the record;
(j) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Administrative claim, appeal, and litigation files are stored in
standard file cabinets. The computerized case track system and
duplicate copies of some paper records are stored on magnetic discs.
Retrievability:
Records are retrieved by name of claimant, litigant or USMS
attorney, or by caption of civil action or administrative proceeding.
Safeguards:
Access to computerized records is restricted to Office of General
Counsel personnel by user identification and passwords. In addition,
files are stored in metal filing cabinets within the Office of General
Counsel, USMS Headquarters during off-duty hours. Access to USMS
Headquarters is restricted to employees with official identification.
Retention and disposal:
Records in the case tracking system are retained indefinitely.
Claim files are destroyed after 7 years. Litigation files are destroyed
after 10 years. Cases designated by the General Counsel as significant
or precedential are retained indefinitely.
System manager(s) and address:
General Counsel, Office of General Counsel, U.S. Marshals Service,
600 Army Navy Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate name of the requester, nature of the record sought,
approximate dates of the records, and provide the required verification
of identity (28 CFR 16.41(d)). Direct all requests to the system
manager identified above. Attention: FOI/PA Officer, and provide a
return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager listed above. State clearly and concisely what information is
being contested, the reason for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Freedom of Information/Privacy Act Request.''
Record source categories:
The sources of information contained in this system are the
individual claimant/litigant, USMS officials, law enforcement agencies,
statements of witnesses and parties, transcripts of depositions and
court proceedings, administrative hearings and arbitrations, and work
product of staff attorneys and legal assistants working on a particular
case or matter.
Exemptions claimed for the system:
The Attorney General has exempted certain categories of records in
this system from subsections (c)(3) and (4); (d); (e)(2) and (3);
(e)(4)(G) and (H); (e)(8); (f) and (g) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2) and (k)(5). The system is exempted pursuant to
subsection (j)(2) only to the extent that information in a record
pertaining
[[Page 60847]]
to a particular individual relates to a criminal investigation which
relates to or constitutes the basis of a particular suit or claim. The
system is exempted pursuant to subsection (k)(5) only to the extent
necessary to protect a confidential source. Rules have been promulgated
in accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and
have been published in the Federal Register.
JUSTICE/USM-015
System name:
U.S. Marshals Service (USMS) Employee Assistance Program (EAP)
Records.
Security classification:
Limited official use.
System location:
Records of the Employee Assistance Program Office, Health and
Safety Team, Human Resources Division, are located at 600 Army Navy
Drive, Arlington, Virginia 22202-4210. Records of the contractor with
whom the USMS has contracted for health services and records of
individual licensed mental health providers with whom the contractor
has subcontracted for health services, are located at the respective
offices of these licensed providers. Addresses of these service
providers may be obtained by contacting the USMS Employee Assistance
Program (EAP) Office.
Categories of individuals covered by the system:
Current and former employees of the USMS (and in limited cases,
immediate family members) who have sought counseling or have been
referred for counseling or treatment through the USMS EAP.
Categories of records in the system:
Records of the USMS EAP Office, the contractor, and the
subcontractors include written consent forms used to manage referrals
and the exchange or flow of personal information, and account
information such as billings and payments. (Where relevant, certain
records may be duplicated in these offices.) Other records generally
maintained by the USMS EAP Office, the contractor and subcontractors
are described as follows:
A. Records located in the USMS EAP Office include only records
which may assist in managing and monitoring self referrals or
management referrals, and participation in the EAP. Examples of such
records are: The name, location and telephone number(s) of the
employee, family member or supervisor manager who makes the initial
contact with the EAP staff; the date and manner of initial contact,
i.e., by telephone or in person; notes of presenting problem(s) upon
initial contact with EAP staff; documents received from supervisors or
personnel on work-lace problems or performance; insurance data; name
and address of treatment facilities; number of sessions attended by the
participating employee or family member; leave records; written consent
forms, and abeyance/back-to-work agreements (made to mitigate adverse
actions based upon treatment); information on confirmed, unjustified
positive drug tests provides by the Drug Free Workplace Program and the
Medical Review Officer under E.O. 12564; and ``sanitized'' audit
records of the EAP/Contractor/Subcontractors Program. Records may also
include any records which may assist in (1) assessing and counseling
the individual on a short-term basis, and (2) identifying those
individuals who may need long-term professional counseling, treatment
and/or rehabilitation services. Records may also contain date of intake
at the contractor and/or subcontractors; pertinent psychological,
medical, employment and/or financial histories; address(es) and
credentials of subcontractors providing short-term counseling;
attendance at short-term counseling sessions; prognosis information;
information of problem resolution through short-term counseling, and,
if applicable, date closed. Records may also include recommendations
and referrals to community resources for long-term counseling,
treatment and/or rehabilitation programs beyond the services provided
by the USMS EAP, contractor and/or subcontractors, including referrals
for other assistance not related to financial concerns, or
psychological or medical health.
B. Records of the contractor and/or subcontractors include a
statement of understanding, diagnostic evaluation, treatment plan, and
a termination summary of all active clients. They may also include any
records which may assist in (1) assessing and counseling the individual
on a short-term basis, and (2) identifying those individuals who may
need long-term professional counseling, treatment and/or rehabilitation
services. Records of the contractor may also include any records which
may assist in monitoring and evaluating the performance of various
subcontractors outside the Washington, DC metropolitan area. Examples
of contractor and/or subcontractor(s) records are: Personal identifying
data on the employee and/or family member such as name, social security
number, gender, home address and telephone number(s); notes and
documentation of problem(s) presented upon initial contact with the
contractor and/or subcontractor(s), date of intake at the contractor
and/or subcontractor(s); pertinent psychological, medical, employment
and/or financial histories; address(es) and credentials of
subcontractor(s) providing short-term counseling; clinical notes and
documentation on short-term counseling; attendance at short-term
counseling sessions; prognosis information; information of problem
resolution through short-term counseling, if applicable; date the case
closed; information on confirmed, unjustified positive drug tests; and
client employee/family member evaluations of services provided by the
USMS EAP, the contractor and/or subcontractor(s). Records may also
include recommendations and referrals to community resources for long-
term counseling, treatment and/or rehabilitation programs beyond the
services provided by the USMS EAP, contractor and/or subcontractor(s),
including referrals for other assistance not related to financial
concerns, or psychological or medical health.
C. Other records included in the system (and which may be
duplicated by the USMS EAP and the contractor and/or subcontractor(s)
offices, when relevant, necessary, and proper) are those obtained from
specialized service providers (SSPs) with the written consent of the
subject individuals.\1\ Generally, such records are limited to those
which relate to attendance at sessions, prognosis for recovery,
motivation, and progress toward recovery. However, where the record
subject deems it necessary or desirable to furnish additional records,
such records could include: medical tests and screenings; treatment and
rehabilitation plans as well as behavioral improvement plans; notes and
documentation on counseling; and relevant information pertaining to
assistance provided on matters other
[[Page 60848]]
than financial concerns, or psychological or medical health.
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\1\ SSPs are health service, community-based organizations,
which offer long-term treatment and rehabilitation services. The
USMS EAP and/or the contractor and/or subcontractors may recommend
that the individual seek professional assistance beyond that
provided by the USMS EAP Program contracted out with the contractor
and/or subcontractors. Where the individual chooses to pursue
further treatment, he may elect to provide the USMS EAP and/or the
contractor and/or subcontractor(s) with such information as may be
relevant to the back-to-work agreement.
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Authority for maintenance of the system:
42 U.S.C. 290dd, et seq. and 290ee, et seq.; 42 CFR 2.1, et seq.;
E.O. 12564, 5 U.S.C. 3301 and 7901; 44 U.S.C. 3101 and Pub. L. 100-71,
sec. 503 (July 11, 1987).
Purpose(s):
The EAP is a voluntary program designed to assist the employee in
obtaining necessary help in handling personal problem(s) affecting job
performance, and to provide emotional support and assistance during
periods of crises, including those arising from traumatic work-related
incidents. No records are maintained on traumatic work-related
incidents. Records are maintained to document participation in the EAP
program; the nature and effects of the employee's personal problem(s);
and efforts to counsel the employee. Records may be used also to
monitor compliance with abeyance and back-to-work agreements made to
mitigate adverse actions based upon treatment. Routine uses of records
maintained in the system, including categories of users and the purpose
of such uses:
In addition to those disclosures permitted by the Privacy Act
itself, 5 U.S.C. 552a(b),\2\ permissive disclosures, without individual
consent, are as follows:
1. To the extent that it is appropriate, relevant, and necessary to
enable the contractor and/or subcontractor(s) to perform counseling,
referral and program performance evaluation responsibilities, the USMS
will provide those records--identified in paragraph A of the ``Category
of Records in the System'' to the contractor and/or subcontractor(s)
who, on behalf of the USMS, maintain and operate a portion of this
system of records--identified in paragraph B of the same caption.
2. Either the USMS or the contractor and/or subcontractor(s) may
disclose as follows: (a) To the appropriate State or local agency or
authority to the extent necessary to comply with the laws governing
reporting incidents of suspected child abuse or neglect, and (b) to
Federal, State and/or local authorities or to any other entity or
person to the extent necessary to prevent an imminent and potential
crime which directly threatens loss of life or serious bodily injury.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Information is stored in locked metal safes.
Retrievability:
Records are retrieved by name of employee and, in limited cases
immediate family members.
Safeguards:
In accordance with the requirements of 42 CFR 2.16, USMS EAP and
contractor and subcontractors records are stored in secure environment.
Access to USMS EAP records is restricted to designated USMS EAP
personnel, except as otherwise permitted by law or with the written
consent of the individual. Vouchers prepared to effect payment for
services rendered by the contractor and/or subcontractors in
performance of the contract do not contain individual identifiers.
Invoices prepared by contractor and/or subcontractors located outside
the Washington, DC metropolitan area are sent by first-class mail to
the designated member(s) of the local contractor and/or subcontractors
contracted with the USMS. In turn, invoices or other records prepared
in support of payment vouchers which contain individual identifiers are
hand-carried by the local contractor and/or subcontractors to the EAP
Administrator who retains the supporting documentation. Records are
maintained in locked metal safes. Entry to headquarters is restricted
by 24-hour guard service to employees with official and electronic
identification.
Access to contractor and/or subcontractors records is restricted to
a designated member(s) of the contractor and/or subcontractors, except
as otherwise provided by law or with the written consent of the
individual. Contractor and/or subcontractors records are stored in
locked files also.
Retention and disposal:
Records are retained for three years after the individual ceases
contact with the USMS EAP and/or the contractor and/or subcontractor(s)
unless a longer retention period is necessary because of pending
administrative or judicial proceedings. In such cases, the records are
retained for six months after the case is closed. At that time the
records are destroyed by shredding (General Records Schedules 26 and
36).
System manager(s) and address:
Employee Assistance Program Administrator, Health and Safety Team,
Human Resources Division, United Stats Marshals Service, 600 Army Navy
Drive, Arlington, Virginia 22202-4210.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Address all requests for access to the USMS EAP records (identified
in paragraphs A and C of ``Category of records in the system'') in
writing to system manger identified above. Address all requests for
records maintained by the contractor and/or subcontractors (identified
in paragraph B of the same caption) to these service providers.
Address(es) of these service providers may be obtained by contacting
the USMS EAP Office. Clearly mark the envelope and letter ``Privacy Act
Request.'' Clearly indicate the name of the requester, nature of the
record sought, and approximate date of the record. In addition, provide
the required verification of identity (28 CFR 16.41(d)) and a return
address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information in accordance
with the procedures outlined under ``Record access procedures.'' State
clearly and concisely the information being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Clearly mark the letter and envelope ``Privacy Act Amendment Request.''
Record source categories:
Records are generated by the employee who is the subject of the
record; USMS EAP personnel; the contractor and/or subcontractor(s), and
the SSP; the USMS Human Resources Division; and the employee's
supervisor. In the case of a confirmed, unjustified positive drug test,
records may also be generated by the staff of the Drug-Free Workplace
Program and the Medical Review Officer.
Exemptions claimed for the system:
None.
JUSTICE/USM-016
System name:
U.S. Marshal Service (USMS) Key Control Record System.
Security classification:
Limited Official Use.
System location:
Office of Security, Executive Services Division, United States
Marshals Service, 600 Army Navy Drive, Arlington, Virginia 22202-4210.
[[Page 60849]]
Categories of individuals covered by the system:
Current and former employees of the USMS who have been issued
office keys for USMS Headquarters locations.
Categories of records in the system:
Records contained in this system consist of an automated index
which includes the name of the employee to whom a key is issued; the
social security number (only when two or more employees have identical
names, including middle initial); unique key identification code
number; key type (e.g., grand master, master, submaster, change);
storage container hook number; description (e.g., number
identification) of door(s), room(s), and/or area(s) the key opens or
accesses; transactions type and/or status (e.g., key issued,
transferred, retrieved, lost, broken) and transaction date; and, any
other appropriate comment, e.g., comments regarding key, door, room,
area, etc. In addition, a manual index with abbreviated data is
maintained as a backup system. This manual index includes the room/
suite number, the name of the employee to whom a key is issued, the key
identification code number, and date(s) of issuance and retrieval.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
The USMS Key Control Record System serves as a record of keys
issued and facilitates continuing security at USMS Headquarters
locations. Records are maintained to assist in restricting office and
work area access to authorized USMS personnel by controlling,
monitoring and tracking keys issued. In addition, the records assist in
identifying any repairs, changes, or additional security measures that
may be necessary as a result of lost or broken keys.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records or information may be disclosed:
(a) In the event that a record(s) indicate a violation of potential
violation of law, whether civil, criminal, or regulatory in nature, and
whether arising by general statute or particular program statute, or by
rule, regulation, or order pursuant thereto, the relevant record(s) may
be disclosed to the appropriate agency, whether Federal, State, or
local, charged with the responsibility of investigating or prosecuting
such violation, and/or charged with enforcing or implementing such
statute, rule, regulation or order;
(b) In a proceeding before a court or adjudicative body before
which the USMS is authorized to appear when any of the following is a
party to litigation or has an interest in litigation and such records
are determined by the USMS to be arguably relevant to the litigation:
The USMS or any of its subdivisions; any USMS employee in his or her
official capacity, or in his or her individual capacity where the
Department of Justice agrees to represent the employee; or the United
States where the USMS determines that the litigation is likely to
affect it or any of its subdivisions;
(c) To student volunteers or other workers, who technically do not
have the status of Federal employees, when they are performing work for
the USMS as authorized by law and they need access to personally
identifiable information in USMS records in order to perform their
assigned USMS functions;
(d) To the news media and the public pursuant to 28 CFR 50.2 unless
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy;
(e) To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff requests the information on behalf of
and at the request of the individual who is the subject of the record;
(f) To the National Archives and Records Administration and to the
General Services Administration in records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Automated index records are stored on magnetic disks. Paper copies
of automated records are kept in file folders and original paper
records of the manual index are stored in card files.
Retrievability:
Records are retrieved by name of the individuals covered by the
system.
Safeguards:
Access to these records is restricted to personnel of the USMS,
Office of Security. Computerized records may be accessed only by
assigned code and password. Paper records are located in a restricted
area and are maintained in metal filing cabinets or safes which are
locked during non-duty hours.
Retention and disposal:
Records are retained for three years after turn-in of the key at
which time they are destroyed (General Records Schedule 18).
System manager(s) and address:
Chief, Office of Security, Executive Services Division, United
States Marshals Service, 600 Army Navy Drive, Arlington, Virginia
22202-4210.
Notification procedure:
Same as the ``Records access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope ``Freedom of Information/Privacy Act Request.'' Clearly
indicate the name of the requester, nature of the record sought,
approximate dates of the record, and provide the required verification
of identity (28 CFR 16.41(d)). Direct all requests to the system
manager identified above, Attention: FOI/PA Officer, and provide a
return address for transmitting the information.
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager listed above. State clearly and concisely the information being
contested, the reasons for contesting it, and the proposed amendment to
the information sought. Clearly mark the letter and envelope ``Freedom
of Information/Privacy Act Request.''
Record source categories:
Information contained in this system is collected from the
individual and the system manager.
Exemptions claimed for the system:
None.
[FR Doc. 99-28631 Filed 11-5-99; 8:45 am]
BILLING CODE 4410-AR-M