[Federal Register: April 28, 2004 (Volume 69, Number 82)]
[Notices]
[Page 23213-23216]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr28ap04-82]
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DEPARTMENT OF JUSTICE
[AAG/A Order No. 006-2004]
Privacy Act of 1974; System of Records
AGENCY: Department of Justice.
ACTION: Notice of modified system 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 the system
of records entitled ``U.S. Marshals Service Prisoner Processing and
Population Management/Prisoner Tracking System (PPM/PTS), JUSTICE/USM-
005.'' This system of records was last published in the Federal
Register on November 8, 1999 (64 FR 60836). 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 system modifications. The public, OMB and
Congress are invited to comment on the modifications to this system.
DATES: The proposed changes will be effective June 7, 2004, 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 PPM/PTS system of
records expands the category of individuals covered by the system,
corrects the office address for the primary system, describes
additional
[[Page 23214]]
locations of certain records in the system, corrects the Internet
location of addresses for USMS district offices, clarifies the location
of certain medical records, clarifies existing routine uses, adds
certain routine uses, and updates the retrieval, safeguards and
retention and disposal sections.
In accordance with 5 U.S.C. 552a(r), the Department has provided a
report on the modified system to OMB and the Congress. A description of
this system is reprinted below.
Dated: April 21, 2004.
Paul R. Corts,
Assistant Attorney General for Administration.
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,
11th Floor, CS-4, Washington, DC 20530-1000.
Decentralized Segments: Each district office of the U.S. Marshals
Service (USMS) maintains only 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 at (http://www.usmarshals.gov).
Centralized Segment: The Contractor with whom the USMS has
contracted to establish and manage a nationwide integrated health care
delivery system and to process and pay medical claims will maintain a
single site for appropriate paper documents (e.g., invoices) and
automated files online related to these activities (e.g., names and
addresses of hospitals, physicians and other health care providers and
support service systems).
Medical Records: Records generated by community physicians,
hospitals, and ancillary support service systems developed by the
Contractor as participants in the Preferred Provider Network (PPN) to
deliver health care services for USMS prisoners are maintained by the
respective offices of these licensed providers. Addresses of these
licensed providers may be obtained by contacting the USMS Office of
Interagency Medical Services (OIMS), Prisoner Services Division at the
address above.
Categories of individuals covered by the system:
Prisoners taken into custody of the U.S. Marshal and providers of
prisoner health care services under the USMS Managed Health Care
Contract.
Categories of records in the system:
Any and all information necessary to complete administrative
processes, safekeeping, health care, and disposition of individual
Federal prisoners who are in custody pending criminal proceedings,
together with any law enforcement related records generated during such
custody. Records include a compilation of basic information on each
prisoner taken into custody of the U.S. Marshal covering identifying
data, the reason for U.S. Marshal custody (e.g., Federal indictment,
complaint, or writ), the court disposition of charges, dates of
custody, and institutions to which committed or housed. Also included
are Form USM-129, Prisoner Custody, Detention and Disposition Record
(formerly DJ-100); prisoner photograph; personal history statement;
fingerprint card; identification record; detainer notice; speedy trial
notice; prisoner remand or order to deliver prisoner, and receipt for
U.S. prisoner; property receipt; court records including writs, bail/
bond release information, judgment and commitment and other court
orders; prisoner alert notice; prisoner complaints or serious incident
reports (and related investigatory information) filed by either the
prisoner or by officials or by other individuals at the institution
where the prisoner is housed and covering a wide range of potentially
serious issues, e.g., medical treatment of prisoners, and attempted
escapes or alleged prisoner misconduct or criminal activity;
designation requests to Bureau of Prisons (BOP) and BOP responses;
information identifiable to informants, protected witnesses, and
confidential sources; access codes and data entry codes and message
routing symbols used to communicate with law enforcement officials
regarding the custody and safekeeping of prisoners; and prisoner
transportation requests to the Prisoner Transportation Division (and
any related records) which may include sensitive security data. Medical
records included in this system consist of nurses' notes of medical
problems, diagnosis, treatment recommended; names of health care
providers at the housing unit, social workers, attorneys, family
members and USMS contact personnel; special issue or treatment notices;
names and addresses of community treatment facilities, physicians and
other community health care providers and support service systems,
dates of service, provider tax identification numbers; medical care
given, cost of care, and billing records. Medical records generated by
health care providers may be included in this system of records, as
necessary for continuity of care/appropriate care 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, health care provider, 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 and health care
providers (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
the safe and efficient transfer of prisoners to other jurisdictions, to
court appearances, or to the designated
[[Page 23215]]
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. Where a record, either on its face or in conjunction with other
information, indicates a violation or potential violation of law--
criminal, civil, or regulatory in nature--the relevant records may be
referred to the appropriate Federal, State, local, foreign, or tribal
law enforcement authority or other appropriate agency charged with the
responsibility of investigating or prosecuting such a violation or
enforcing or implementing such law.
3. To Federal, state or local public health agencies for infectious
disease control.
4. In an appropriate proceeding before a court, or administrative
or adjudicative body, when the Department of Justice determines that
the records are arguably relevant to the proceeding; or in an
appropriate proceeding before an administrative or adjudicative body
when the adjudicator holds the records to be relevant to the
proceeding.
5. To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
on such matters as settlement, plea bargaining, or in informal
discovery proceedings.
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 would 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) in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
9. To the extent that it is appropriate, relevant and necessary to
enable the Contractor and/or subcontractor(s) to ensure continuity of
care/appropriate health care for USMS prisoners, to process and pay
medical claims, and to carry out program performance evaluation
responsibilities.
10. To appropriate officials and employees of a Federal agency or
entity which requires information relevant to a decision concerning the
hiring, appointment, or retention of an employee; the issuance,
renewal, suspension, or revocation of a security clearance; the
execution of a security or suitability investigation; the letting of a
contract, or the issuance of a grant or benefit.
11. To Federal, State, local, tribal, or foreign licensing agencies
or associations which require information concerning the suitability or
eligibility of an individual for a license or permit.
12. A record may be disclosed to designated officers and employees
of State or local (including the District of Columbia), or tribal law
enforcement or detention agencies in connection with the hiring or
continued employment of an employee or contractor, where the employee
or contractor would occupy or occupies a position of public trust as a
law enforcement officer or detention officer having direct contact with
the public or with prisoners or detainees, to the extent that the
information is relevant and necessary to the recipient agency's
decision.
13. To contractors, grantees, experts, consultants, students, and
others performing or working on a contract, service, grant, cooperative
agreement, or other assignment for the Federal Government, when
necessary to accomplish an agency function related to this system of
records.
14. The Department of Justice may disclose relevant and necessary
information to a former employee of the Department for purposes of:
responding to an official inquiry by a Federal, state, or local
government entity or professional licensing authority, in accordance
with applicable Department regulations; or facilitating communications
with a former employee that may be necessary for personnel-related or
other official purposes where the Department requires information and/
or consultation assistance from the former employee regarding a matter
within that person's former area of responsibility.
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 and electronic records are stored on magnetic discs.
Retrievability:
Information is retrieved by name and/or number of prisoner, and/or
health care provider. Records retrieved by name or number of health
care provider will consist of the provider's address and, by name and
number of prisoners treated, claim number, dates of service, nature of
service, amount billed, USMS amount allowed, amount saved, and
percentage saved.
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.
All USMS contractors must have personnel security clearances
commensurate with the highest level of information processed by the
system, in this case Limited Official Use. Encryption technology shall
be applied to passwords and symmetric or private asymmetric keys,
activities of a system administrator or for system maintenance, and
information stored on laptop computers. All information technology
systems within a component are subject to the certification and
accreditation process.
Retention and disposal:
General prisoner records are kept in active files until a prisoner
has been transferred from the custody of USMS. After a prisoner leaves
USMS custody, the file is closed, and at the end of the year, closed
files are separated from active files. Closed files are maintained for
one year after separation, then are transferred to a Federal Records
Center, and are destroyed after 10 years, or sooner, if ordered by the
Court. This does not apply to records maintained by the Contractor,
which are discussed below.
The Contractor will maintain all appropriate paper documents (i.e.,
invoices, etc.) and automated online files for the duration of the
contract performance. Computer storage media containing Limited
Official Use information will be overwritten or degaussed prior to
release of the storage media outside the USMS. At the end of the
contract, the contractor shall turn over all paper documents and an
automated file of the database offline to the USMS within two weeks of
contract expiration. All paper documents and
[[Page 23216]]
automated files of the database will be maintained in accordance with
the General Records Schedule 6, Item 1a (Accountable Officers' Files),
as published by NARA, unless a longer retention period is necessary
because of pending administrative or judicial proceedings.
The retention and disposal procedures for this system of records
are in accordance with the NARA disposition authority for the USMS
which is NI 527-99-1, or the General Records Schedule as appropriate.
System manager(s) and address:
Assistant Director, Prisoner Services Division, United States
Marshals Service, 11th Floor, CS-4, Washington, DC 20530-1000.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Requests for access must be in writing and should be addressed to
the System Manager named above, Attention: FOI/PA Officer. The envelope
and letter should be clearly marked ``Privacy Act Access Request.'' The
request should include a general description of the records sought and
must include the requesters's full name, current address, and date and
place of birth. The request must be signed, dated, and either notarized
or submitted under penalty of perjury. Some information may be exempt
from access provisions as described in the section entitled
``Exemptions Claimed for the System.'' An individual who is the subject
of a record in this system may access those records that are not exempt
from disclosure. A determination whether a record may be accessed will
be made at the time a request is received.
Contesting record procedures:
Individuals desiring to contest or amend information maintained in
the system should direct their request to the system manager listed
above, Attention: FOI/PA Officer, stating clearly and concisely the
identifying information required above in ``Record access procedures'',
what information is being contested, the reasons for contesting it, and
the proposed amendment to the information sought. Some information may
be exempt from contesting record procedures as described in the section
entitled ``Exemptions Claimed for the System.'' An individual who is
the subject of a record in this system may amend those records that are
not exempt. A determination whether a record may be amended will be
made at the time a request is received.
Record source categories:
Information is received from the prisoner, the courts, Federal,
State, local, tribal 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 5 U.S.C. 553(b), (c)
and (e) and have been published in the Federal Register. The rules are
codified at 28 CFR 16.101(q) and (r).
[FR Doc. 04-9647 Filed 4-27-04; 8:45 am]
BILLING CODE 4410-04-P