System Notice for Office of Internal Audit Investigations Index and Records
JUSTICE/INS-002
SYSTEM NAME:
Office of Internal Audit Investigations Index and Records.
SYSTEM LOCATION:
Headquarters office, Immigration Naturalization Service (INS), 425 I Street, NW, Washington, DC. In addition, field offices of the INS have access only to hardcopy files during an investigation. A complete address list is detailed in JUSTICE/INS-999.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Information relating to investigations, including:
a. Letters, memoranda, and other documents citing complaints of alleged criminal, civil, or administrative misconduct (i.e., program subject files and internal review case files).
b. Investigative files (i.e., selected and non-selected cases) which include: reports of investigations to resolve allegations of misconduct or violations of law with related exhibits, statements, affidavits or records obtained during investigations; prior criminal or non-criminal records of individuals as they relate to the investigations; reports from or to other law enforcement bodies; information obtained from informants and identifying data with respect to such informants; nature of allegations made against suspects and identifying data concerning such subjects; public source materials; and employee identifying data (e.g., full name, social security number, address, duty station, grade, job series, entrance on duty [EOD] date, and date of birth) obtained from the National Finance Center [NFC] payroll system
CATEGORIES OF RECORDS IN THE SYSTEM:
Information relating to investigations, including:
a. Letters, memoranda, and other documents citing complaints of alleged criminal, civil or administrative misconduct.
b. Investigative files which include: Reports of investigations to resolve allegations of misconduct or violations of law with related exhibits, statements, affidavits or records obtained during investigations; prior criminal or noncriminal records of individuals as they relate to the investigations; reports from or to other law enforcement bodies; information obtained from informants and identifying data with respect to such informants; nature of allegations made against suspects and identifying data concerning such subjects; and public source materials.
AUTHORITY FOR MAINTENANCE OF RECORDS:
1. Sections 103, 265 and 290 and Title III of the Immigrations and Nationality Act (66 Stat. 163), as amended (8 U.S.C. 1103; 8 U.S.C. 135; 8 U.S.C. 1360), and the regulations pursuant thereto; and
2. Inspector General Act of 1978, 5 U.S.C. App., as amended by the Inspector General Act Amendments of 1988.
PURPOSE(S):
The INS OIA will maintain this system of records in order to meet its responsibilities as assigned pursuant to the Inspector General Act of 1978, 5 U.S.C. App., as amended by the Inspector General Act Amendments of 1988. Records in this system are used in the course of investigating individuals and entities suspected of having committed illegal or unethical acts and in the course of conducting related criminal prosecutions, civil proceedings, or administrative actions. Further, this system of records is used to monitor case assignment, disposition, status, and results.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:
Relevant information contained in this system of records may be disclosed as follows:
A. To a Member of Congress or staff acting upon the Member's behalf when the Member or staff requests the information on behalf of and at the request of the individual who is the subject of the record.
B. To General Service Administration and National Archives and Records Administration (NARA) in records management inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
C. To complainants and/or victims to the extent necessary to provide such persons with information and explanations concerning the progress and/or results of the investigation or case arising from the matters of which they complained and/or of which they were a victim.
D. In the event that records indicate a violation or potential violation of law, whether arising by general statute or particular program statute, or by rule, regulation, or order pursuant thereto, or if records indicate a violation or potential violation of the terms of a contract or grant, the relevant records may be disclosed to the appropriate agency, whether federal, state, local, foreign, or international, charged with the responsibility of investigating or prosecuting such contract or grant.
E. To a federal, state, local, foreign or international agency, or to an individual or organization when necessary to elicit information which may assist an INS investigation, inspection or audit.
F. To a federal, state, local, foreign, or international agency maintaining civil, criminal or other relevant information if necessary to obtain information relevant to an INS decision concerning the reassignment, promotion or retention of an individual, the issuance or revocation of a security clearance, the reporting of an investigation of an individual, the letting of a contract, or the issuance or revocation of a license or other benefit.
G. To a federal, state, local, foreign or international agency in response to its request in connection with the assignment, hiring or retention of an individual, the issuance or revocation of a security clearance, the reporting of an investigation of an individual, letting of a contract, or the issuance or revocation of a license, grant or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.
H. To an administrative forum, including forums which may or may not include an Administrative Law Judge, and which may or may not convene public hearings/proceedings, or to other established adjudicatory or regulatory agencies, e.g., the Merit System Protection Board, the National Labor Relations Board, or other agencies with similar or related statutory responsibilities, where necessary to adjudicate decisions affecting individuals who are the subject of OIA investigations and/or who are covered by this system, including (but not limited to) decisions to effect any necessary remedial actions; e.g., the initiation of debt collection activity, disciplinary and/or other appropriate personnel actions, and/or other law enforcement related actions, where appropriate.
I. A record, or any facts derived therefrom, may be disseminated in a proceeding before a court or adjudicative body before which INS is authorized to appear when any of the following is a party to litigation or has an interest in litigation and such records are determined by INS to be arguably relevant to the litigation:
i. INS, or any subdivision thereof, or
ii. any employee of INS in his or her official capacity, or
iii. any employee of INS in his or her individual capacity where the Department of Justice has agreed to represent the employee, or
iv. the United States, where INS determines that the litigation is likely to afford it or any of its subdivisions.
J. To contractors, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for the Federal Government, when necessary to accomplish an agency function related to this system of records.
K. Pursuant to subsection (b)(3) of the Privacy Act, the Department of Justice may disclose relevant and necessary information to a former employee of the Department for purposes of: responding to an official inquiry by a federal, state, or local government entity or professional licensing authority, in accordance with applicable Department regulations; or facilitating communications with a former employee that may be necessary for personnel-related or other official purposes where the Department requires information and/or consultation assistance from the former employee regarding a matter within that person's former area of responsibility.
POLICIES AND PRACTICES FOR STORING RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are stored in locked file cabinets and in a computerized environment.
RETRIEVABILITY:
Generally, records are indexed and retrieved by OIA Case Number, Office of the Inspector General (OIG) Case Number, and surnames of the individuals covered by the system. These items are cross-referenced within the database and can be used alone or in conjunction with each other to retrieve a file.
SAFEGUARDS:
INS offices are located in buildings under security guard, and access to premises is by official identification. All records are stored in spaces which are locked outside of normal office hours. Many records are stored in cabinets or machines which are locked outside of normal office hours. Access to the automated system is controlled by restricted password for use of remote terminals in secured areas..
RETENTION AND DISPOSAL:
Program subject files are destroyed when 10 years old. Internal review case files are maintained until the end of the fiscal year in which the case was closed. One year after these records are closed, they are transferred to the National Records Center and kept for 10 years and then are destroyed. General internal review files will be destroyed when superseded, obsolete, or no longer needed for reference. Investigative case files concerning selected cases are maintained permanently. Ten years after the case is closed, it is transferred to NARA. Non-selected investigatory files are destroyed 10 years after the case is closed. Electronic versions of records created by the electronic mail and word processing applications are deleted when a file copy is generated or when no longer needed for reference or updating.
SYSTEM MANAGER AND ADDRESS:
Director, Office of Internal Audit, Immigration and Naturalization Service, 425 I Street, NW, Washington, DC 20536.
NOTIFICIATION PROCEDURES:
Inquiries should be addressed to the Freedom of Information and Privacy Act (FOIA/PA) Officer at the INS office where the record is maintained or to the FOIA/PA Officer at 425 I Street NW, Washington, DC 20536.
RECORD ACCESS PROCEDURES:
The major part of this system is exempted from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). To the extent that this system of records is not subject to exemption, it is subject to access. A determination as to the granting or denial of access shall be made at the time a request is received. Requests for access to records in this system shall be in writing, and should be addressed to the System Manager or the appropriate FOIA/PA Officer. Such request may be submitted either by mail or in person. If a request for access is made in writing, the envelope and letter shall be clearly marked ``Privacy Access Request.'' The requester shall include a description of the general subject matter and, if known, the related file number. To identify a record relating to an individual, the requester should provide his or her full name, date and place of birth, verification of identity (in accordance with 8 CFR 103.21(b)), and any other identifying information which may be of assistance in locating the record. The requester shall also provide a return address for transmitting the records to be released.
CONTESTING RECORDS PROCEDURES:
The major part of this system is exempted from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). To the extent that this system of records is not subject to exemption, it is subject to access and contest. A determination as to the granting or denial of a request shall be made at the time a request is received. An individual desiring to request amendment of records maintained in the system should direct his or her request to the System Manager or the appropriate FOIA/PA officer at the INS office where the record is maintained or (if unknown) to the INS FOIA/PA Officer at 425 I Street, NW, Washington, DC 20536. The request should state clearly what information is being contested, the reasons for contesting it, and the proposed amendment to the information.
RECORD SOURCE CATEGORIES:
The subjects of investigations; individuals with whom the subjects of investigations are associated; current and former INS officers and employees; officials of federal, state, local and foreign law enforcement and non-law enforcement agencies; private citizens, witnesses; confidential and nonconfidential informants; and public source materials.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Attorney General has exempted this system from subsections (c)(3) and (4); (d); (e) (1), (2), (3), (5), and (8); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, the system has been exempted from subsections (c)(3), (d), and (e)(1) pursuant to 5 U.S.C. 552a(k)(2). INS has published implementing regulations in accordance with the requirements of 5 U.S.C. 553 (b), (c), and (e) and these were published in the Federal Register of June 25, 1997 (62 FR 34169) and can be found at 28 CFR 16.99 (g) and (h).[FR Doc. 02-37 Filed 1-2-02; 8:45 am] BILLING CODE 4410-10-M