WAIS Document RetrievalFrom the Privacy Act Online via GPO Access [wais.access.gpo.gov] [DOCID:agri_000-18] DEPARTMENT OF AGRICULTURE USDA/APHIS-1 System name: Investigative and Enforcement Records Regarding Regulatory Activities, USDA/APHIS. System location: Investigative and Enforcement Services (IES) Program, USDA, APHIS, 4700 River Road, Riverdale, MD 20737-1232. The electronic and paper files are maintained by IES Offices at headquarters and area offices. Hard copy files from which IES will compile its database will be kept on file at IES, 4700 River Road, Riverdale, MD, 20737- 1232, and at APHIS regional IES offices in Raleigh, NC, and Fort Worth, TX. Addresses for the regional offices may be obtained from the Director, Investigative and Enforcement Services, 4700 River Road, Riverdale, MD, 20737-1232. Categories of individuals covered by the system: Violators, alleged violators, and witnesses of violations of plant protection and quarantine laws, animal quarantine laws, and animal welfare and horse protection laws; individuals who have outstanding civil penalties; individuals who are indebted to the Federal Government and whose debts are serviced by the Animal and Plant Health Inspection Service; and IES investigators assigned to cases. Categories of records in the system: The system consists of all paper and electronic investigative files on violators and alleged violators and contains copies of names and addresses, social security numbers or assigned vendor numbers, type of infraction, copies of violation reports, compliance agreements, witness statements, warning notices, Office of General Counsel recommendations to the Department of Justice (DOJ), court disposition documents, complaints, consent decision documents, decisions and orders, and the amount of civil penalties assessed by the Department. The automated Investigative and Enforcement Services Tracking System contains the name and address of each alleged violator, the tracking number assigned to the case, social security number or assigned vendor number, type of violation, names of witnesses, name of inspector, dates of actions taken, status of case, final decision, dollar amount of penalty, name of investigator, and sanction information. Authority for maintenance of the system: 7 U.S.C. 7701-7772; 21 U.S.C. 101-105, 111-134, 7 U.S.C. 2131 et seq.; 15 U.S.C. 1821 et seq.; 31 U.S.C. 3711-3719; the records in this system are used to issue bills and collect funds due to the Government in compliance with the Debt Collection Act of 1982, Pub.L. 97-365, 96 Stat. 1749, as amended by Pub.L. 98-167, 97 Stat. 1104, and the Debt Collection Improvement Act of 1996, Pub.L. 104-134, 110 Stat. 1321; and case management information in this system is used to monitor compliance with the Government Performance and Results Act of 1996. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: (1) Referral to other Federal, State, local or foreign investigative, prosecuting, or enforcement agencies, when information available indicates a violation or potential violation of law, general statute, particular program statute, rule, regulation or order, whether civil, criminal or regulatory in nature. (2) Disclosure to the DOJ for use in litigation when: (a) The Agency, or any component thereof; or (b) any employee of the Agency or his or her official capacity where the Department of Justice has agreed to represent the employee; or (c) the United States Government, is a party to litigation or has an interest in such litigation; and by careful review, the Agency determines that the records are both relevant and necessary to the litigation and the use of such records by the DOJ is therefore deemed by the Agency to be for a purpose that is compatible with the purpose for which the records were collected. (3) Disclosure to a court or adjudicative body in a proceeding when: (a) The Agency or any component thereof; or (b) any employee of the Agency in his or her official capacity; or (c) any employee of the Agency in his or her individual capacity where the Agency has agreed to represent the employee; or (d) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the Agency determines that the records are both relevant and necessary to the litigation and the use of such records is therefore deemed by the Agency to be for a purpose that is compatible with the purpose for which the Agency collected the records. (4) Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual. (5) Information contained in this system of records may be disclosed to a debt collection agency when USDA determines such referral is appropriate for collecting the debtor's account as provided for in US Government contracts with collection agencies executed pursuant to 31 U.S.C. 3718. (6) Where prior collection efforts have failed, the USDA will refer to the Department of the Treasury information from this system of records concerning past due legally enforceable debts for offset against tax refunds that may become due the debtors for the tax year in which referral is made in accordance with IRS regulations at 26 CFR 301.6402-6T, offset of past-due Legally Enforceable Debt Against Overpayment, and under the authority contained in 31 U.S.C. 3720A (7) Information contained in this system of records may be disclosed to a consumer reporting agency in accordance with 31 U.S.C. 3711(f). (8) Information contained in this system of records, related to non-tax debts or claims that are delinquent for 180 days, will be sent to the Department of the Treasury or to other Federal agencies designated by the Secretary of the Treasury for the purpose of offsetting Federal payments to collect delinquent debts, owed to the Federal Government. Records will be matched by Taxpayer Identification Number (TIN) and name. For an individual, the TIN is the social security number. For a business, the TIN is the Employer Identification Number. The release of this information is in accordance with 31 U.S.C. 3716 and 4 CFR part 102. Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: Case files are maintained in file folders in file drawers, computer printouts, magnetic tape, and in the databases in the Investigative and Enforcement Services Tracking System. Retrievability: Records can be accessed by alleged violator's name, name of business if other than alleged violator's name, and violation case number. Safeguards: Records, both paper and electronic, are accessible only to authorized personnel. Multiple security measures are in place to prevent outsiders from entering the system. Retention and disposal: Records are transferred to the Federal Records Center for storage and disposition in accordance with General Services Administration regulations. Master history and magnetic tapes are retained in accordance with tape library management schedule. System manager(s) and address: Director, Investigative and Enforcement Services, USDA, APHIS, 4700 River Road, Riverdale, MD 20737-1232. Notification procedure: Any individual may request information regarding this system of records or request information on whether the system contains records pertaining to him/her from the system manager. A request for information pertaining to an individual should be in writing and should contain: name, address, social security number or assigned vendor number, and particulars involved. Record access procedures: Any individual may obtain information from a record in the system which pertains to him/her by submitting a written request to the Privacy Act Officer, LPA, USDA, APHIS, 4700 River Road, Riverdale, MD, 20737-1232. Contesting record procedures: Any individual may contest information contained within a record in the system which pertains to him/her by submitting a written request to the system manager. Record source categories: Information in this system comes primarily from USDA employees or other investigative personnel. Exemptions claimed for the system: This system has been exempted pursuant to 5 U.S.C. 552(a)(k)(2) from the requirements of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f). See 7 CFR 1.23. Individual access to these records would impair investigations and alert subjects of investigations that their activities are being scrutinized, and thus allow them time to take measures to prevent detection of illegal action to escape prosecution. Any individual who believes, however, that he or she has been denied any right, privilege or benefit for which he or she would otherwise be eligible as a result of the maintenance of such material may request access to the material. Such requests should be addressed to the APHIS Privacy Act Officer, LPA, USDA, APHIS, 4700 River Road, Riverdale, MD 20737-1232.