[Federal Register: June 18, 2007 (Volume 72, Number 116)]
[Notices]
[Page 33515-33534]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr18jn07-76]
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DEPARTMENT OF JUSTICE
[AAG/A Order No. 019-2007]
Privacy Act of 1974; Systems of Records
AGENCY: United States Marshals Service, 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 November 8, 1999 (64 FR
60832-52), except as otherwise set forth below under the caption
SUPPLEMENTARY INFORMATION.
DATES: 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. Please submit any comments by July
30, 2007. The proposed changes will be effective on that date, 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), facsimile number 202-
307-1853.
FOR FURTHER INFORMATION CONTACT: Ed Bordley, Attorney-Advisor, USMS, at
202-307-8571.
SUPPLEMENTARY INFORMATION: Modifications to the USMS systems of records
include: Updates to addresses for the systems locations and systems
managers' locations; corrections to office designations for systems
locations and titles of systems managers; revisions to reduce
redundancy and increase clarity; additions or changes to more
accurately describe the systems' categories of individuals, purposes,
categories of records and record source categories; clarifications to
existing routine uses; additions to the routine uses; updates to the
retention and disposal sections; and additions to data elements omitted
from previous notices. Specific changes for each USMS system of records
notice are set forth below:
USMS Badge & Credentials File, Justice/USM-001: The system location
and system manager location address have been updated. The section on
categories of individuals covered by the system has been changed.
Routine uses have been added and the others revised. An element has
been added under storage. Under record source categories, the category
``individuals for whom the badges/credentials were made'' was added.
USMS Internal Affairs System, Justice/USM-002: The system location
and system manager location address have been updated; the system
manager's designation has also been changed. The record categories
designation was modified to reflect the change in the system manager's
designation. The categories of individuals and record source categories
were expanded to be more specific. Routine uses have been added and the
others revised.
Special Deputation Files, Justice/USM-004: The system location and
system manager location address has been updated; the system manager's
designation has also been changed. The categories of individuals
covered designation has been expanded to be more specific. Minor
revisions were made to the categories of records. Routine uses have
been added and the others revised. The record source categories
subdivision has been revised to include individual applicants.
USMS Prisoner Processing and Population Management/Prisoner
Tracking System (PPM/PTS), Justice/USM-005, last published in the
Federal Register on April 28, 2004 (69 FR 23213): The system manager
designation has been changed. New categories have been added to the
categories of individuals covered. Under routine uses, the markers have
been changed from numeric to alpha characters to match the other system
notices. Three routine uses were removed to eliminate redundancy; and
one was added. The record source categories designation was revised to
reflect the changes in the individual categories.
USMS Training Files, Justice/USM-006: The primary system location
and system manager location address have been updated. The wording has
been changed for the categories of individuals covered. Routine uses
have been added and minor revisions made to the others. The retention
and disposal period has been corrected.
Witness Security Files Information System, Justice/USM-008: The
system location and system manager location address have been updated.
The section on categories of individuals covered has been expanded to
include potential witnesses and witnesses' or potential witnesses'
families; the wording has also been changed. The categories of records
has been revised to reflect the changes made in the categories of
individuals. Routine uses have been added and one routine use has been
removed. The retention and disposal category has been corrected; the
record source categories have also been modified.
Inappropriate Communications/Threat Information System (IC/TIS),
Justice/USM-009: The primary system location and system manager
location address have been updated. Routine uses were added and minor
revisions made to the others. The retention and disposal category has
been corrected. The record source categories have been revised to
include the threat or inappropriate communication initiator.
Judicial Facility Security Index System, Justice/USM-010: The
system location and system manager location address have been updated.
``USMS facilities'' has been added to the categories of individuals
covered. Routine uses were added and minor revisions made to the
others. ``Contractor'' has been added to the retrievability category.
Judicial Protection Information System, Justice/USM-011: The system
location and system manager location address have been updated. A
``Decentralized Segment'' has also been added under system location.
Routine uses have been added and minor revisions made to the others.
The record source category has been reworded.
U. S. Marshals Service Administrative Proceedings, Claims, and
Civil Litigation Files, Justice/USM-013: The system location and system
manager location
[[Page 33516]]
address have been updated. Routine use (f) was reworded. Routine uses
were added and minor revisions made to the others.
USMS Key Control Record System, Justice/USM-016: The system
location address has been updated and a decentralized location added.
The system manager has also been changed. The categories of individuals
covered was modified to reflect the decentralized location change. The
record categories designation was changed to eliminate redundancy.
Routine uses were added and minor revisions made to others.
Judicial Security Staff Inventory System, USMS-017: The system
location and system manager location address have been updated. The
categories of individuals covered has been expanded to include contract
employees and other individuals. Routine uses have been added and minor
revisions made to the others.
USMS Alternative Dispute Resolution (ADR) Files and Database
Tracking System, USM-018: The system location and system manager
location address have been updated. Routine uses have been added and
minor revisions made to the others.
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 found below.
Dated: June 5, 2007.
Lee J. Lofthus,
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, CS-3,
Washington, DC 20530-1000.
Categories of individuals covered by the system:
Current and former U.S. Marshals Service (USMS) personnel, other
federal employees, and student volunteers or other workers when they
are performing work for the USMS.
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
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 any criminal, civil, or regulatory law enforcement authority
(whether federal, state, territorial, local, tribal, or foreign) where
the information is relevant to the recipient entity's law enforcement
responsibilities;
(b) In an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(c) 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;
(d) To the news media and the public, including disclosures
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 for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(g) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings;
(h) Where a record, either alone 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, territorial, local, tribal,
or foreign law enforcement authority or other appropriate entity
charged with the responsibility for investigating or prosecuting such
violation or charged with enforcing or implementing such law;
(i) 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.
(j) To a former employee of the Department for purposes of:
responding to an official inquiry by a federal, state, territorial, 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;
(k) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Disclosure to consumer reporting agencies:
Records in this system are not appropriate for disclosure to
consumer reporting agencies.
[[Page 33517]]
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
STORAGE:
Records are kept in standard folders and kept electronically.
RETRIEVABILITY:
Records are indexed and retrieved by the individual's name and
numerical order of badges and credentials.
Safeguards:
Access is 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.
Records are destroyed when superseded or obsolete.
SYSTEM MANAGER(s) and address:
Assistant Director, Human Resources Division, United States
Marshals Service, CS-3, Washington, DC 20530-1000.
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 address of the System
Manager listed above, Attention: FOI/PA Officer, 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 and the individuals for whom the badges/
credentials are made.
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), Operations Support Division,
CS-3, Washington, DC 20530-1000.
Categories of individuals covered by the system:
USMS employees reported for or investigated for alleged misconduct.
Categories of records in the system:
The Internal Affairs System contains statements of the investigator
and witnesses, exhibits and reports of investigations prepared by the
Office of Inspection, 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 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;
(b) Where a record, either alone 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, territorial, tribal,
or foreign law enforcement authority or other appropriate entity
charged with the responsibility for investigating or prosecuting such
violation or charged with enforcing or implementing such law;
(c) To any person or entity that the USMS Office of Internal
Investigations has reason to believe possesses information regarding a
matter within the jurisdiction of the USMS Office of Internal
Investigations, to the extent deemed to be necessary by the Office in
order to elicit such information or cooperation from the recipient for
use in the performance of an authorized activity;
(d) 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;
(e) 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;
(f) In an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(g) To the news media and the public, including disclosures
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 for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(j) To a former employee of the Department for purposes of:
responding to an official inquiry by a federal, state, territorial 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
[[Page 33518]]
information and/or consultation assistance from the former employee
regarding a matter within that person's former area of responsibility;
(k) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings.
(l) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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 the employee's name 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 the case or investigation is closed, and destroyed 10
years after the close of the case or investigation.
System manager(s) and address:
Chief, Office of Inspection, Operations Support Division, U.S.
Marshals Service, CS-3, Washington DC 20530-1000.
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 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 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:
Sources of information contained in this system are the individuals
covered by the system, individuals and entities contacted by
investigators, and government records.
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), (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.
See 28 CFR 16.101.
JUSTICE/USM-004
System name:
Special Deputation Files.
Security Classification:
Limited Official Use.
System location:
United States Marshals Service (USMS), Investigative Services
Division, CS-4, Washington, DC 20530-1000.
Categories of individuals covered by the system:
Federal, state and local law enforcement employees; physical
security and personal protection employees; USMS employees; and USMS
contract personnel appointed to perform the functions of Deputy U.S.
Marshals.
Categories of records in the system:
Special Deputation files contain agency request letters, individual
applications for special deputation, notifications to local U.S.
Marshal to swear in special deputies, copies of oath of office and
credentials of persons utilized as deputy marshals.
Authority for maintenance of the system:
28 CFR subpart T, 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. 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 a federal, state or local law enforcement agency regarding
that agency's USMS deputized employees;
(b) In an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(c) 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;
(d) To the news media and the public, including disclosures
pursuant to 28
[[Page 33519]]
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 for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(g) Where a record, either alone 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, territorial, tribal,
or foreign law enforcement authority or other appropriate entity
charged with the responsibility for investigating or prosecuting such
violation or charged with enforcing or implementing such law;
(h) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings;
(i) 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;
(j) A record may be disclosed to designated officers and employees
of state, territorial, 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;
(k) 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;
(l) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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 are cut off annually upon expiration and destroyed when
they are five years old.
System manager(s) and address:
Chief of Special Deputation Unit, Investigative Services Division,
U.S. Marshals Service, CS-4, Washington, DC 20530-1000.
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
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 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:
Information is derived from individual applicants and agencies
requesting 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: Witness Security and Prisoner Operations, 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).
[[Page 33520]]
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:
Arrestees, fugitives, prisoners, and other individuals under
custody of the USMS and prisoner health care services providers 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
individual taken into the U.S. Marshals Service's custody including
identifying data, reason for U.S. Marshal custody (e.g., Federal
indictment, complaint, or writ), the court disposition of charges,
custody dates, and institutions to which individuals are committed or
housed. The records also encompass 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
individuals in USMS's custody. 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. Marshals 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:
Records or information may be disclosed:
(a) To other federal, state, local or foreign law enforcement
agencies; contractors and/or subcontractors; contract detention or
medical facilities; and health care providers to protect and ensure the
safety and/or health of prisoners, the public, and law enforcement
officials; to ensure fair and proper treatment of prisoners during
custody and transfer of custody; to assist the USMS in pursuing any
necessary inquiry/investigation of complaints, alleged misconduct or
criminal activity; to process and pay medical claims; and to perform
evaluation duties. 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
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;
(b) To any criminal, civil, or regulatory law enforcement authority
(whether federal, state, territorial, local, tribal, or foreign) where
the information is relevant to the recipient entity's law enforcement
responsibilities.
(c) In an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(d) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings;
(e) To the news media and the public, including disclosures
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 for
purposes of records management inspections
[[Page 33521]]
conducted under the authority of 44 U.S.C. 2904 and 2906;
(h) To federal, state, territorial, local, tribal, foreign or
international licensing agencies or associations which require
information concerning the suitability or eligibility of an individual
for a license or permit;
(i) A record may be disclosed to designated officers and employees
of state, territorial, 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;
(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) To a former employee of the Department for purposes of:
responding to an official inquiry by a federal, state, territorial, 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;
(l) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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 individual in
custody, and/or health care provider. Records retrieved by name or
number of health care provider will consist of the provider's address,
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
automated files of the database offline to the USMS within two weeks of
contract expiration. All paper documents and 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, Witness Security and Prisoner Operations,
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 requester'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
[[Page 33522]]
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 individual in custody; the courts,
federal, state, territorial, local, tribal and foreign law enforcement
agencies and personnel; witnesses; and medical care professionals and/
or facilities.
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).
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, CS-3, Washington, DC 20530-1000.
b. Decentralized segments: Individual training files and the
Fitness in Total (FIT) Program training assessment files, identified as
items (1) and (3) under ``Categories 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
(http://www.usdoj.gov/marshals/usmsofc.html).
Categories of individuals covered by the system:
Trainees hired as Deputy U.S. Marshals and Deputy U.S. Marshals.
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 are 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 purposes of such uses:
Records or information may be disclosed as a routine use:
(a) In an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(b) 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;
(c) 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;
(d) To the news media and the public, including disclosures
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 for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(g) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings;
(h) A record may be disclosed to designated officers and employees
of state, territorial, 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;
(i) To any criminal, civil, or regulatory law enforcement authority
(whether federal, state, local, territorial, tribal, or foreign) where
the information is relevant to the recipient entity's law enforcement
responsibilities;
(j) To a former employee of the Department for purposes of:
responding to an official inquiry by a federal, state, territorial, 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
[[Page 33523]]
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;
(k) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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 the employee's name.
Safeguards:
Records are maintained in metal filing cabinets which are locked
during non-duty 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 for five (5) years then the magnetic disks are
erased and paper records are archived in the Federal Records Center and
destroyed when 20 years old, unless the employee leaves the USMS at
which time paper records are transferred to another agency, or sent to
the OPM records center.
System manager(s) and address:
Assistant Director, Human Resources Division, USMS, CS-3,
Washington, DC 20530-1000.
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 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/USMS-008
System name:
Witness Security Files Information System.
Security classification:
Limited Official Use.
System location:
Witness Security and Prisoner Operations, United States Marshals
Service (USMS), CS-4, Washington, DC 20530-1000.
Categories of individuals covered by the system:
Government witnesses or potential witnesses and their families
authorized to participate in the Witness Security Program.
Categories of records in the system:
This system contains requests to enter the Witness Security
Program, authorizations to enter the program, identifying and
background information on the witness and/or the witness's family,
funding information, and moving information.
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 an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(b) To the news media and the public, including disclosures
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 the National Archives and Records Administration for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(d) Where a record, either alone 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, territorial, local, tribal,
or foreign law enforcement authority or other appropriate entity
charged with the responsibility for investigating or prosecuting such
violation or charged with enforcing or implementing such law;
(e) To an actual or potential party to litigation or the party's
authorized
[[Page 33524]]
representative for the purpose of negotiation or discussion of such
matters as settlement, plea bargaining, or in informal discovery
proceedings;
(f) 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;
(g) 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;
(h) 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;
(i) To any criminal, civil, or regulatory law enforcement authority
(whether federal, state, territorial, local, tribal, or foreign) where
the information is relevant to the recipient entity's law enforcement
responsibilities;
(j) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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:
Witness case files will be closed upon witness termination from the
Witness Security Program and retained in the custody of the USMS for 15
years, thereafter they will be transferred to the Federal Records
Center and destroyed 75 years after termination. Financial records are
destroyed after three years and three months in accordance with General
Records Schedules 6, 7 and 8.
System manager(s) and address:
Witness Security and Prisoner Operations, U.S. Marshals Service,
CS-4, Washington, DC 20530-1000.
Notification procedure:
Same as the ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope ``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:
Information is provided by the witnesses and their families, the
court, federal, state, territorial, local, tribal 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. See 28 CFR
16.101.
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), CS-4, Washington, DC 20530-1000.
Decentralized Segments: Each district office of the USMS maintains
their own files. The addresses of USMS district offices are available
on the Internet at http://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 the threat or inappropriate
communication initiator; 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 internal USMS
correspondence relating to the communication; biographical data
including physical description,
[[Page 33525]]
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, addresses, driver's license information; and
investigative information furnished by other federal, state,
territorial, tribal, 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) Where a record, either alone 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, territorial, local, tribal,
or foreign law enforcement authority or other appropriate entity
charged with the responsibility for investigating or prosecuting such
violation or charged with enforcing or implementing such law;
(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 an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(d) To the news media and the public, including disclosures
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 for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(g) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings;
(h) To federal, state, territorial, local, tribal, foreign, or
international licensing agencies or associations which require
information concerning the suitability or eligibility of an individual
for a license or permit;
(i) A record may be disclosed to designated officers and employees
of state, 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;
(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) 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;
(l) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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.
[[Page 33526]]
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:
Headquarters files are destroyed one year after the initiator of
the threat or inappropriate communication is no longer active or the
case has been closed. District files are destroyed five years after the
initiator of the threat or inappropriate communication is no longer
active or the case has been closed.
System manager(s) and address:
Assistant Director, Investigative Services Division, U.S. Marshals
Service, CS-4, Washington, DC 20530-1000.
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, the
threat or inappropriate communication initiator, 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. See 28 CFR 16.101.
JUSTICE/USM-010
System name:
Judicial Facility Security Index System.
Security classification:
Limited Official Use.
System location:
Judicial Security Division, United States Marshals Service (USMS),
CS-3, Washington, DC 20530-1000.
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 and USMS
facilities.
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 data, 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 in
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 and training, 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:
(a) To any criminal, civil, or regulatory law enforcement authority
(whether federal, state, territorial, local, tribal, or foreign) where
the information is relevant to the recipient entity's law enforcement
responsibilities;
(b) In an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(c) To the news media and the public, including disclosures
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 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;
(e) To the National Archives and Records Administration for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(f) To an actual or potential party to litigation or the party's
authorized
[[Page 33527]]
representative for the purpose of negotiation or discussion of such
matters as settlement, plea bargaining, or in informal discovery
proceedings;
(g) 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;
(h) A record may be disclosed to designated officers and employees
of state, territorial, 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;
(i) 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;
(j) To a former employee of the Department for purposes of:
responding to an official inquiry by a federal, state, territorial, 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;
(k) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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 or contractor.
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, CS-3, Washington, DC 20530-1000.
Notification procedures:
Same as the ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark the 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 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. See 28 CFR 16.101.
JUSTICE/USM-011
System name:
Judicial Protection Information System.
Security classification:
Limited Official Use.
System location:
Primary System: Judicial Security Division, United States Marshals
Service (USMS), CS-3, Washington, DC 20530-1000.
Decentralized Segments: Each USMS district office maintains their
own files. The addresses of the USMS district offices are available on
the Internet at http://www.usdoj.gov/marshals/usmsofc.html.
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,
[[Page 33528]]
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 an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(c) To the news media and the public, including disclosures
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 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;
(e) To the National Archives and Records Administration for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(f) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings;
(g) 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;
(h) To a former employee of the Department for purposes of:
responding to an official inquiry by a federal, state, territorial 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;
(i) To any criminal, civil, or regulatory law enforcement authority
(whether federal, state, territorial, local, tribal, or foreign) where
the information is relevant to the recipient entity's law enforcement
responsibilities;
(j) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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, CS-3, Washington, DC 20530-1000.
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; federal, state,
and local law enforcement agencies; public
[[Page 33529]]
and confidential sources; and threat initiator.
Exemptions claimed for the system:
None.
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), CS-3,
Washington, DC 20530-1000.
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., criminal
investigative reports relating the underlying criminal matter which
relates to or constitutes the basis of the claim or suit (including
those from non-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) Where a record, either alone 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, territorial, local, tribal,
or foreign law enforcement authority or other appropriate entity
charged with the responsibility for investigating or prosecuting such
violation or charged with enforcing or implementing such law;
(b) 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;
(c) In an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(d) 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;
(e) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings;
(f) 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;
(g) To the news media and the public including disclosures 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 for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(j) A record may be disclosed to designated officers and employees
of state, territorial, 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 recipients
agency's decision;
(k) 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
[[Page 33530]]
regarding a matter within that persons former area of responsibility;
(l) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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 tracking 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,
CS-3, Washington, DC 20530-1000.
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) or (k)(5). The system is exempted pursuant to
subsection (j)(2) only to the extent that information in a record
pertaining 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.
See 28 CFR 16.101.
JUSTICE/USM-016
System name:
U.S. Marshal Service (USMS) Key Control Record System.
Security classification:
Limited Official Use.
System location:
Primary system: Judicial Security Division, United States Marshals
Service, CS-3, Washington, DC 20530.
Decentralized segments: USMS headquarters division offices that
issue keys to their respective employees.
Categories of individuals covered by the system:
Current and former employees of the USMS who have been issued
building or office keys for USMS Headquarters or District Office
locations.
Categories of records in the system:
Records contained in this system consist of an automated or manual
index which may include the name of the employee to whom a building or
office 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.
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) Where a record, either alone 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, territorial, tribal,
or foreign law enforcement authority or other appropriate entity
charged with the responsibility for investigating or
[[Page 33531]]
prosecuting such violation or enforcing or charged with implementing
such law;
(b) In an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding.
(c) 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.
(d) To the news media and the public, including disclosures
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 for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(g) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings;
(h) 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;
(i) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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:
Judicial Security Division, United States Marshals Service, CS-3,
Washington, DC 20530.
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.
JUSTICE/USM-017
System Name:
Judicial Security Staff Inventory.
Security classification:
Limited Official Use.
System location:
Judicial Security Division (JSD), U.S. Marshals Service (USMS), CS-
3, Washington, DC 20530-1000.
Categories of individuals covered by the system:
USMS employees, contract employees, and other individuals assigned
to JSD.
Categories of records in the system:
Records contained in this computerized system consist of (1) an
individual's name, date of birth, social security number, and type of
passport with expiration date; (2) inventory of accountable property
assigned to individual, including: weapon, protective body armor with
expiration date of warranty, vehicle, credit cards, cell phone, pager,
and office equipment.
Authority for maintenance of the system:
5 U.S.C. 301; 28 U.S.C. 509 and 510; 44 U.S.C. 3101 and 28 CFR
0.111.
Purpose(s):
This system will be used to assist JSD management in the effective
control of accountable property and to ensure that JSD personnel
maintain the equipment necessary and in proper working order to perform
their functions, especially law enforcement functions, and to respond
quickly to urgent operational law enforcement activities as they
develop.
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) Where a record, either alone or in conjunction with other
information,
[[Page 33532]]
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, territorial, local, tribal or foreign law
enforcement authority or other appropriate entity charged with the
responsibility for investigating or prosecuting such violation or
charged with enforcing or implementing such law;
(b) In an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(c) To the news media and the public, including disclosure 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 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;
(e) To the National Archives and Records Administration for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(f) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings;
(g) 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;
(h) 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;
(i) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Departments efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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 a computerized database.
Retrievability:
Information is retrieved by name and social security number.
Safeguards:
Access is limited to designated staff of JSD by assigned user code
and password. JSD is located in a restricted area of USMS Headquarters
which is under 24-hour guard protection with entry controlled by
official and electronic identification.
Retention and disposal:
Files are maintained until the employee leaves JSD at which time
all records on the individual will be erased from the database.
System manager(s) and address:
Assistant Director, Judicial Security Division, U.S. Marshals
Service, CS-3, Washington, DC 20530-1000.
Notification procedure:
Same as the ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope ``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 reasons for contesting it, and the proposed
amendment to the information sought. Clearly mark the letter and
envelope ``Privacy Act Request.''
Record source categories:
Information is obtained from subject JSD employees, JSD office and
the accountable property records.
Exemptions claimed for the system:
None.
JUSTICE/USM-018
System name:
United States Marshals Service Alternative Dispute Resolution (ADR)
Files and Database Tracking System.
Security classification:
Limited official use.
System location:
Human Resources Division, United States Marshals Service (USMS),
CS-3, Washington, DC 20530-1000.
Categories of individuals covered by the system:
Employees of the USMS designated as complainants, who select ADR
mediation as the mechanism to resolve disagreements, and designated
respondents to such complaints.
Categories of records in the system:
ADR files contain a statement of issue(s) which include type of
dispute, parties involved, and date ADR requested or notified by
complainant; mediator appointed; correspondence or letters which may
include ground rules, acknowledgment of time requirements and issues
related thereto; pre-conference agreements; minutes of ADR activity;
written agreement, and dispute resolution and date resolved.
The ADR data tracking system contains names of complainant and
respondent; type of dispute, e.g., job assignment, leave, promotion;
source of complaint, e.g., Equal Employment Opportunity (EEO) or
grievance; process utilized, e.g., mediation, conciliation, fact
finding; district/office; ADR contact individual; date ADR request
received;
[[Page 33533]]
date resolved; and calculation of time spent in resolving matters and,
if applicable, name of mediator.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
The ADR process is a parallel system to the grievance process and
Equal Employment Opportunity (EEO) complaint process which offers the
possibility of a simpler, quicker, less expensive, and less adversarial
resolution of disputes. The ADR files are used to facilitate the
effective operation of the ADR process in resolving discrimination
complaints and workplace grievances by USMS employees and applicants
for employment. The ADR database is used to track case activity,
primarily for completion of reports.
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) Where a record, either alone 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, territorial, tribal
or foreign law enforcement authority or other appropriate entity
charged with the responsibility for investigating or prosecuting such
violation or charged with enforcing or implementing such law;
(b) In an appropriate proceeding before a court, grand jury, 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 determines the records to be relevant to the
proceeding;
(c) To the news media and the public, including disclosures
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 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;
(e) To the National Archives and Records Administration for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906;
(f) To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or in informal
discovery proceedings;
(g) 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;
(h) A record may be disclosed to designated officers and employees
of state, territorial, 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;
(i) 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;
(j) 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;
(k) To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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 stored in standard file cabinets. Computerized records
are stored in a database server in a secured file room.
Retrievability:
Records are retrieved by name of employee.
Safeguards:
Access is restricted to authorized personnel with the need to know
in the Human Resources Division, Equal Employment Opportunity Division,
and the Office of General Counsel. Computerized records may be accessed
only by assigned code and password. In addition, records are stored in
metal file cabinets within the Human Resources Division and access to
USMS headquarters is controlled by 24-hour guard services.
Retention and disposal:
Records are maintained for 7 years and then data in the system, as
well as hard copies, are purged.
System manager(s) and address:
Assistant Director, Human Resources Division, USMS, CS-3,
Washington, DC 20530-1000.
Notification procedure:
Same as ``Record access procedures.''
Record access procedures:
Make all requests for access in writing and clearly mark letter and
envelope ``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.
[[Page 33534]]
Contesting record procedures:
Direct all requests to contest or amend information to the system
manager in accordance with the procedures outlined above. State clearly
and concisely the information being contested, the reasons for
contesting it, and the proposed amendment to the information sought.
Record source categories:
Employee complainants, who select the ADR process to resolve their
disputes; respondents; and the ADR mediator.
Exemptions claimed for the system:
None.
[FR Doc. E7-11543 Filed 6-15-07; 8:45 am]
BILLING CODE 4410-04-P