Privacy Act of 1974; Systems of Records

DEPARTMENT OF AGRICULTURE

Office of the Secretary

Privacy Act of 1974; Systems of Records

AGENCY: Office of the Secretary, USDA.

ACTION: Revision of Privacy Act systems of records.

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SUMMARY: Pursuant to 5 U.S.C. 552a(e)(4) the United States Department

of Agriculture (USDA) is revising the Privacy Act Systems of Records

maintained by the Office of Inspector General (OIG) published in the

Federal Register on October 11, 1994, on pages 54105-51413 and modifies

the list of routine uses listed under USDA/OIG-1 and made applicable in

verbatim to systems, USDA/OIG-2, USDA/OIG-3, USDA/OIG-4, USDA/OIG-5,

USDA/OIG-6, and USDA/OIG-7, by adding text to allow the release of

names of arrested persons and to reflect changes in office addresses

which are applicable to all USDA/OIG systems.

DATES: This revision becomes effective (January 2, 1998) without

further notice unless changes are made in response to comments received

from the public.

FOR FURTHER INFORMATION CONTACT:

Paula F. Hayes, Assistant Inspector General for Policy Development and

Resources Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, D.C. 20250-2310 (202-720-6979).

SUPPLEMENTARY INFORMATION: The revision in the routines uses listed

under system USDA/OIG-1, Employee Records, USDA/OIG, and made

applicable in verbatim, by reference, to systems USDA/OIG-2, USDA/OIG-

3, USDA/OIG-4, USDA/OIG-5, USDA/OIG-6, and USDA/OIG-7, adds a routine

use number 13 which reads as follows: ``Relevant information from a

system of records may be disclosed to the news media and general public

where there exists a legitimate public interest, e.g., to assist in the

location of fugitives, to provide notification of arrests, where

necessary for protection from imminent threat of life or property, or

in accordance with guidelines set out by the Department of Justice in

28 CFR 50.2.''

Proposed changes applicable to all USDA/OIG systems include changes

in office addresses also under system USDA/OIG-1, Employee Records,

USDA/OIG.

Accordingly, USDA is revising the full text of the OIG Systems of

Records last published in full in 50 FR 50814, December 12, 1985, and

amended in part in 54 FR 39552, September 27, 1989.

A Privacy Act Systems Report relating to the proposed changes,

required by 5 U.S.C. 552a(r), has been set to the Office of Management

and Budget and Congress.

Done at Washington, DC, this 3rd day of November 1997.

Dan Glickman,

Secretary of Agriculture.

USDA/OIG-1

SYSTEM NAME:

Employee Records, USDA/OIG.

SYSTEM LOCATION:

In the headquarters offices of the U.S. Department of Agriculture

(USDA), Office of Inspector General (OIG) and Office of Personnel (OP)

in the Jamie L. Whitten Federal Building, 1400 Independence Avenue SW.,

Washington, DC 20250, and Franklin Court, 1099 14th Street NW.,

Washington, DC 20005, and in the following OIG regional offices and

suboffices:

OIG Regional Offices

600 Harrison Street, Suite 225, San Francisco, California 94017

401 West Peachtree Street NW., Room 2328, Audit; Room 2329,

Investigations, Atlanta, Georgia 30365-3520

111 North Canal Street, Suite 1130, Chicago, Illinois 60606-7295

ATTN: Suite 5006, 4700 River Road, Unit 151, Riverdale, Maryland 20737-

1237

PO Box 293, Kansas City, Missouri 64141

26 Federal Plaza, Room 1409, New York, New York 10278

101 South Main, Room 324, Audit; Room 311, Investigations, Temple,

Texas 76501

OIG/Audit Suboffices

1510 ``J'' Street, Suite 120, Sacramento, California 95814

2850 McClellan, Suite 3500, Fort Collins, Colorado 80525

3008 NW. 13th Street, Suite B, Gainesville, Florida 32609

3736 Government Street, Alexandria, Louisiana 71302

13800 Old Gentilly Road, New Orleans, Louisiana 70129

3001 Coolidge Road, Suite 150, East Lansing, Michigan 48823-6321

375 Jackson Street, Suite 320, St. Paul, Minnesota 55101-1850

Millsaps Building, Suite 400, 201 West Capitol Street, Jackson,

Mississippi 39201

PO Box 14153 Main Post Office, St. Louis, Missouri 63120

100 Centennial Mall North, Room 276, Lincoln, Nebraska 68508

Mercer Corporate Park, 310 Corporate Boulevard, Robinsville, New Jersey

08691-1598

26 Federal Plaza, Room 1415, New York, New York 10278

4407 Bland Road, Room 110, Raleigh, North Carolina 27609

200 N. High Street, Room 346, Columbus, Ohio 43215-2408

Edith Green Wendell Wyatt Federal Office Building, 1220 SW. Third

Avenue, Room 1640, Portland, Oregon 97204-2893

One Credit Union Place, Suite 350, Harrisburg, Pennsylvania 17110-2992

233 Cumberland Bend, Room 204, Nashville, Tennessee 37228

1200 Main Tower, Room 880, Dallas, Texas 75202

OIG/Investigation Suboffices

522 N. Central Avenue, Room 202, Phoenix, Arizona 85004

21660 East Copley Drive, Suite 370, Diamond Bar, California 91765

1510 ``J'' Street, Suite 110, Sacramento, California 95814

1961 Stout Street, Suite 1524, Drawer 3528, Denver, Colorado 80294

6039 Lakeside Boulevard, Indianapolis, Indiana 46278-1989

3001 Coolidge Road, Suite 150, East Lansing, Michigan 48823-6321

375 Jackson Street, Suite 320, St. Paul, Minnesota 55101-1850

Millsaps Building, Suite 410, 201 West Capitol Street, Jackson,

Mississippi 39201

911 Washington Avenue, Suite 203, St. Louis, Missouri 63101

[[Page 61263]]

4407 Bland Road, Room 110, Raleigh, North Carolina 27609

200 North High Street, Room 350, Columbus, Ohio 43215-2408

660 American Avenue, Suite 201, King of Prussia, Pennsylvania 19406-

4032

233 Cumberland Bend, Room 208, Nashville, Tennessee 37228

1200 Main Tower, Room 880, Dallas, Texas 75202

1000 Second Avenue, Suite 1950, Seattle, Washington 98104

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

OIG temporary and permanent employees, former employees of OIG and

predecessor offices, and applicants for employment.

CATEGORIES OF RECORDS IN THE SYSTEM:

These records show or relate to employment, personnel management,

and work-related information, including position, classification,

title, grade, pay rate, pay, temporary and permanent addresses and

telephone numbers for home and work, copies of security clearance

forms, program and performance evaluations, promotions, retirement,

disciplinary actions, appeals, incentive programs, unemployment

compensation, leave, complaints and grievances, health benefits, equal

employment opportunity, automation of personnel data, travel

information, accident reports and related information, activity

reports, participation in savings and contribution programs,

availability for employment, assignment, or for transfer,

qualifications (for law enforcement employees this includes Attorney

General designations, training certificates, physical fitness data, and

medical officer's certification excluding personal medical data),

awards, hours worked, issuance of credentials, passports and other

identification, assignment and accountability of property and other

things of value, parking space assignments, training and development,

special assignments, and exit interviews.

Other employee records are covered by other systems as follows: For

Official Personnel Folder (OPF) data refer to USDA/OP-1, Personnel and

Payroll System for USDA Employees; for medical records, including SF-

78, Certificate of Medical Examination, and drug testing records, refer

to OPM/GOVT-10, Employee Medical File System; for pre-employment

inquiries refer to USDA/OIG-3, Investigative Files and Automated

Investigative Indices; for annual financial disclosure statements refer

to OPM/GOVT-8, Confidential Statements of Employment and Financial

Interests.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

IG Act of 1978, 5 U.S.C. app.; 5 U.S.C. 301; 7 U.S.C. 2270.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

(1) A record from the system of records which indicates either by

itself or in combination with other information, a violation or

potential violation of a contract or of law, whether civil, criminal,

or regulatory, or which otherwise reflects on the qualifications or

fitness of a licensed (or seeking to be licensed) individual, may be

disclosed to a Federal, State, local, foreign, or self-regulatory

agency (including but not limited to organizations such as professional

associations or licensing boards), or other public authority that

investigates or prosecutes or assists in such investigation,

prosecution, enforcement, implementation, or issuance of the statute,

rule, regulation, order, or license.

(2) A record from the system of records may be disclosed to a

Federal, State, local, or foreign agency, other public authority,

consumer reporting agency, or professional organization maintaining

civil, criminal, or other relevant enforcement or other pertinent

records, such as current licenses, in order to obtain information

relevant to an OIG decision concerning employee retention or other

personnel action, issuance of a security clearance, letting of a

contract or other procurement action, issuance of a benefit,

establishment of a claim, collection of a delinquent debt, or

initiation of an administrative, civil, or criminal action.

(3) A record from the system of records may be disclosed to a

Federal, State, local, foreign, or self-regulatory agency (including

but not limited to organizations such as professional associations or

licensing boards), or other public authority, to the extent the

information is relevant and necessary to the requestor's hiring or

retention of an individual or any other personnel action, issuance or

revocation of a security clearance, license, grant, or other benefit,

establishment of a claim, letting of a contract, reporting of an

investigation of an individual, for purposes of a suspension or

debarment action, or the initiation of administrative, civil, or

criminal action.

(4) A record from the system of records may be disclosed to any

source--private or public--to the extent necessary to secure from such

source information relevant to a legitimate OIG investigation, audit,

or other inquiry.

(5) A record from the system of records may be disclosed to the

Department of Justice in the course of litigation when the use of such

records by the Department of Justice is deemed relevant and necessary

to the litigation and may be disclosed in a proceeding before a court,

adjudicative body, or administrative tribunal, or in the course of

civil discovery, litigation, or settlement negotiations, when a part to

a legal action or an entity or individual having an interest in the

litigation includes any of the following:

(a) The OIG or any component thereof;

(b) Any employee of the OIG in his or her official capacity;

(c) Any employee of the OIG in his or her individual capacity where

the Department of Justice has agreed to represent the employee; or

(d) The United States, where the OIG determines that litigation is

likely to affect USDA or any of its components.

(6) A record from the system of records may be disclosed to a

Member of Congress from the record of an individual in response to an

inquiry from the Member of Congress made at the request of that

individual. In such cases however, the Member's right to a record is no

greater than that of the individual.

(7) A record from the system of records may be disclosed to the

Department of Justice for the purpose of obtaining its advice on an OIG

audit, investigation, or other inquiry, including Freedom of

Information or Privacy Act matters.

(8) A record from the system of records may be disclosed to the

Office of Management and Budget for the purpose of obtaining its advice

regarding OIG obligations under the Privacy Act or in connection with

the review of private relief legislation.

(9) A record from the system of records may be disclosed to a

private firm with which OIG contemplates it will contract or with which

it has contracted for the purpose of performing any functions or

analyses that facilitate or are relevant to an OIG investigation,

audit, inspection, or other inquiry. Such contractor or private firm

shall be required to maintain Privacy Act safeguards with respect to

such information.

(10) A record from the system of records may be disclosed in

response to a subpoena issued by a Federal agency having the power to

subpoena records of other Federal agencies if the OIG determines that:

(a) The records are both relevant and necessary to the proceeding, and

(b) such release is

[[Page 61264]]

compatible with the purpose for which the records were collected.

(11) A record from the system of records may be disclosed to a

grand jury agent pursuant either to a Federal or State grand jury

subpoena, or to a prosecution request that such record be released for

the purpose of its introduction to a grand jury, provided that the

grand jury channels its request through the cognizant U.S. Attorney,

that the U.S. Attorney has been delegated the authority to make such

requests by the Attorney General, and that the U.S. Attorney actually

signs the letter specifying both the information sought and the law

enforcement purpose served. In the case of a State grand jury subpoena,

the State equivalent of the U.S. Attorney and Attorney General shall be

substituted.

(12) A record from the system of records may be disclosed, as a

routine use, to a Federal, State, local, or foreign agency, or other

public authority, for use in computer matching programs to prevent and

detect fraud and abuse in benefit programs administered by any agency,

to support civil and criminal law enforcement activities of any agency

and its components, and to collect debts and overpayments owed to any

agency and its components.

(13) Relevant information from a system of records may be disclosed

to the news media and general public where there exists a legitimate

public interest, e.g., to assist in the location of fugitives, to

provide notification of arrests, where necessary for protection from

imminent threat of life or property, or in accordance with guidelines

set out by the Department of Justice in 28 CFR 50.2.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ASSESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

Storage:

Records are maintained on computers and automated image filing

systems, and in file folders, notebooks, and card file boxes.

Retrievability:

The records are retrieved by name of individual employee and by

social security number.

Safeguards:

Computer files are password protected and other records are kept in

limited-access areas during duty hours and in locked offices during

nonduty hours.

Retention and Disposal:

Retention periods and disposal methods vary by record categories as

set forth in National Archives and Records Administration General

Records Schedules 1 (Civilian Personnel Records) and 2 (Payrolling and

Pay Administration Records). Personal information that the agency deems

to be potentially derogatory or embarrassing is shredded when retention

period expires.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Resources Management Division, Policy Development and

Resources Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2307.

NOTIFICATION PROCEDURE:

Any individual may request information regarding this system of

records, or information as to whether the system contains records

pertaining to him/her from the Director, Information Management

Division, Policy Development and Resources Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2309.

RECORD ACCESS PROCEDURES:

An individual may request access to a record in this system which

pertains to him/her by submitting a written request to the Director,

Information Management Division, Policy Development and Resources

Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2309.

CONTESTING RECORD PROCEDURES:

An individual may contest information in this system which pertain

to him/her by submitting a written request to the Assistant Inspector

General for Policy Development and Resources Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2310.

RECORD SOURCE CATEGORIES:

The primary information is furnished by the individual employee.

Additional information is provided by supervisors, coworkers,

references, and others.

USDA/OIG-2

SYSTEM NAME:

Informant and Undercover Agent Records, USDA/OIG.

SYSTEM LOCATION:

In the OIG headquarters office in the Jamie L Whitten Federal

Building, 1400 Independence Avenue SW., Washington, DC 20250-2317, and

in the OIG regional offices and Investigations suboffices listed in the

system of records designated USDA/OIG-1.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Confidential informants, investigative operatives, and undercover

OIG special agents or other law enforcement personnel.

CATEGORIES OF RECORDS IN THE SYSTEM:

Names, occupations, criminal histories, and other information about

confidential informants and investigative operatives, together with

allegations against them, and the types of information previously

furnished by or to be expected from them. Types, dates of issuance and

destruction, and details of false identification documents used by OIG

special agents and other law enforcement personnel for undercover

activities.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

IG Act of 1978, 5 U.S.C. app.; 5 U.S.C. 301; 7 U.S.C. 2270.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

Routine uses (1) through (13) listed in the system of records

designated USDA/OIG-1.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

Storage:

Stored on sheets of paper and index cards, and in file folders and

computers.

Retrievability:

The records are retrieved by name of confidential informant,

investigative operative, or special agent.

Safeguards:

Computer files are password protected and other records are kept in

limited-access areas during duty hours and in locked offices during

nonduty hours.

Retention and disposal:

Confidential informant and investigative operative information is

kept for 5 years after the date it is put into inactive status. It is

then destroyed. Undercover identification documents are kept until the

agency determines them to be outdated. They are then destroyed.

STSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for Investigations, Office of Inspector

General, U.S. Department of

[[Page 61265]]

Agriculture, Washington, DC 20250-2317.

NOTIFICATION PROCEDURE:

Inquiries and requests should be addressed to the Director,

Information Management Division, Policy Development and Resources

Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2309.

RECORD ACCESS PROCEDURES:

To request access to information in this system write to the

Director, Information Management Division, Policy Development and

Resources Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2309.

CONTESTING RECORD PROCEDURES:

An individual may contest information in this system which pertains

to him/her by submitting a written request to the Assistant Inspector

General for Policy Development and Resources Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2310.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

Pursuant to 5 U.S.C. 552a(j)(2), this system of records has been

exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a,

as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through

(F), (e)(6), (7), (9), (10) and (11), and (i).

Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), this system has been

exempted from the following provisions of the Privacy Act of 1974, 5

U.S.C. 552a: subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I),

and (f).

USDA/OIG-3

SYSTEM NAME:

Investigative Files and Automated Investigative Indices System,

USDA/OIG.

SYSTEM LOCATION:

Physical files are kept in the OIG headquarters office in the Jamie

L. Whitten Federal Building, 1400 Independence Avenue SW., Washington

DC 20250-2307, and Franklin Court, 1099 14th Street NW., Washington, DC

20005, and in the OIG regional offices and Investigations suboffices

listed in the system of records designed USDA/OIG-1.

The OIG regional offices and Investigations suboffices maintain

physical files containing the report of investigation and the

workpapers for each case investigated by that office. The headquarters

files contain a copy of every investigative report, but do not contain

workpapers and may not contain copies of all correspondence. Older

investigative files may be stored in Federal Records Centers or on

microfiche, microfilm, or electronic image filing systems. Therefore,

delays in retrieving this material can be expected.

Selected portions of records have been computerized--see section 1

of ``Categories of records'' below. These records, used as a research

tool, are accessible by computer terminals located in each OIG office.

These records are maintained on a computer in the Jamie L. Whitten

Federal Building.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

The individual names in the OIG index fall into one or more of the

following categories:

Subjects. These are individuals against whom allegations of

wrongdoing have been made. In some instances, these individuals have

been the subjects of investigations conducted by OIG to establish

whether allegations were true. In other instances, the allegations were

deemed too frivolous or indefinite to warrant inquiry.

Principals. These are individuals who are not named subjects of

investigative inquiries, but may be responsible for potential

violations. For example, the responsible officers of a firm alleged to

have violated laws or regulations might be individually listed in the

OIG index.

Complainants. These are individuals who have not requested

anonymity or confidentiality regarding their identity, who allege

wrongdoing, mismanagement, or unfair treatment by USDA employees and/or

relating to USDA programs.

Others. These are all other individuals closely connected with a

matter of investigative interest.

CATEGORIES OF RECORDS IN THE SYSTEM:

The OIG Investigative Files and Automated Investigative Indices

System consist of:

1. Computerized records retrieved by case number or alphabetically

by the names of individuals, organizations, and firms. A separate

record for each contains, if applicable, identification of the OIG file

or files which contain information on that subject and if such

information was available when the record was created or modified; the

individual's name, address, sex, race, date and place of birth,

relationship to the investigation, FBI or State criminal identification

number, and social security number (very few have the dates when

entries were made into the index);

2. Files containing sheets of paper or microfiche of such sheets

from investigative and other reports, correspondence, and informal

notes and notations concerning (a) one investigative matter or (b) a

number of incidents of the same sort of alleged violation or

irregularity; and

3. Where an investigation is being or will be conducted, but has

not been completed, various case management records, investigator's

notes, statements of witnesses, and copies of records. These are

contained on cards and sheets of paper located in an OIG office or in

the possession of the OIG investigator. Certain management records are

retained after the investigative report is released as a means of

following action taken on the basis of the OIG investigative report.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

IG Act of 1978, 5 U.S.C. app.; 5 U.S.C. 301; 7 U.S.C. 2270.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

Routine uses (1) through (13) listed in the system of records

designated USDA/OIG-1.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND IMPOSING OF RECORDS IN THE SYSTEM:

Storage:

The OIG Automated Investigative Indices System consists of

computerized records. The investigative files are stored in steel

lektriever cabinets, on microfiche sheets, microfilm, electronic image

filing systems, or in Federal Records Centers.

Retrievability:

Computerized records are retrieved alphabetically or by using the

case number, with each record identifying one or more OIG investigate

case files or administrative files arranged numerically by file number.

Safeguards:

These records are kept in limited-access areas during duty hours,

in locked offices during nonduty hours, or in the possession of the

investigator. Computer files are password protected.

Retention and disposal:

The investigative case files are maintained for 10 years after the

case is closed. Administrative files are kept for 5 years after the

case is closed.

[[Page 61266]]

Computerized records are destroyed at the same time as the physical

files to which they relate.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Resources Management Division, Policy Development and

Resources Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2307.

RECORD ACCESS PROCEDURES:

To request access to information in this system, write to the

Director, Information Management Division, Policy Development and

Resources Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2309.

CONTESTING RECORD PROCEDURE:

An individual may contest information in this system which pertains

to him/her by submitting a written request to the Assistant Inspector

General for Policy Development and Resources Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2310.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

Pursuant to 5 U.S.C. 552a(j)(2), this system of records has been

exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a,

as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through

(F), (e)(6), (7), (9), (10) and (11), and (i).

Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), this system has been

exempted from the following provisions of the Privacy Act of 1974, 5

U.S.C. 552a: subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I),

and (f).

USDA/OIG-4

SYSTEM NAME:

OIG Hotline Complaint Records, USDA/OIG.

SYSTEM LOCATION:

In the OIG headquarters office in the Jamie L. Whitten Federal

Building, 1400 Independence Avenue SW., Washington, DC 20250-2317.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

1. Complainants are persons who report or complain of possible

criminal, civil, or administrative violations of law, rule, regulation,

policy, or procedure, or fraud, waste, abuse, mismanagement, gross

waste of funds, or abuse of authority in USDA programs or operations,

or specific dangers to public health or safety, misuse of government

property, personnel misconduct, discrimination, or other irregularities

affecting USDA.

2. Subjects are persons against whom such complaints are made.

CATEGORIES OF RECORDS IN THE SYSTEM:

1. Identities of complaints, if known, and subjects.

2. Details of each allegation.

3.OIG case number and control number(s) used by other agencies for

tracking each complaint.

4. Responses from agencies to which complaints are referred for

inquiry.

5. Summary of substantiated information and results of agency

inquiry into the complaint.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSE OF EACH SUCH USE:

Routine uses (1) through (13) listed in the system of records

designated USDA/OIG-1.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

Storage:

Stored in a computer and on sheets of paper in file folders.

Retrievability:

The records are retrieved by name of subject or complainant or by

case number.

Safeguards:

Files are kept in a limited access area and are in locked storage

when not in use. Access to computerized information is protected by

requiring a confidential password.

Retention and disposal:

Physical files and computerized records are retained 10 years after

closing, after which they are shredded and deleted.

SYSTEMS MANAGER(S) AND ADDRESS:

Assistant Inspector General for Investigations, Office of Inspector

General, U.S. Department of Agriculture, Washington, DC 20250-2317.

NOTIFICATION PROCEDURE:

Inquiries and requests should be addressed to the Director, of

Information Management Division, Policy Development and Resources

Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2309.

RECORD ACCESS PROCEDURES:

To request access to information in this system, write to the

Director, Information Management Division, Policy Development and

Resources Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2309.

CONTESTING RECORD PROCEDURES:

An individual may contest information in this system which pertains

to him/her by submitting a written request to the Assistant Inspector

General for Policy Development and Resources Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2310.

RECORD SOURCE CATEGORIES:

Identities of complainants and subjects are provided by individual

complainants. Additional information may be provided by individual

complaints, subjects, and/or third parties.

SYSTEMS EXEMPT FROM CERTAIN PROVISIONS OF THE ACT:

Pursuant to 5 U.S.C. 552a(j)(2), this system of records has been

exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a,

as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through

(F), (e)(6), (7), (9), (10) and (11), and (i).

Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), this system has been

exempted from the following provisions of the Privacy Act of 1974, 5

U.S.C. 552a: subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I),

and (f).

USDA/OIG-5

SYSTEM NAME:

Consolidated Assignments Personnel Tracking Administrative

Information Network (CAPTAIN), USDA/OIG.

SYSTEM LOCATION:

U.S. Department of Agriculture, National Computer Center, 8930 Ward

Parkway, Kansas City, Missouri 64114.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

OIG professional employees who participate in either audit or

investigative assignments.

Subjects of investigations.

CATEGORIES OF RECORDS IN THE SYSTEM:

CAPTAIN provides OIG management officials with a wide range of

[[Page 61267]]

information on audit and investigative operations. The system

identifies individual assignments of employees and provides information

on their use of direct and indirect time, significant dates relating to

each assignment, reported dollar deficiencies, recoveries, penalties,

the number of investigative prosecutions, convictions, other legal and

administrative actions, and subjects of investigation. The system is

used to manage audit and investigative assignments and to facilitate

reporting of OIG activities to Congress and other Governmental

entities.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH:

Routine uses (1) through (13) listed in the system of records

designated USDA/OIG-1.

Policies and Practices for Storing, Retrieving, Accessing, Retaining,

and Disposing of Records in the System:

Storage:

Records are maintained on computer discs, magnetic tape, and in

file folders and notebooks.

Retrievability:

Information in the system generally can be retrieved by OIG

personnel in headquarters and the regions. Information is generally

retrieved by assignment number or geographic location. However,

information can be retrieved by any field in the system, including

subject name, employee name, and employee social security number.

Safeguards:

Normal computer security is maintained including password

protection. Printouts and source documents are kept in limited-access

areas during duty hours and in locked offices during nonduty hours.

Retention and Disposal:

Computer files and other records are cleared, retired, or

destroyed, when no longer useful, in accordance with National Archives

and Records Administration General Records Schedules and USDA record

retention and/or destruction schedules.

System Manager(s) and Address:

Audit Subsystem--Assistant Inspector General for Audit, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2311.

Investigations Subsystem--Assistant Inspector General for

Investigations, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2317.

Notification Procedure:

Any individual may request information regarding this system of

records, or information as to whether the system contains records

pertaining to him/her, from the Director, Information Management

Division, Policy Development and Resources Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2309.

Record Access Procedures:

An individual may request access to a record in this system which

pertains to him/her by submitting a written request to the Director,

Information Management Division, Policy Development and Resources

Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2309.

Contesting Record Procedures:

An individual may contest information in this system which pertains

to him/her by submitting a written request to the Assistant Inspector

General for Policy Development and Resources Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2310.

RECORD SOURCE CATEGORIES:

Information in the system is obtained from various source documents

related to audit and investigative activities including assignment

letters, employee time reports, case entry sheets, etc.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

Pursuant to 5 U.S.C. 552a(j)(2), the Investigations Subsystem and

the Employee Time System are exempted from all provisions of the

Privacy Act of 1974, 5 U.S.C. 552a, as amended, except subsections (b),

(c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and

(11), and (i).

Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), the Investigations

Subsystem and the Employee Time System are exempted from the following

provisions of the Privacy Act of 1974, 5 U.S.C. 552a: subsections

(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f).

USDA/OIG-6

SYSTEM NAME:

Training Tracking System, USDA/OIG.

SYSTEM LOCATION:

U.S. Department of Agriculture, National Computer Center, 8930 Ward

Parkway, Kansas City, Missouri 64114.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

OIG audit employees.

CATEGORIES OF RECORDS:

The system contains records of audit employee training history.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

(1) A record from the system of records may be disclosed as a

routine use to a Federal agency or professional organization to

document continuing education credits required by the Government

Auditing Standards, U.S. General Accounting Office Standards of Audit

of Governmental Organizations, Programs, Activities, and Functions. The

record must be relevant to the determination of professional

proficiency and compliance with the general qualification standard for

government auditing, and retention of an employee or other personnel

action.

(2) Routine uses (1) through (13) listed in the system of records

designated USDA/OIG-1.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

AND DISPOSING OF RECORDS IN THE SYSTEM:

Storage:

Records are maintained on computer and in file folders.

Retrievability:

The records are retrieved by name of individual, social security

number, or group of employees.

Safeguards:

Computer files are password protected and other records are kept in

limited-access areas during duty hours and in locked offices during

nonduty hours.

Retention and Disposal:

Records are retained as long as the agency determines they are

needed. They are then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for Audit, Office of Inspector General,

U.S.

[[Page 61268]]

Department of Agriculture, Washington, DC 20250-2311.

NOTIFICATION PROCEDURE:

Any individual may request information regarding this system of

records, or information, as to whether the system contains records

pertaining to him/here from the Director, Information Management

Division, Policy Development and Resources Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2309.

RECORD ACCESS PROCEDURES:

An individual may request access to a record in this system which

pertains to him/her by submitting a written request to the Director,

Information Management Division, Policy Development and Resources

Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2309.

CONTESTING RECORD PROCEDURES:

An individual may contest information in this system which pertains

to him/her by submitting a written request to the Assistant Inspector

General for Policy Development and Resources Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2310.

RECORD SOURCE CATEGORIES:

Information in the system comes entirely from OIG audit employees.

USDA/OIG-7

SYSTEM NAME:

Freedom of Information Act and Privacy Act Request Records, USDA/

OIG.

SYSTEM LOCATION:

Files are kept in the OIG headquarters office in the Jamie L.

Whitten Federal Building, 1400 Independence Avenue SW., Washington, DC

20250-2309.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records of individuals who have made requests

under the Freedom of Information Act of Privacy Act.

CATEGORIES OF RECORDS IN THE SYSTEM:

The request records consist of the incoming request, all

correspondence developed during the processing of the request, and the

final reply.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

Used by OIG employees as an internal control mechanism for tracking

the disposition of requests and for responding to individuals who are

checking on the status of their requests.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING

AND DISPOSING OF RECORDS IN THE SYSTEM:

Storage:

Records are stored in file folders.

Retrievability:

The records are retrieved by name or by using a control number that

is assigned upon date of receipt.

Safeguards:

Freedom of Information Act and Privacy Act request records are

stored in file cabinets in limited-access areas during duty hours and

in locked offices during nonduty hours.

Retention and disposal:

Records are disposed of in accordance with National Archives and

Records Administration General Records Schedule 14 pertaining to

informational services records.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Information Management Division, Policy Development and

Resources Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2309.

NOTIFICATION PROCEDURE:

Any individual may request information regarding this system of

records, or information as to whether the system contains records

pertaining to him/her, from the Director, Information Management

Division, Policy Development and Resources Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2309.

RECORD ACCESS PROCEDURES:

An individual may request access to a record in this system which

pertains to him/her by submitting a written request to the Director,

Information Management Division, Policy Development and Resources

Management, Office of Inspector General, U.S. Department of

Agriculture, Washington, DC 20250-2309.

CONTESTING RECORD PROCEDURES:

An individual may contest information in this system which pertains

to him/her by submitting a written request to the Assistant Inspector

General for Policy Development and Resource Management, Office of

Inspector General, U.S. Department of Agriculture, Washington, DC

20250-2310.

RECORD SOURCE CATEGORIES:

Information in this system comes from the individual making the

request and from OIG employees processing the request.

[FR Doc. 97-29423 Filed 11-14-97; 8:45 am]

BILLING CODE 3410-23-M