[Federal Register: October 15, 1998 (Volume 63, Number 199)] [Notices] [Page 55416-55418] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr15oc98-124] ======================================================================= ----------------------------------------------------------------------- POSTAL SERVICE Privacy Act of 1974, System of Records AGENCY: Postal Service. ACTION: Notice of system of records. ----------------------------------------------------------------------- SUMMARY: This document publishes notice of a proposed Privacy Act system of records, USPS 300.010, Office of Inspector General (OIG) Investigative File System, which partially duplicates an existing Postal Inspection Service file. DATES: Any interested party may submit written comments on the proposed system of records. This proposal will become effective without further notice on November 23, 1998, unless comments received on or before that date result in a contrary determination. ADDRESSES: Written comments on this proposal should be mailed or delivered to Payroll Accounting/Records, United States Postal Service, 475 L'Enfant Plaza, SW, Washington, DC 20260-5243. Copies of all written comments will be available at the above address for public inspection and photocopying between 8 a.m. and 4:45 p.m., Monday through Friday. FOR FURTHER INFORMATION CONTACT: Kirt West (703) 248-2100. SUPPLEMENTARY INFORMATION: The Postal Service is proposing to establish a system of records entitled Office of Inspector General (OIG) Investigative File System, 300.010. This proposed system of records will cover only the files of investigation which identify by name individuals who are subjects or sources of information. The system of records is necessary to the functions performed by the Office of Inspector General. The files may contain information about civil, criminal, or administrative wrongdoing, or about fraud, waste, or mismanagement, or other violations of law or regulation. This information could be the basis for administrative corrective action or referrals to appropriate authorities for prosecution. The collection and maintenance of records subject to this system are not new, because records of the same type are covered by an existing system, USPS 080.010, under the jurisdiction of the Chief Postal Inspector, who previously also served as the Inspector General. With the establishment of an independent Office of Inspector General, system of records 300.010 is created to cover the investigative activities carried out under the authority of the OIG and the records maintained by that office. A complete description of system 300.010 appears below. [[Page 55417]] Maintenance of these records is not expected to have a significant impact on individual privacy rights. Information will be kept in a secured environment, with automated data processing physical and administrative security and technical software applied to information on computer media. Computers and hard copy records are maintained in a secured environment. Pursuant to 5 U.S.C. 552a(e)(11), interested persons are invited to submit written data, views, or arguments on this proposal. A report on the following proposed system has been sent to Congress and the Office of Management and Budget for their evaluation. USPS 300.010 System Name: Office of Inspector General-Investigative File System, 300.010. System Location: Office of the Inspector General (OIG): (1) Headquarters, and (2) respective OIG field offices (see ADDRESSES at end of system notice). Categories Of Individuals Covered By The System: (a) Subjects of investigations, unsolicited information, surveillance; complainants, informants, witnesses; and other individuals related to investigations. (b) Applicants and current and former Postal Service personnel and contractors and individuals providing information related to employment suitability checks on those individuals. (c) Applicants for and appointees to sensitive positions in the Postal Service and individuals providing information related to security clearance checks on those individuals. Categories Of Records In The System: Information within this system relates to OIG investigations carried out under applicable statutes, regulations, policies, and procedures. The investigations may relate to criminal, civil, or administrative matters, including personnel suitability and security clearance. Generally, investigative case files are physically located in the responsible OIG field office or at Headquarters. These files may contain investigative reports, background data including arrest records, statements of informants and witnesses, laboratory reports of evidence analysis, search warrants, summons and subpoenas, and other information related to the investigation. Personal data in the system may consist of fingerprints, handwriting samples, reports of confidential informants, physical identifying data, voiceprints, polygraph tests, photographs, and individual personnel and payroll information. OIG database systems contain additional or summary duplicative case files and other information in support of investigations. In addition, OIG Headquarters and field offices maintain reference files and indexes, as needed, for quick access in day-to-day operations. The specific authority for the OIG to investigate postal offenses and civil matters relating to the Postal Service is conferred at 39 U.S.C. 202(e)(1)-(3) and 404(a)(7); 18 U.S.C. 3061; and 5 U.S.C. App 3. In the exercise of that authority, the OIG conducts investigations under all appropriate federal statutes and administrative rules. Authority For Maintenance Of The System: 39 U.S.C. 202 and 404, 18 U.S.C. 3061, and 5 U.S.C. App. 3. Purpose(s): To provide information related to investigation of criminal, civil, or administrative matters, including employee and contractor background investigations. Routine Uses Of Records Maintained In The System, Including Categories Of Users And The Purposes Of Such Uses: General routine use statements a, b, c, d, e, f, g, h, j, k, l, and m listed in the prefatory statement at the beginning of the Postal Service's published system notices apply to this system. Other routine uses are as follows: 1. When conducting any official investigation or during a trial or hearing or the preparation of a trial or hearing, a record may be disseminated to an agency, organization, or individual when reasonably necessary to elicit information relating to the investigation, trial, or hearing or to obtain the cooperation of a witness or informant. 2. A record relating to a case or matter may be disseminated to a federal, state, or local administrative or regulatory proceeding or hearing in accordance with the procedures governing such proceeding or hearing. 3. A record relating to a case or matter may be disseminated in an appropriate federal, state, local, or foreign court or grand jury proceeding in accordance with established constitutional, substantive, or procedural law or practice. 4. A record relating to a case or matter may be disseminated to an actual or potential party or his or her attorney for the purpose of negotiation or discussion on such matters as settlement of the case or matter, plea bargaining, or informal discovery proceedings. 5. A record relating to a case or matter that has been referred by an agency for investigation, prosecution, or enforcement, or that involves a case or matter within the jurisdiction of an agency, may be disseminated to such agency to notify the agency of the status of the case or matter or of any decision or determination that has been made, or to make such other inquiries and reports as are necessary during the processing of the case or matter. 6. A record relating to a person held in custody pending or during arraignment, trial, sentence, or extradition proceedings, or after conviction may be disseminated to a federal, state, local, or foreign prison, probation, parole, or pardon authority, or to any other agency or individual involved with the maintenance, transportation, or release of such a person. 7. A record relating to a case or matter may be disseminated to a foreign country under an international treaty or convention entered into and ratified by the United States or under an executive agreement. 8. A record may be disseminated to a federal, state, local, foreign, or international law enforcement agency to assist in the general crime prevention and detection efforts of the recipient agency or to provide investigative leads to such agency. 9. A record from this system may be disclosed to the public, news media, trade associations, or organized groups to provide information of interest to the public about the activities and the accomplishments of the Postal Service or its employees. 10. A record may be disseminated to a foreign country, through the United States Department of State or directly to the representative of such country, to the extent necessary to assist such country in apprehending or returning a fugitive to a jurisdiction that seeks that individual's return. 11. A record may be disclosed to members of the American Insurance Association Index System to provide them with information relating to accidents and injuries. Policies And Practices For Storing, Retrieving, Accessing, Retaining, And Disposing Of Records In The System: Storage: Case records are stored in paper folders. Abbreviated, summary, and identifying information pertaining to cases and criminal intelligence information are stored on computer storage media. [[Page 55418]] Retrievability: Name of the individual who is the subject of the file. Safeguards: Investigative records are maintained in locked file cabinets, safes, or secured areas under the scrutiny of OIG personnel who have been subjected to security clearance procedures. Access is further restricted by computer passwords when stored in electronic format. Automated records can only be accessed through authorized terminals by authorized users. Computer software has been designed to protect data by controlling access, logging actions, and reporting exceptions and violations. Retention And Disposal: (a) Records are maintained 1 to 15 years depending on type. Exceptions may be granted for longer retention in specific instances. Paper records are destroyed by burning, pulping, or shredding. Computer tape/disk records are erased or destroyed. (b) Duplicate copies of investigative memorandums maintained by postal officials other than OIG are retained in accordance with a generally applicable Postal Service retention schedule rather than the OIG disposition schedules. System Manager(s) And Address: Inspector General, U.S. Postal Service, 1735 North Lynn St, Arlington, VA 22209-2020. Notification Procedure: Individuals wanting to know whether information about them is in this system of records or if they were the subject of an investigation must furnish the system manager sufficient identifying information to distinguish them from other individuals of like name; identifying data will contain date of birth, name, address, type of investigation, dates, places, and the individual's involvement. Record Access Procedures: Requests for access must be made in accordance with the notification procedure above and the Postal Service Privacy Act regulations regarding access to records and verification of identity under 39 CFR 266.6. The address of the OIG Freedom of Information/ Privacy Acts Officer is 1735 N. Lynn Street, Arlington, VA 22209-2020, telephone (703) 248-2300. Contesting Record Procedures: See Notification and Record Access Procedures above. Record Source Categories: Personal interviews, written inquiries, and other records about individuals involved with an investigation, whether subjects, applicants, witnesses, references, or custodians of record information. Systems Exempted From Certain Provisions Of The Act: The Postal Service has established regulations at 39 CFR 266.9 that exempt information contained in this system of records from various provisions of the Privacy Act depending on the purpose for which the information was gathered and for which it will be used. Compliance with the disclosure (5 U.S.C. 552a(d)) and other subsections of the Act are not compatible with investigative practice, and would substantially compromise the efficacy and integrity of OIG operations. The purposes for which records are kept within this system and the exemptions applicable to those records are as follows: (a) Criminal law enforcement--Under 5 U.S.C. 552a(j)(2), information compiled for this purpose is exempt from all the provisions of the Act except the following sections: (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i). (b) Noncriminal investigatory--under 5 U.S.C. 552a(k)(2), material compiled for law enforcement purposes (and not exempted by 5 U.S.C. 552a(j)(2)) is exempted from the following provisions of the Act: (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). (c) Background investigations--material compiled solely for the purpose of a background security investigation is exempted by 5 U.S.C. 552a(k)(5) from the following provisions of the Act: (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). Addresses of Office of Inspector General Headquarters: 1735 N. Lynn Street, Arlington, VA 22209-2020 Field Offices: St Louis: 1720 Market St, PO Box 78579, St. Louis, MO, 63178- 8579 Dallas: 101 E McKinney St, PO Box 2144, Denton, TX 76201-2144 Minneapolis: 1 Federal Dr, PO Box 32, Fort Snelling, MN, 55111- 0032 Stanley F. Mires, Chief Counsel, Legislative. [FR Doc. 98-27717 Filed 10-14-98; 8:45 am] BILLING CODE 7710-12-U