Privacy Act of 1974; Department of Homeland Security/United States Secret Service-001 Criminal Investigation Information System of Records, 49497-49500 [2011-20226]

Agencies

• Office of the Secretary
• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 76, Number 154 (Wednesday, August 10, 2011)]
[Notices]
[Pages 49497-49500]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-20226]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2011-0068]


Privacy Act of 1974; Department of Homeland Security/United 
States Secret Service--001 Criminal Investigation Information System of 
Records

AGENCY: Privacy Office; DHS.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974 and as part of the 
Department of Homeland Security's biennial review of system of record 
notices, the Department of Homeland Security proposes to update and 
reissue a current Department of Homeland Security system of records 
titled, ``Department of Homeland Security/United States Secret 
Service--001 Criminal Investigation Information System of Records.'' As 
a result of biennial review of this system, records have been updated 
within the categories of records, routine uses, and notification 
procedures of this system of records notice. Additionally, the 
Department of Homeland Security previously published a Final Rule in 
the Federal Register to exempt this system of records from certain 
provisions of the Privacy Act; the current updates to this system of 
records do not impact the nature of the exemptions claimed. This 
updated system will be included in the Department of Homeland 
Security's inventory of record systems.

DATES: Written comments must be submitted on or before September 9, 
2011.

ADDRESSES: You may submit comments, identified by docket number DHS-
2011-0068 by one of the following methods:
     Federal e-Rulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 1-866-466-5370.
     Mail: Mary Ellen Callahan, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
     Instructions: All submissions received must include the 
agency name and docket number for this rulemaking. All comments 
received will be posted without change to https://www.regulations.gov, 
including any personal information provided.
     Docket: For access to the docket, to read background 
documents, or comments received go to https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions please contact: 
Latita Payne (202-406-6370), Privacy Officer, United States Secret 
Service, 245 Murray Lane, SW., Building T-5, Washington, DC 20223. For 
privacy issues please contact: Mary Ellen Callahan (703-235-0780), 
Chief Privacy Officer, Privacy Office, U.S. Department of Homeland 
Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION: 

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, and as 
part of the Department of Homeland Security's (DHS) biennial review of 
system of record notices, DHS/United States Secret Service (USSS) 
proposes to update and reissue a current DHS system of records titled, 
DHS/USSS-001 Criminal Investigation Information System. As a result of 
biennial review of this system, records have been updated within the 
categories of individuals covered in this system and categories of 
records in this system in order to further define, narrow, and 
eliminate duplicative categories.

[[Page 49498]]

Routine Use P was deleted to eliminate duplicative information. The 
notification procedures were updated to better reflect the reason for 
exemption and the method for access. This updated system will be 
included in DHS's inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the United States Government 
collects, maintains, uses, and disseminates individuals' records. The 
Privacy Act applies to information that is maintained in a ``system of 
records.'' A ``system of records'' is a group of any records under the 
control of an agency for which information is retrieved by the name of 
an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass United States citizens and lawful 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals where systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors. Individuals may request access to their own records that are 
maintained in a system of records in the possession or under the 
control of DHS by complying with DHS Privacy Act regulations, 6 CFR 
part 5.
    The Privacy Act requires that each agency publish in the Federal 
Register a description denoting the type and character of each system 
of records in order to make agency recordkeeping practices transparent, 
to notify individuals about the use of their records, and to assist the 
individual to more easily find files within the agency. Below is a 
description of the Criminal Investigation Information System.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this revised system of records to the Office of Management and Budget 
and to the Congress.

System of Records:
    Department of Homeland Security (DHS)/United States Secret Service 
(USSS)-001.

System name:
    DHS/USSS-001 Criminal Investigation Information System.

Security classification:
    Unclassified and Classified.

System location:
    Records are maintained at the United States Secret Service 
Headquarters, 950 H St., NW., Washington, DC 20223 and field offices.

Categories of individuals covered by the system:
     Individuals who have been or are currently the subject of 
a criminal investigation by DHS/USSS in connection with the performance 
by that agency of its authorized criminal investigative functions;
     Individuals who are informants, suspects, defendants, 
fugitives, released prisoners, organized crime figures, or those 
associated with these individuals who have been identified by DHS/USSS 
during the course of official USSS criminal investigations or by 
information supplied by other law enforcement agencies, government 
units, and the general public;
     Individuals who are witnesses and victims of crime as 
related to official USSS investigations;
     Individuals who are complainants and correspondents; and
     Individuals who are payees, registered owners, or 
endorsers of stolen or lost obligations and other securities of the 
United States.

Categories of records in the system:
     Records containing information compiled for the purpose of 
identifying individual criminal offenders and informants, suspects, 
defendants, fugitives, released prisoners, organized crime figures, or 
those associated with these individuals in furtherance of an official 
criminal investigation. The records consist of identifying data, 
including, but not limited to, name, date of birth, Social Security 
number, telephone number, home address, business address, spouse and 
family information, physical description, notations of arrest, the 
nature and imposition of criminal charges, sentencing, confinement, 
release, and parole or probations status concerning criminal offenders, 
defendants and suspects, witnesses, victims, and law enforcement 
personnel;
     Records containing reports identifiable with an 
individual, compiled at various stages of the process of enforcement of 
criminal laws from arrest or indictment through release from 
supervision, including reports of informants and investigators, for the 
purpose of a criminal investigation;
     Records containing investigatory material compiled for law 
enforcement purposes, including but not limited to, handwriting 
exemplars; laboratory analyses of inks and papers; handwriting 
analyses; petitions for the remission of forfeitures; notice of non-
receipt of Treasury drafts; affidavits of forged endorsements; opinions 
of the examiner of questioned documents; reports or opinions from the 
examination of computer evidence; reports or opinions from the 
examination of altered cellular telephones; certificates by owners of 
U.S. registered securities concerning forged requests for payments or 
assignments; applications for relief on account of loss, theft, or 
destruction of U.S. Savings Bonds or checks; photographic reproductions 
of obligations and other securities of the United States; contraband 
items; claims against the United States for the proceeds of government 
checks and bonds; reports necessary for the settlement of check and 
bond claims; polygraph case files; forensic examination information; 
search warrants and search warrant returns; indictments; certified 
inventories of property held as evidence; sworn and unsworn witness 
statements; state, local, and foreign criminal investigative 
information and reports; names and telephone numbers of persons 
intercepted by electronic, mechanical, or other device under the 
provisions of 18 U.S.C. Sec.  2510 et.seq. compiled during the lawful 
course of a criminal or civil investigation.

Authority for maintenance of the system:
    The Homeland Security Act of 2002, Public Law 107-296; Federal 
Records Act, 44 U.S.C. 3101; 5 U.S.C. 301; 18 U.S.C. 3056 and 3056A; 
and 6 CFR part 5.

Purpose(s):
    The purpose of this system is to collect and maintain criminal 
records related to individuals being investigated by DHS/USSS in 
connection with USSS' criminal law enforcement functions, including but 
not limited to investigating counterfeiting offenses, financial 
institution fraud, computer and telecommunications fraud, false 
identification documents, access device fraud, advance fee fraud, and 
electronic funds transfer fraud.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside the 
Department of Homeland Security (DHS) as a routine use pursuant to 5 
U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice or other federal agency conducting

[[Page 49499]]

litigation or in proceedings before any court, adjudicative or 
administrative body, when it is necessary to the litigation and one of 
the following is a party to the litigation or has an interest in such 
litigation:
    1. DHS or any component thereof;
    2. Any employee of DHS in his/her official capacity;
    3. Any employee of DHS in his/her individual capacity where DOJ or 
DHS has agreed to represent the employee; or
    4. The United States or any agency thereof, is a party to the 
litigation or has an interest in such litigation, and DHS determines 
that the records are both relevant and necessary to the litigation and 
the use of such records is compatible with the purpose for which DHS 
collected the records.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration or other 
federal government agencies pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    D. To an agency, organization, or individual for the purpose of 
performing audit or oversight operations as authorized by law, but only 
such information as is necessary and relevant to such audit or 
oversight function.
    E. To appropriate agencies, entities, and persons when:
    1. DHS 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 DHS or another agency or entity) or harm to the 
individual who relies upon the compromised information; and
    3. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with DHS's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    F. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to DHS officers and employees.
    G. To an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, where a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    H. To employees and officials of financial and commercial business 
firms and to private individuals, information pertaining to actual or 
suspected criminal offenders where such disclosure is considered 
reasonably necessary for the purpose of furthering USSS efforts to 
investigate the activities of and apprehend criminal offenders and 
suspected criminal offenders.
    I. To a court, magistrate, or administrative tribunal in the course 
of presenting evidence, including disclosure to opposing counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal law proceedings or in 
response to a subpoena from a court of competent jurisdiction.
    J. To an appropriate federal, state, local, tribal, territorial, 
foreign, or international agency, if the information is relevant and 
necessary to agency's decision concerning the hiring or retention of an 
individual, the issuance of a security clearance, license, contract, 
grant, or other benefit, or if the information is relevant and 
necessary to a DHS decision concerning the hiring or retention of an 
employee, the issuance of a security clearance, the reporting of an 
investigation of an employee, the letting of a contract, or the 
issuance of a license, grant or other benefit and when disclosure is 
appropriate to the proper performance of the official duties of the 
person making the request.
    K. To the Integrated Automated Fingerprint Identification System 
(IAFIS) managed by the Department of Justice, Federal Bureau of 
Investigations in connection with USSS's utilization.
    L. To federal, state, and local government agencies foreign or 
domestic, having prosecutorial and civil law enforcement functions for 
use by attorneys, magistrates, and judges, parole or probation 
authorities and other law enforcement authorities for the purpose of 
developing a criminal or civil investigation, prosecuting, sentencing, 
or determining the parole and probation status of criminal offenders or 
suspected criminal offenders.
    M. To personnel of other federal, state, and local law enforcement 
agencies, foreign or domestic, for the purpose of developing 
information on subjects involved in USSS criminal investigations and 
assisting other law enforcement agencies in the investigation and 
prosecution of violations of the criminal laws which those agencies are 
responsible for enforcing.
    N. To personnel of federal, state, and local governmental agencies, 
foreign and domestic, where such disclosure is considered reasonably 
necessary for the purpose of furthering USSS efforts to investigate the 
activities of and apprehend criminal offenders and suspected criminal 
offenders.
    O. To personnel of federal, state, and local governmental agencies, 
foreign and domestic, where there is a showing of reasonable necessity 
to obtain such information to accomplish a valid law enforcement 
purpose as agreed to by the USSS.
    P. To the news media and the public, with the approval of the Chief 
Privacy Officer in consultation with counsel, when there exists a 
legitimate public interest in the disclosure of the information or when 
disclosure is necessary to preserve confidence in the integrity of DHS 
or is necessary to demonstrate the accountability of DHS's officers, 
employees, or individuals covered by the system, except to the extent 
it is determined that release of the specific information in the 
context of a particular case would constitute an unwarranted invasion 
of personal privacy.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper and electronic records in this system are stored in secure 
facilities and/or behind locked doors. Electronic records media, such 
as magnetic tape, magnetic disk, digital media, and CD ROM are stored 
in proper environmental controls.

Retrievability:
    This system is indexed by name, address, vehicle license number, 
and/or telephone number, and is retrieved

[[Page 49500]]

through computer search of magnetic media indices both at Headquarters 
and in the field offices. Additionally, subjects are retrievable from 
the computerized files by physical description. Access to the physical 
files containing records is by case number.

Safeguards:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DHS and USSS 
automated systems security and access policies. Strict controls have 
been imposed to minimize the risk of compromising the information that 
is being stored, processed, and transmitted. Access to the computer 
system containing the records in this system is limited to those 
individuals who have a USSS approved need to know the information for 
the performance of their official duties and who have appropriate 
clearances or permissions.

Retention and disposal:
    All judicial cases are retained for a period of 30 years after case 
closure (unless otherwise required to be held permanently for transfer 
to the National Archives and Records Administration). Non-judicial 
criminal investigative cases (except non-judicial check and bond cases) 
are retained for 10 years. Non-judicial check claim and bond forgery 
cases are retained for 5 years. Administrative files of an 
investigatory nature are retained for 5 years. Investigations for other 
districts are retained for 2 years. Receipts are retained for a variety 
of time periods depending on the case file to which they pertain. 
Arrest history forms are held permanently for transfer to the National 
Archives and Records Administration. Headquarters criminal 
investigative case files are retained for 30 years. Consensual and non-
consensual interception indices are held for 10 years or when 
investigative use no longer exists, whichever is longer. Fingerprint 
and photograph files are retained at varying intervals based on case 
type and in accordance with record retention schedules approved by the 
National Archives and Records Administration.

System Manager and address:
    Assistant Director, Office of Investigations, U.S. Secret Service, 
245 Murray Lane SW., Building T-5, Washington, DC 20223.

Notification procedure:
    The Secretary of Homeland Security has exempted this system from 
the notification, access, and amendment procedures of the Privacy Act 
because it is a law enforcement system. However, DHS/USSS will consider 
individual requests to determine whether or not information may be 
released. Thus, individuals seeking notification of and access to any 
record contained in this system of records, or seeking to contest its 
content, may submit a request in writing to the USSS FOIA Officer, 245 
Murray Drive SW., Building T-5, Washington, DC 20223. If an individual 
believes more than one component maintains Privacy Act records 
concerning him or her, the individual may submit the request to the 
Chief FOIA Officer, Department of Homeland Security, whose contact 
information can be found at https://www.dhs.gov/foia.
    When seeking records about yourself from this system of records or 
any other USSS system of records, your request must conform with the 
Privacy Act regulations set forth in 6 CFR part 5. You must first 
verify your identity, meaning that you must provide your full name, 
current address and date and place of birth. You must sign your 
request, and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Director, 
Disclosure and FOIA, https://www.dhs.gov or 1-866-431-0486. In addition 
you should provide the following:
     An explanation of why you believe the Department would 
have information on you,
     Specify when you believe the records would have been 
created,
     If your request is seeking records pertaining to another 
living individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information USSS may not be able to conduct 
an effective search, and your request may be denied due to lack of 
specificity or lack of compliance with applicable regulations.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record Source Categories:
    The Secretary of Homeland Security has exempted this system from 
subsections (e)(4)(I) of the Privacy Act pursuant to 5 U.S.C. 
552a(j)(2) and (k)(2) and (k)(3); therefore, records sources shall not 
be disclosed.

Exemptions claimed for the system:
    Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act and 
the limitations therein, this system is exempt from 5 U.S.C. 552a(c)(3) 
and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), 
(e)(5) and (e)(8); (f); and (g). Pursuant to 5 U.S.C. 552a(k)(1), 
(k)(2), (k)(3) this system is exempt from the following provisions of 
the Privacy Act, subject to the limitations set forth in those 
subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), 
(e)(4)(I), and (f). In addition, to the extent a record contains 
information from other exempt systems of records; USSS will rely on the 
exemptions claimed for those systems.

    Dated: July 14, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2011-20226 Filed 8-9-11; 8:45 am]
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