[Federal Register Volume 76, Number 178 (Wednesday, September 14, 2011)]
[Notices]
[Pages 56787-56789]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-23340]


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DEPARTMENT OF THE INTERIOR

Bureau of Indian Affairs


Privacy Act of 1974; as Amended; Notice To Amend an Existing 
System of Records

AGENCY: Bureau of Indian Affairs, Interior.

ACTION: Notice of amendment to an existing system of records.

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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as 
amended, the Department of the Interior (DOI) is issuing a public 
notice of its intent to amend Bureau of Indian Affairs (BIA) Privacy 
Act system of records, ``Indian Social Services Case Files--Interior, 
BIA-8'' to change the name of the system to the ``Financial Assistance 
and Social Services--Case Management System, Interior/BIA-8,'' and 
update the categories of individuals and records in the system, the 
authorities, routine uses, and policies and practices for records 
storage and disposition. This system is used to provide services to 
individual Indians who apply for and receive social services and direct 
assistance from the BIA.

DATE: Comments must be received by October 24, 2011. The amendments to 
the system will be effective October 24, 2011.

ADDRESSES: Any person interested in commenting on this notice may do so 
by: submitting comments in writing to Willie Chism, Indian Affairs 
Privacy Act Officer, 625 Herndon Parkway, Herndon, Virginia 20170; 
hand-delivering comments to Willie Chism, Indian Affairs Privacy Act 
Officer, 625 Herndon Parkway, Herndon, Virginia 20170; or e-mailing 
comments to Willie.Chism@bia.gov.

FOR FURTHER INFORMATION CONTACT: Deputy Bureau Director for Indian 
Services, Division of Human Services, 1849 C Street, NW., MS 4513-MIB, 
Washington, DC 20240, telephone number (202) 513-7640.

SUPPLEMENTARY INFORMATION:

I. Background

    The Bureau of Indian Affairs (BIA) maintains the ``Indian Social 
Services Case Files--Interior, BIA-8'' system of records, which it is 
renaming the ``Financial Assistance and Social Services--Case 
Management System, Interior/BIA-8.'' The purpose of this system is to 
provide assistance to individual Indians who apply for and receive 
social services and direct assistance from the Bureau of Indian 
Affairs. The amendments to the system will include revising the system 
name and adding a routine use to comply with 5 U.S.C. 552a(b)(3) of the 
Privacy Act for appropriate systems specifically applying to the 
disclosure of information in connection with response and remedial 
efforts in the event of a data breach. Other amendments to the system 
will include updating data in the following fields: System location, 
categories of individuals covered by the system; categories of records 
in the system; authority for maintenance of the system; routine uses of 
records maintained in the system, including categories of users and the 
purposes of such uses; policies and practices for storing, retrieving, 
accessing, retaining, and disposing of records in the system. This 
system notice was last published on August 21, 1990 (55 FR 34085).
    The amendments to the system will be effective as proposed at the 
end of the comment period (the comment period will end 40 days after 
the publication of this notice in the Federal Register), unless 
comments are received which would require a contrary determination. DOI 
will publish a revised notice if changes are made based upon a review 
of the comments received.

II. Privacy Act

    The Privacy Act of 1974, as amended (5 U.S.C. 552a), embodies fair 
information principles in a statutory framework governing the means by 
which Federal Agencies collect, maintain, use, and disseminate 
individuals' personal information. 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 U.S. citizens or lawful permanent residents. As a 
matter of policy, DOI extends administrative Privacy Act protections to 
all individuals. Individuals may request access to their own records 
that are maintained in a system of records in the possession or under 
the control of DOI by complying with DOI Privacy Act regulations, 43 
CFR part 2.
    The Privacy Act requires each agency to publish in the Federal 
Register a description denoting the type and character of each system 
of records that the agency maintains, the routine uses that are 
contained in each system in order to make agency record keeping 
practices transparent, to notify individuals regarding the uses of 
their records, and to assist individuals to more easily find such 
records within the agency. Below is the description of the Bureau of 
Indian Affairs, Financial Assistance and Social Services--Case 
Management System, Interior/BIA-8, system of records.
    In accordance with 5 U.S.C. 552a(r), DOI has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.

III. Public Disclosure

    Before including your address, phone number, e-mail address, or 
other personal identifying information in your comment, you should be 
aware that your entire comment, including your personal identifying 
information, may be made publicly available at any time. While you can 
ask us in your comment to withhold your personal identifying 
information from public review, we cannot guarantee that we will be 
able to do so.

    Dated: September 1, 2011.
Willie S. Chism,
Indian Affairs Privacy Act Officer, Assistant Secretary--Indian 
Affairs.


SYSTEM NAME:
    Financial Assistance and Social Services--Case Management System, 
Interior/BIA-8.

SYSTEM LOCATION:
    This system is located at the Bureau of Indian Affairs, Office of 
Information Operations (OIO), 1011 Indian School Rd., NW., Suite 177, 
Albuquerque, NM 87104. Records may also be located in regional offices 
providing social services and direct assistance to individual Indians.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have applied for or are receiving social services 
or direct

[[Page 56788]]

assistance from the BIA, including children, adults, elderly, and 
family members; individuals who provide services such as foster care, 
residential care, guardianship, and adoption subsidy; and individuals 
who provide services from funeral homes, local businesses and other 
Federal, state, local and tribal provider agencies.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system contains records and information pertaining directly to 
individuals including name, Social Security Number, Date of Birth, Date 
of Death, Tribal Enrollment Information, Individual Indian Monies (IIM) 
Trust Account Information, telephone number, address, aliases, marital 
status, financial and educational information, and account number. 
Records also includes information on business entities, organizations, 
individuals, and Federal, state, local or tribal agencies that provide 
social services or assistance to individuals covered by this system. 
Other records may include case files and related card files giving 
history of social services and direct assistance to individual Indians, 
and records concerning individuals which have arisen as a result of 
that individual's receipt of payment or overpayment of direct 
assistance funds which the individual was not entitled and/or for the 
misuse of funds disbursed under the direct entitlement program.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    25 U.S.C. 13, the Snyder Act of 1924; 25 CFR part 20, Financial 
Assistance and Social Services Program; 25 CFR Part 23, Indian Child 
Welfare Act; and 25 CFR Part 115, Trust Funds for Tribes and Individual 
Indians.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The purposes of the system are (a) To provide individual records on 
social services and direct assistance to individual Indians; (b) to 
provide management with an automated information system for program 
planning, management utilization, and adequate reporting for 
performance and compliance management; (c) to improve the case worker's 
productivity and decision-making process by providing more complete 
case information, while enabling better resource management; (d) to 
automate the application process and case workflow to ensure compliance 
with eligibility criteria; (e) to provide adequate tracking and record-
keeping; and (f) to support the financial payments to eligible Indian 
clientele.
    Disclosures outside DOI may be made without the consent of the 
individual to whom the record pertains under the routine uses listed 
below:
    (1) (a) To any of the following entities or individuals, when the 
circumstances set forth in paragraph (b) are met:
    (i) The U.S. Department of Justice (DOJ);
    (ii) A court or an adjudicative or other administrative body;
    (iii) A party in litigation before a court or an adjudicative or 
other administrative body; or
    (iv) Any DOI employee acting in his or her individual capacity if 
DOI or DOJ has agreed to represent that employee or pay for private 
representation of the employee;
    (b) When:
    (i) One of the following is a party to the proceeding or has an 
interest in the proceeding:
    (A) DOI or any component of DOI;
    (B) Any other Federal agency appearing before the Office of 
Hearings and Appeals;
    (C) Any DOI employee acting in his or her official capacity;
    (D) Any DOI employee acting in his or her individual capacity if 
DOI or DOJ has agreed to represent that employee or pay for private 
representation of the employee;
    (E) The United States, when DOJ determines that DOI is likely to be 
affected by the proceeding; and
    (ii) DOI deems the disclosure to be:
    (A) Relevant and necessary to the proceeding; and
    (B) Compatible with the purpose for which the records were 
compiled.
    (2) To a congressional office in response to a written inquiry that 
an individual covered by the system, or the heir of such individual if 
the covered individual is deceased, has made to the office.
    (3) To any criminal, civil, or regulatory law enforcement authority 
(whether Federal, state, territorial, local, tribal or foreign) when a 
record, either alone or in conjunction with other information, 
indicates a violation or potential violation of law--criminal, civil, 
or regulatory in nature, and the disclosure is compatible with the 
purpose for which the records were compiled.
    (4) To an official of another Federal agency to provide information 
needed in the performance of official duties related to reconciling or 
reconstructing data files or to enable that agency to respond to an 
inquiry by the individual to whom the record pertains.
    (5) To Federal, state, territorial, local, tribal, or foreign 
agencies that have requested information relevant or necessary to the 
hiring, firing or retention of an employee or contractor, or the 
issuance of a security clearance, license, contract, grant or other 
benefit, when the disclosure is compatible with the purpose for which 
the records were compiled.
    (6) To representatives of the National Archives and Records 
Administration to conduct records management inspections under the 
authority of 44 U.S.C. 2904 and 2906.
    (7) To state and local governments and tribal organizations to 
provide information needed in response to court order and/or discovery 
purposes related to litigation, when the disclosure is compatible with 
the purpose for which the records were compiled.
    (8) To an expert, consultant, or contractor (including employees of 
the contractor) of DOI that performs services requiring access to these 
records on DOI's behalf to carry out the purposes of the system.
    (9) To appropriate agencies, entities, and persons when:
    (a) It is suspected or confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; and
    (b) The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interest, 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
    (c) The disclosure is made to such agencies, entities and persons 
who are 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.
    (10) To the Office of Management and Budget during the coordination 
and clearance process in connection with legislative affairs as 
mandated by OMB Circular A-19.
    (11) To the Department of the Treasury to recover debts owed to the 
United States.
    (12) To the news media when the disclosure is compatible with the 
purpose for which the records were compiled.
    (13) To a consumer reporting agency if the disclosure requirements 
of the Debt Collection Act, as outlined at 31 U.S.C. 3711(e)(1), have 
been met.
    (14) To another Federal agency, state or local government, Indian 
tribal group, or to any individual or establishment that will have 
jurisdiction whether by contract to the BIA, by assumption of trust 
responsibilities or by other means,

[[Page 56789]]

for social services programs now controlled by the BIA.
    (15) To another Federal agency, state or local government, or 
Indian tribal governmental officials responsible for administering 
child protective services in carrying out his or her official duties.
    (16) To a guardian or guardian ad litem of a child named in the 
report.
    (17) To another Federal agency, state or local government, or 
Indian tribal agencies authorized to care for, treat, or supervise 
abused or neglected children whose policies also require confidential 
treatment of information.
    (18) To members of community child protective teams for the 
purposes of establishing a diagnosis, formulating a treatment plan, 
monitoring the plan, investigating report of suspected physical child 
abuse or neglect and making recommendations to the appropriate court of 
competent jurisdiction, whose policies also require confidential 
treatment of information.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE:
    Records are maintained in paper form in file folders stored in file 
cabinets, and electronic media such as personal computers, magnetic 
disk, diskette, and computer tapes. The electronic records are 
contained in removable drives, computers, email and electronic 
databases.

RETRIEVABILITY:
    Information within this system can be retrieved by an individual's 
first name, last name, Social Security Number, Date of Birth, Date of 
Death, Tribal Enrollment Information, IIM Trust Account Information, 
telephone number, aliases and account number.

SAFEGUARDS:
    Records are maintained in accordance with 43 CFR 2.51, Privacy Act 
safeguards for records. Access is provided on a need-to-know basis. 
During working hours, paper records are maintained in locked filed 
cabinets under the control of authorized personnel.
    Electronic records are safeguarded by permissions set to 
``Authenticated Users'' which requires password login. The computer 
servers in which records are stored are located in Department of the 
Interior facilities that are secured by alarm systems and off-master 
key access. Access granted to individuals is password protected. The 
Department's Privacy Act Warning notice appears on the monitor screens 
when users access the System. Backup tapes are stored in a locked and 
controlled room, in a secure off-site location. The tapes are kept on 
the Data Center floor for several weeks and then shipped to Iron 
Mountain, a secure off site location. Access to the Data Center floor 
is controlled by key card and only a select number of people have 
access. The Security Plan addresses the Department's Privacy Act 
minimum safeguard requirements for Privacy Act systems at 43 CFR 2.51. 
A Privacy Impact Assessment was conducted to ensure that Privacy Act 
requirements and safeguard requirements are met. The assessment 
verified that appropriate controls and safeguards are in place. 
Personnel authorized to access the system must complete all Security, 
Privacy, and Records management training and sign the Rules of 
Behavior.

RETENTION AND DISPOSAL:
    Paper records are covered by Indian Affairs Records Schedule (IARS) 
records series 3600, and have been scheduled as permanent records under 
NARA Job No. N1-075-05-1 approved on March 31, 2005. Records are 
maintained in the office of records for a maximum of 5 years after the 
end of the calendar year in which the case or agreement is closed and 
then retired to the American Indian Records Repository which is a 
Federal Records Center. In accordance with the Indian Affairs Records 
Schedule, the subsequent legal transfer of records to the National 
Archives of the United States will be as jointly agreed to between the 
United States Department of the Interior and the National Archives and 
Records Administration (NARA).
    A records retention schedule for the electronic records in this 
system is being developed and will be submitted to NARA for scheduling 
and approval. Pending approval by NARA, electronic records will be 
treated as permanent records. Data backups or copies captured on 
magnetic disk, diskette and computer tapes that are maintained 
separately from database files are temporary and are retained in 
accordance with General Records Schedules (GRS) 20/8 and 24/4(a).

SYSTEM MANAGER AND ADDRESS:
    Deputy Bureau Director for Indian Services, Division of Human 
Services, 1849 C Street, NW., MS 4513-MIB, Washington, DC 20240.

NOTIFICATION PROCEDURES:
    An individual requesting notification of the existence of records 
on himself or herself should send a signed, written inquiry to the 
System Manager identified above. The request envelope and letter should 
both be clearly marked ``PRIVACY ACT INQUIRY.'' A request for 
notification must meet the requirements of 43 CFR 2.60.

RECORDS ACCESS PROCEDURES:
    An individual requesting records on himself or herself should send 
a signed, written inquiry to the System Manager identified above. The 
request should describe the records sought as specifically as possible. 
The request envelope and letter should both be clearly marked ``PRIVACY 
ACT REQUEST FOR ACCESS.'' A request for access must meet the 
requirements of 43 CFR 2.63.

CONTESTING RECORDS PROCEDURES:
    An individual requesting corrections or the removal of material 
from his or her records should send a signed, written request to the 
System Manager identified above. A request for corrections or removal 
must meet the requirements of 43 CFR 2.71.

RECORD SOURCE CATEGORIES:
    The information in the system is obtained from individuals applying 
for or receiving social services or direct assistance from BIA; 
individuals providing services for foster care, residential care, 
guardianship, and adoption subsidy; and individuals providing services 
from funeral homes, local businesses, and provider agencies. The 
Application for Financial Assistance and Social Services and the 
Individual Self-Sufficiency Plan (OMB Control No. 1076-0017), signed by 
the client, permits the BIA to gather information from other agencies 
and programs, including tribal, local, state, and/or Federal programs 
from which the individual received services or assistance.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

[FR Doc. 2011-23340 Filed 9-13-11; 8:45 am]
BILLING CODE 4310-4J-P