[Federal Register Volume 80, Number 5 (Thursday, January 8, 2015)]
[Notices]
[Pages 1043-1047]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-00038]
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DEPARTMENT OF THE INTERIOR
Office of the Secretary
[DT20400000 DST000000.T7AC00 15XD0120AF]
Privacy Act of 1974, as Amended; Notice To Amend an Existing
System of Records
AGENCY: Office of the Special Trustee for American Indians, 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 is issuing a public notice of
its intent to amend the Office of the Special Trustee for American
Indians Privacy Act system of records, ``Individual Indian Money (IIM)
Trust Funds-Interior, OS-02,'' to combine the existing system of
records with the OST Privacy Act system of records, ``Accounting
Reconciliation Tool (ART)--Interior, OS-11'' into one system of records
for efficiency purposes and to promote the overall streamlining and
management of Department of the Interior Privacy Act systems of
records. This amendment will also update the system location,
categories of individuals covered by the system, categories of records
in the system, authority for maintenance of the system, storage,
safeguards, retention and disposal, system manager and address,
notification procedures, records access and contesting procedures,
records source categories, and the routine uses to include activities
related to land consolidation of fractionated lands.
DATES: Comments must be received by February 17, 2015. The amendments
to the system will be effective February 17, 2015.
ADDRESSES: Any person interested in commenting on this notice may do so
by: submitting comments in writing to Veronica Herkshan, Office of the
Special Trustee for American Indians Privacy Act Officer, 4400 Masthead
Street NE., Albuquerque, New Mexico 87109; hand-delivering comments to
Veronica Herkshan, Office of the Special Trustee for American Indians
Privacy Act Officer, 4400 Masthead Street NE., Albuquerque, New Mexico,
87109; or emailing comments to veronica [email protected].
FOR FURTHER INFORMATION CONTACT: Chief of Staff, Office of the Special
Trustee for American Indians, 1849 C Street NW., Room 3254, Washington,
DC 20240, or by telephone at 202-208-4866.
SUPPLEMENTARY INFORMATION
I. Background
The Department of the Interior (DOI), Office of the Special Trustee
for American Indians (OST), maintains the ``Individual Indian Money
(IIM) Trust Funds--Interior, OS-02,'' system of records. Due to a
recent reorganization of OST and the Office of Historical Accounting,
DOI is proposing to combine the OST Privacy Act system of records,
``Individual Indian Money (IIM) Trust Funds--Interior, OS-02,'' with
the OST Privacy Act system of records, ``Accounting Reconciliation Tool
(ART)--Interior, OS-11,'' for efficiency purposes and to promote the
overall streamlining and management of DOI Privacy Act systems of
records. The two systems have the same authorities and purpose, to
manage the collection, distribution, and disbursement of Indian Trust
land income; are managed by the same system manager within OST; and
have the same or similar categories of records, categories of
individuals, and routine uses.
The IIM system will assist OST in meeting the fiduciary
responsibilities set forth in the American Indian Trust Fund Management
Reform Act of 1994 including management of the receipt, investment,
disbursement and administration of money held in trust for individual
Indians and Alaskan Natives (or their heirs), and Indian Tribes; and
ensure timely, accurate, and consistent responses to beneficiary
inquiries. The system also assists the OST in providing litigation
support in analyzing and reconciling the historical collection,
distribution, and disbursement of income from IIM accounts, Indian
trust land, and other revenue sources. The amendments to this system
includes updating the system locations, categories of individuals
covered by the system, categories of records in the system, authority
for maintenance of the system, storage, safeguards, retention and
disposal, system manager and address, notification procedures, records
access and contesting procedures, records source categories, and
updating the routine uses to include activities related to land
consolidation of fractionated
[[Page 1044]]
lands. The Individual Indian Money (IIM) Trust Funds--Interior, OS-02
system notice was last published in the Federal Register on December
19, 2008, 73 FR 77824. The Accounting Reconciliation Tool (ART)--
Interior, OS-11 system notice was last published in the Federal
Register on July 31, 2008, 73 FR 44759. Upon final publication of the
amended Individual Indian Money (IIM) Trust Funds--Interior, OS-02
system notice, DOI will publish a deletion notice for the Accounting
Reconciliation Tool (ART)--Interior, OS-11 system notice to remove it
from DOI's inventory of systems of records notices.
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 practice 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 records
about individuals 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 about an individual is retrieved by the
name or by some identifying number, symbol, or other identifying
particular assigned to the individual. The Privacy Act defines an
individual as a U.S. citizen or lawful permanent resident. 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 the DOI by complying with DOI Privacy Act regulations at 43
CFR part 2, subpart K.
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. The amended system notice for the
``Individual Indian Money (IIM) Trust Funds--Interior, OS-02,'' is
published in its entirety below.
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, email 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.
Date: December 29, 2014.
Veronica J. Herkshan,
Privacy Act Officer, Office of the Special Trustee for American
Indians.
System Name:
Individual Indian Money (IIM) Trust Funds--Interior, OS-02.
Security Classification:
Unclassified.
System Locations:
The system is located and centrally managed at OST, U.S. Department
of the Interior, 4400 Masthead Street, NE., Albuquerque, New Mexico
87109. Records are also located at the American Indian Records
Repository, 17501 West 98th Street, Lenexa, Kansas 66219; SEI, One
Freedom Valley Drive, Oaks, Pennsylvania 19456; the Bureau of Indian
Affairs, Southwest Region, Albuquerque Data Center, 1001 Indian School
Road, Albuquerque, New Mexico 87109; the OST, U.S. Department of the
Interior, 1849 C Street NW., Washington, DC 20240; other DOI and Office
of the Secretary program offices; OST regional and field offices;
offices of contractors; and offices of Indian Tribes that administer
the IIM account program under Indian Self-Determination or Self-
Governance contracts or compacts.
Categories of Individuals Covered by the System:
Individuals covered by the system include individual Indians and
Alaskan Natives (or their heirs), Indian Tribes, current and former
Federal employees and contractors who receive IIM account information
or are IIM account holders, owners of land held in trust or restricted
status by the Federal Government, and DOI employees, contractors, and
officials acting in their official capacity to administer program
activities. Additionally, this system contains information regarding
individuals owning purchasable fractional interests in land or who may
be interested in participating in the Land Buy-Back Program; members of
the public, including individuals who make inquiries about the Cobell
Settlement payments, acquaintances of IIM account holders, depositors
into and claimants against IIM accounts, individuals who lease,
contract, or who are permit holders on Indian lands, and individuals
with whom OST conducts business.
The system contains information about private organizations that
provide contact information about individual Indian account holders
whose whereabouts are unknown to OST, and records concerning
corporations and other business entities, which are not subject to the
Privacy Act. However, records pertaining to individuals acting on
behalf of corporations and other business entities may reflect personal
information.
Categories of Records in the System:
Records in this system include IIM account and Tribal trust fund
account records such as financial documents, account reconciliation
information, disbursements, investments, bonds, transfers, and
historical statements of account, which contain the following
information: Names, aliases, addresses, gender, dates of birth, dates
of death, telephone numbers, email addresses and other contact
information, Social Security numbers, IIM account numbers, Tribal
affiliation (membership), Tribal enrollment numbers, blood quantum,
bank routing numbers, bank account numbers, taxpayer identification
numbers, guardianship information, and Tribal trust account codes.
Records also include documents related to financial and investment
activity, custodianship of investments for IIM accounts and Tribal
trust fund accounts. Financial documents, transaction data regarding
receipts, disbursements, investments and transfers, and contact
information for individuals who may know the whereabouts of unknown
locations of beneficiaries is also included in this system.
Records also include data regarding IIM accounts that may be
obtained from the OST Accounting Reconciliation Tool system, Trust
Funds Accounting System (TFAS), and the Bureau of Indian Affairs (BIA)
Trust Asset and Accounting Management System (TAAMS). These records
help reconcile IIM accounts and may include land
[[Page 1045]]
ownership, official correspondence, appraisals, maps, purchase offers,
and other documents related to land consolidation efforts and program
activities that may include name, address, email address, phone number,
date of birth, age, Social Security number, Tribal enrollment number,
land ownership interests in restricted or fractioned lands, and other
information related to these program activities.
Authority for Maintenance of the System:
American Indian Trust Fund Management Reform Act of 1994, Public
Law 103-412, 108 Stat. 4239; 25 U.S.C. 42, American Indian Trust Fund
Management Reform; 25 U.S.C. 116, 117(a)(b)(c), 118, 119, 120, 121,
151, 159, 161(a), 162(a), 4011, 4043(b)(2)(B).
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
The IIM Trust Funds system of records is used to manage the
collection, investment, distribution, and disbursement of IIM account
and Tribal trust fund income; comply with the American Indian Trust
Fund Management Reform Act of 1994 (Pub. L. 103-412, 108 Stat. 4239);
improve accountability and management of Indian funds held in trust by
the Government; provide trust services and information for Indian trust
funds program management; manage beneficiary contact including
inquiries and requests regarding their trust assets; provide IIM
account status to IIM account holders; locate IIM account holders whose
whereabouts are currently unknown; document trust account transaction
history and quarterly statements; and transfer electronic data to the
Department of the Treasury for the processing of IIM account and Tribal
trust fund account payments. It also supports DOI land consolidation
activities and provides an interface to TAAMS, a system of record for
title and land resource management of Indian trust land within DOI and
the Bureau of Indian Affairs (BIA).
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 DOI as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
(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, as needed, in the
performance of their official duties to disburse trust funds and to
issue disbursements, Explanation of Payment reports (EOPs), Statements
of Performance (including Assets), IRS Form 1099s, Osage Headright
Owner's Share of Income, Deductions, etc., and BIA invoices for the use
or sale of Indian trust lands and resources, as well as, to recover
debts owed to the United States.
(12) To agency contractors who have been engaged to assist the
Government in the performance of a contract, grant, cooperative
agreement, or other activity related to this system of records and who
need to have access to the records in order to perform the activity.
(13) To Indian Tribes entering into a contract or compacts of the
trust funds management functions under the Indian Self-Determination
and Education Assistance Act, as amended.
(14) To any of the following entities or individuals, when the
entity or individual makes a written request for information of owners
of any interest in
[[Page 1046]]
trust or restricted lands, location of the parcel, and the percentage
of undivided interest owner by each individual:
(i) To other owners of interests in trust or restricted lands
within the same Indian Reservation;
(ii) To Tribes that exercise jurisdiction over the land where the
parcel is located or any person who is eligible for membership in a
Tribe; and
(iii) To any person that is leasing, using or consolidating, or is
applying to lease, use or consolidate trust or restricted land or the
interest in trust or restricted lands.
(15) To Indian Tribes entering into a contract or compacts of real
estate or title functions under the Indian Self-Determination and
Education Assistance Act, as amended.
(16) To Indian Tribes (including employees) who (1) operate, or are
eligible to operate, land consolidation activities on behalf of DOI,
(2) agree to non-disclosure, and (3) submit a request in writing, upon
a determination by DOI that such activities shall occur on the Tribe's
Reservation within 6 months or less and when the information relates to
owners of fractionated land. Information disclosed may include, but not
limited to, the following:
(a) Contact information (telephone number, email address);
(b) Relevant personal characteristics of the owner (age, Tribal
membership, living/deceased);
(c) Type of ownership, i.e., type of interest, if interest is
purchasable;
(d) Transaction status, i.e., has an offer been sent, accepted or
rejected, is the owner a willing seller.
(17) To the lineal descendant, heir, or devisee of a deceased
individual covered by the system or to any other person entitled to the
deceased's trust assets.
(18) To IIM account owners, their heirs, guardians, or agents.
(19) To members of the public, the names of IIM account holders
whose whereabouts are unknown and OST is seeking a current address.
(18) To the news media and the public, with the approval of the
Public Affairs Officer in consultation with Counsel and the Senior
Agency Official for Privacy, where there exists a legitimate public
interest in the disclosure of the information, 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:
Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made to a
consumer reporting agency as defined in the Fair Credit Reporting Act
(15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1996 (31
U.S.C. 3701(a)(3)).
Policies and Practices for Storing, Retrieving, Accessing, Retaining
and Disposing of Records in the System:
Storage:
Records maintained in paper form are stored in file folders in file
cabinets. Electronic records are maintained in computer servers,
computer hard drives, electronic databases, email, and electronic media
such as removable drives, compact disc, magnetic disk, diskette, and
computer tapes.
Retrievability:
Records are retrieved by individual names, Social Security numbers,
IIM or Tribal trust fund account numbers, Tribe, Tribal enrollment or
census numbers, Tribal codes, electronic ticket numbers, contact names,
and call numbers or incident numbers. Identifiers may also be linked to
appraisals, parcels, or encumbrances on ownership.
Safeguards:
The records contained in this system are safeguarded in accordance
with 43 CFR 2.226 and other applicable security and privacy policies
and standards. During normal hours of operation, paper records are
maintained in locked file cabinets under the control of authorized
personnel. Computerized records systems follow the National Institute
of Standards and Technology standards as developed to comply with the
Privacy Act of 1974 (Pub. L. 93-579), Paperwork Reduction Act of 1995
(Pub. L. 104-13), Federal Information Security Management Act of 2002
(Pub. L. 107-347), and the Federal Information Processing Standards
199, Standards for Security Categorization of Federal Information and
Information Systems. Computer servers in which electronic records are
stored are located in secured DOI and contractor facilities. Access to
records in the system is limited to authorized personnel who have a
need to access the records in the performance of their official duties.
Electronic data is protected through user identification, passwords,
database permissions and software controls. Such security measures
establish different access levels for different types of users
associated with pre-defined groups and/or bureaus. Each user's access
is restricted to only the functions and data necessary to perform that
person's job responsibilities. Access can be restricted to specific
functions (create, update, delete, view, assign permissions) and is
restricted utilizing role-based access. Authorized users are trained
and required to follow established internal security protocols and must
complete all security, privacy, and records management training and
sign the DOI Rules of Behavior. Contract employees with access to the
system are monitored by their Contracting Officer's Technical
Representative and agency Security Manager. A Privacy Impact Assessment
was conducted to ensure that Privacy Act safeguard requirements are met
and appropriate privacy controls and safeguards are in place.
Retention and Disposal:
Records in this system are covered by the Indian Affairs Records
Schedule records series 6100 and 9000 approved on June 28, 2006, by the
National Archives and Records Administration (NARA) Job No. N1-075-04-7
and Job. No. N1-075-06-8. The Indian Fiduciary Financial Trust records
are cut off at the end of the fiscal year, maintained in the office two
years after cut off, and then retired to the American Indian Records
Repository (AIRR), Federal Records Center, Lenexa, Kansas. Subsequent
legal transfer of the records to the National Archives of the United
States will be in accordance with the signed Standard Form 258,
Agreement to Transfer Records to the National Archives of the United
States. Historical Trust Accounting records are cut off at fiscal year-
end, maintained in the office of records for a maximum of 5 years after
cut off, and then retired to the AIRR, Federal Records Center, Lenexa,
Kansas. Subsequent legal transfer of the records to the National
Archives of the United States will be as jointly agreed to between the
U.S. Department of the Interior and NARA. Temporary records are
maintained and disposed of in accordance with the General Records
Schedule for the appropriate record type (including data backup tapes
or copies).
System Manager and Address:
Chief of Staff, Office of the Special Trustee for American Indians,
1849 C Street NW., Room 3254, 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
[[Page 1047]]
``PRIVACY ACT INQUIRY.'' A request for notification must meet the
requirements of 43 CFR 2.235. Provide the following information with
your request:
(a) Proof of your identity;
(b) List of all of the names by which you have been known, such as
maiden name or alias(es);
(c) Social Security number;
(d) Mailing address;
(e) Tribe, IIM account number, Tribal enrollment, or census number;
(f) BIA home agency; and
(g) Time period(s) during which the records may have been created
or maintained, to the extent known by you.
Record Access Procedures:
An individual requesting records on himself or herself should send
a signed written request 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 2.238. Provide the following information with
your request:
(a) Proof of your identity;
(b) List of all of the names by which you have been known, such as
maiden name or alias(es);
(c) Social Security number;
(d) Mailing address;
(e) Tribe, IIM account number, Tribal enrollment, or census number;
(f) BIA home agency;
(g) Time period(s) during which the records may have been created
or maintained, to the extent known by you; and
(h) Description or identification of the records you are requesting
(including whether you are asking for a copy of all of your records or
only a specific part of them) and the maximum amount of money that you
are willing to pay for duplication.
Contesting Record 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 2.246. Provide the following
information with your request:
(a) Proof of your identity;
(b) List of all of the names by which you have been known, such as
maiden name or alias(es);
(c) Social Security number;
(d) Mailing address;
(e) Tribe, IIM account number, Tribal enrollment, or census number;
(f) BIA home agency;
(g) Time period(s) during which the records may have been created
or maintained, to the extent known by you;
(h) Specific description or identification of the record(s) you are
contesting and the reason(s) why you believe the record(s) are not
accurate, relevant, timely, or complete; and
(i) Copy of documents or evidence in support of (h) above.
Records Source Categories:
Sources of information in the system include individual Indians and
Alaskan Natives (or their heirs), Indian Tribes, current and former
Federal employees and contractors who receive IIM account information
or are IIM account holders. Records and financial data in this system
are also obtained from the OST ART and TFAS, other DOI Bureaus and
Offices including BIA, Office of Natural Resources and Revenue, Bureau
of Land Management, Office of Hearings and Appeals, and the Office of
the Secretary. Information may also be obtained from the DOJ,
Department of the Treasury, and other Federal, state and local
agencies, and Tribes; Courts of competent jurisdiction, including
Tribal courts; and private, financial and business institutions and
entities.
Additionally, this system contains information received from
members of the public, including individuals who make inquiries about
Cobell Settlement payments, acquaintances of IIM account holders,
depositors into and claimants against IIM accounts, individuals who
lease, contract, or who are permit holders on Indian lands, and
individuals with whom OST conducts business. The system also contains
information received from private organizations about individual Indian
account holders whose whereabouts are unknown to OST; and
correspondents, participants, beneficiaries, land owners, and members
of the public who participate or are interested in land consolidation
or related program activities.
Exemptions Claimed for the System:
None.
[FR Doc. 2015-00038 Filed 1-7-15; 8:45 am]
BILLING CODE 4334-12-P