• Export-Import Bank of the United States (EX-IM Bank)
  
• Farm Credit Administration
  
• Federal Deposit Insurance Corporation (FDIC)
  
• Federal Reserve System
  
• National Credit Union Administration (NCUA)
  

• Federal Communications Commission (FCC)
  
• Federal Maritime Commission
  
• General Services Administration (GSA)
  
• National Aeronautics and Space Administration (NASA)
  
• National Archives and Records Administration
  
• National Railroad Passenger Corporation (AMTRAK)
  
• Nuclear Regulatory Commission (NRC)
  
• Securities and Exchange Commission (SEC)
  
• Small Business Administration (SBA)
  
• Social Security Administration (SSA)
  
• U.S. Postal Service and U.S. Postal Inspection Service
  

• General Accounting Office (GAO)
  
• Government Printing Office (GPO)
  

CHAPTER 2
FEDERAL AGENCIES

CABINET-LEVEL DEPARTMENTS AND ASSOCIATED AGENCIES

DEPARTMENT OF AGRICULTURE (USDA)

• meat or poultry companies;

• feedlot owners or operators, livestock brokers, and meat packers or canners;

• rural electric or telephone cooperatives;

• logging (tree harvesting) companies that remove timber from national forests;

• certain improvements to farmland;

• the import or export of agricultural commodities, animals, or plants; and

• current or former USDA employees.

• contracts with the agency;

• recipients of various benefits, such as food stamps;

• retail grocery stores authorized to accept food stamps; and

• free or reduced-price school lunch meals.

• loan applications and financial statements,

• bank account particulars,

• crop yields and business profits,

• applications for and indemnities paid by federal crop insurance, and

• plats of property and location of other assets.

DEPARTMENT OF COMMERCE

DEPARTMENT OF DEFENSE (DOD)

Records--that survived a July 1973 fire--concerning the personnel and medical histories of former military personnel are located at the Military Personnel Records Center; General Services Administration; 9700 Page Boulevard; St. Louis, MO 63132-5100. To obtain such information, contact the Army at (314) 538-4122; the Air Force at (314) 538-4218; and the Navy, Marine Corps, and Coast Guard at (314) 538-4200. Records destroyed in the fire may be reconstructed. If you wish to have a record reconstructed, call (314) 538-4144.

For information on DOD investigations, see the discussion on the Defense Central and Investigations Index in chapter 4.

DEPARTMENT OF ENERGY

FEDERAL ENERGY REGULATORY COMMISSION (FERC)

DEPARTMENT OF HEALTH AND HUMAN SERVICES (HHS)

FOOD AND DRUG ADMINISTRATION (FDA)

DEPARTMENT OF JUSTICE (DOJ)

DRUG ENFORCEMENT ADMINISTRATION (DEA)

DEA administers the El Paso Intelligence Center and the Narcotics and Dangerous Drugs Information System, both of which are discussed in chapter 4.

FEDERAL BUREAU OF INVESTIGATION (FBI)

FBI administers the National Crime Information Center which maintains information on a variety of subjects, such as stolen vehicles, license plates, and guns. See chapter 4 for more information on the Center.

FBI also maintains the following indexes:

• State Criminal History Records,

• Criminal History Records of Federal Offenders,

• National Stolen Property Index (stolen government property), and

• National Fraudulent Check Index.

IMMIGRATION AND NATURALIZATION SERVICE (INS)

See chapter 4 for information on INS' Central Index System, Law Enforcement Support Center, National Alien Information Lookout System, and Nonimmigrant Information System.

U.S. MARSHALS SERVICE (USMS)

U.S. NATIONAL CENTRAL BUREAU FOR THE INTERNATIONAL CRIMINAL POLICE ORGANIZATION (USNCB-INTERPOL)

Seventeen federal and state law enforcement agencies are part of USNCB, and all 50 states have established INTERPOL liaison offices. The following agencies are part of USNCB: Bureau of Alcohol, Tobacco and Firearms; Criminal Division, DOJ; Environmental Protection Agency; Office of the Inspector General, USDA; Diplomatic Security Service, Department of State; DEA; FBI; Federal Law Enforcement Training Center; Massachusetts State Police; INS; Internal Revenue Service; Naval Criminal Investigative Service; Office of the Comptroller of the Currency; U.S. Customs Service; USMS; U.S. Postal Inspection Service; and U.S. Secret Service. For information about the liaison offices, contact USNCB at (202) 616-1051 or 1-800-743-5630.

See chapter 4 for information on the INTERPOL Case Tracking System.

DEPARTMENT OF LABOR

Labor organizations must submit to the Department annual financial reports, which include statements of assets and liabilities and statements of receipts and disbursements. They must also complete supporting schedules: loans receivable; other investments; other assets; other liabilities; fixed assets; loans payable; sales of investment and fixed assets; disbursement to officers; disbursement to employees; purchases of investment and fixed assets; benefits; and contributions, gifts, and grants.

The Department's Pension and Welfare Benefits Administration conducts inquiries into irregularities and complaints on transgressions of pension law.

The Department's Employment Standards Administration, Wage Hour Division (WHD) works to achieve compliance with labor standards through enforcement, administrative, and educational programs to protect U.S. workers. WHD enforces federal minimum wage, overtime pay, recordkeeping, and child labor requirements of the Fair Labor Standards Act. It also enforces the Migrant and Seasonal Agricultural Worker Protection Act, the Employee Polygraph Protection Act, the Family and Medical Leave Act, wage garnishment provisions of the Consumer Credit Protection Act, "whistleblower" provisions of several environmental impact laws, and a number of employment standards and worker protections as provided in several immigration related statutes. Additionally, WHD administers and enforces the prevailing wage requirements of the Davis Bacon Act, the Service Contract Act, and other statutes applicable to federal contracts for construction and for the provision of goods and services.

The Division of Labor Racketeering (DLR) is a component of the Department's Office of Inspector General. DLR maintains information about labor unions, benefit plans, and related investigations. DLR's mission is to aggressively identify and reduce labor racketeering and corruption in employee benefit plans, labor-management relations, and internal union affairs. Major emphasis is placed on investigations involving benefit plans.

Primary violations investigated by DLR include

• payoffs from management to labor officials (Taft-Hartley Act violations);

• embezzlement or misapplication of a union's general funds or assets;

• Racketeer Influenced and Corrupt Organizations statute violations;

• false reports on Employee Retirement Income Security Act (ERISA) required documents (ERISA is a comprehensive codification of federal law pertaining to employee benefit plans);

• use of violence to deprive union members of their rights--including the right to nominate and vote for candidates, attend membership meetings, participate in benefit plans, and examine books and records;

• embezzlement from an employee benefit plan, including the participation of ineligible people and payment of charges for services not provided;

• illegal payment (kickbacks) to influence the operations of an employee benefit plan by, for example, providing the administrator of the plan payment in exchange for fund business; and

• extortion--obstruction of interstate commerce by threat or violence.

DEPARTMENT OF STATE

See chapter 4 for information on the Consular Lookout and Support System.

DEPARTMENT OF TRANSPORTATION

FEDERAL AVIATION ADMINISTRATION (FAA)

FAA also maintains records on pilots, aircraft mechanics, flight engineers, and other individuals that it certifies for flight safety positions. These records include information on certificates held by airmen and the medical and law enforcement histories of airmen.

The FAA Compliance Enforcement Program will provide a microfiche listing of registrants and their aircraft tail numbers (N number). This Office can provide the registration history of a given aircraft using the aircraft tail number, serial number, or registrant's name. It can also provide airworthiness information and lien and previous owner data.

U.S. COAST GUARD

The U.S. Coast Guard maintains the following information:

• records on documented U.S. vessels,

• names of merchant mariners on U.S. vessels and investigative records pertaining to them,

• records relating to maritime drug smuggling, and

• records on criminal investigations.

FEDERAL HIGHWAY ADMINISTRATION (FHWA)

DEPARTMENT OF THE TREASURY

BUREAU OF ALCOHOL, TOBACCO AND FIREARMS (ATF)

ATF can trace firearms that have a serial number and that were manufactured or imported--from the manufacturer or importer--to the retailer after 1968. It can trace explosives materials from the manufacturer to the distributor and/or user. ATF also maintains records on federal firearms and explosive license holders, including manufacturers, importers, and dealers.

See chapter 4 for information on ATF's National Tracing Center.

BUREAU OF ENGRAVING AND PRINTING

BUREAU OF THE PUBLIC DEBT

FINANCIAL CRIMES ENFORCEMENT NETWORK (FINCEN)

FinCEN uses the majority of its resources to assist agencies in their investigations of financial aspects of the illegal narcotics trade. FinCEN then prioritizes investigations of such nonnarcotic crimes as money laundering offenses, Bank Secrecy Act violations, and other offenses of a financial nature, e.g., tax and tariff violations; corruption; treason; and bankruptcy, financial institution, and government contract fraud. In both the narcotic and nonnarcotic areas, FinCEN concentrates on investigations of national or international criminal organizations.

FinCEN produces two types of products--tactical support and strategic analysis. Its tactical support reports either (1) provide information and leads on criminal organizations and activities that are under investigation by law enforcement organizations or (2) proactively identify previously undetected criminal organizations and activities so that investigations can be initiated. These FinCEN reports will assist agencies in identifying assets for seizure and forfeiture purposes and in supporting ongoing investigations. During its strategic analyses, FinCEN collects, processes, analyzes, and develops intelligence on the merging trends, patterns, and issues related to activities such as financial crimes and money laundering.

FinCEN's financial database has information from reports that are required to be filed under the Bank Secrecy Act, including the Currency Transaction Report, Report of International Transportation of Currency or Monetary Instruments, Currency Transaction Report by Casinos, and Reports of Foreign Bank and Financial Accounts. Furthermore, FinCEN has access to data from Internal Revenue Service Form 8300 (Reports of Cash Payments Over $10,000 Received in a Trade or Business).

FinCEN can be contacted at (800) SOS-BUCK (767-2825) or (703) 905-3520.

FINANCIAL MANAGEMENT SERVICE (FMS)

INTERNAL REVENUE SERVICE (IRS)

The Criminal Investigation Division investigates allegations of violations of the Internal Revenue Code as it relates to income tax, the Bank Secrecy Act, and money laundering statutes. The division's special agents possess financial investigative abilities that enable them to solve crimes by following the money trail. Armed with these financial investigative skills and clearly defined statutory jurisdiction, this IRS division works closely with federal, state, and local law enforcement organizations to solve crimes such as public corruption, telemarketing fraud, health care fraud, income tax evasion, and those that are narcotics-related.

IRS Internal Security inspectors work for the Chief Inspector. Their mission is to protect the integrity of the IRS, its system, and its employees. They do this by investigating allegations of attempts to bribe IRS employees and allegations of employee misconduct.

OFFICE OF THE COMPTROLLER OF THE CURRENCY

In view of their purpose and the basis on which they are obtained, reports of national bank examinations and related correspondence and papers are considered confidential. Requests for these documents should include the subject's name and address, the information desired, the reason it is needed, and the intended use.

U.S. CUSTOMS SERVICE

• names of businesses that are involved in imports and exports,

• lists/records of importers and exporters,

• lists of suspects,

• records of seized smuggled property, and

• declaration forms.

See chapter 4 for information on the Treasury Enforcement Communications System, which is managed by Customs.

U.S. SECRET SERVICE

The Secret Service investigates financial systems crimes, including bank fraud; access device fraud; telemarketing and telecommunications fraud (cellular and hard wire); computer fraud; crimes involving automated payment systems, teller machines, and direct deposits; forgery; alteration, false personation, or false claims involving U.S. Treasury checks, U.S. savings bonds, U.S. Treasury notes, bonds, and bills. The Secret Service also investigates electronic funds transfers, including Treasury disbursements and fraud within Treasury payment systems; fraud involving U.S. Department of Agriculture food coupons and Authority to Participate cards; Federal Deposit Insurance Corporation investigations; Farm Credit Administration violations; and fraud and related activity in connection with identification and seizure. Further, the Secret Service coordinates the activities of the U.S. Secret Service Organized Crimes Program and oversees money laundering investigations.

The Secret Service has concurrent jurisdiction with DOJ to investigate fraud against any federally insured financial institution. Agents of the Secret Service review thousands of criminal referrals submitted by Department of the Treasury regulators.

The Secret Service maintains records pertaining to counterfeit, forgery, and U.S. security violation cases. The Secret Service's central files in Washington, D.C. contain about 100,000 handwriting specimens from known forgers. An electronic information retrieval system facilitates the comparison of questioned handwriting with the examples on file, for identification purposes.

As part of the 1995 Crime Bill, Congress mandated the Secret Service to provide forensic/technical assistance--to federal, state, and local law enforcement agencies, the Morgan P. Hardiman Task Force, and the National Center for Missing and Exploited Children--in matters involving missing and sexually exploited children. Much of the forensic assistance is used in the United States by the Secret Service's Forensic Services Division. The forensic technology allows the document examiner to scan and digitize text and writings, and later search that material against previously recorded writings. As a result, Secret Service created a national handwriting repository for comparison purposes for handwritten letters in these types of cases.

The Forensic Services Division also operates a hybrid Automated Fingerprint Identification System, the largest of its kind, which is composed of remote latent fingerprint terminals providing connection to fingerprint databases with access to more than 25 million fingerprints. Division staff can search latent fingerprints, developed in cases involving missing and sexually exploited children, through this system for identification purposes.

Other services offered by this program are polygraph consultation or assistance; photographic, graphic, age progression/regression; and voice and image enhancement technology.

DEPARTMENT OF VETERANS AFFAIRS (VA)

All requests should include a statement covering the need and intended use of the information. The statement should clearly identify the veteran and, if available, include the veteran's VA claim number, date of birth, branch of service, and enlistment and discharge dates.

FINANCIAL INSTITUTIONS AND RELATED FEDERAL ADMINISTRATIONS AND CORPORATIONS

BANKS

The following types of records and information are available from banks.

• Central master files of customers (depositors, debtors, and safe-deposit box holders) are maintained by the bank. The bank usually requires the customer's consent, a search warrant, or a court order before an authorized bank official can open a safe-deposit box. A record of entry to a safe-deposit box can be obtained by subpoena.

• Bank account applications can provide handwriting samples and certain personal information about the customer, depending on the type of account. Bank account records reflect date of deposit, amounts of currency and checks, and dates and amounts of withdrawals.

• When currency in excess of $10,000 is deposited in a bank account, the customer is required to complete a Department of the Treasury Form 4789, Currency Transaction Report (CTR). The CTR specifies the depositor's name, address, social security number, and birthdate, and records the total amount of the transaction and various other information. The bank is to retain CTRs and forward copies to the Department of the Treasury.

EXPORT-IMPORT BANK OF THE UNITED STATES (EX-IM BANK)

FARM CREDIT ADMINISTRATION

FEDERAL DEPOSIT INSURANCE CORPORATION (FDIC)

FDIC-insured banks and FDIC savings associations are examined periodically by FDIC examiners. Each examination includes an appraisal of management, directors, officers, and staff. The reports of examination contain an alphabetical list of all directors, officers, and principal employees. The examiner also comments on the capabilities of each individual, gives his/her approximate age, and cites other business affiliations. Additionally, the examiner completes a form on each individual, setting forth his/her estimated net worth, par value of stock owned, and salary.

Inquiries regarding types of records available to the public (including records available under the Freedom of Information Act) should be directed to the appropriate FDIC regional office or to the Office of the Executive Secretary, which can be contacted at (202) 898-3687.

FEDERAL RESERVE SYSTEM

The examination of a depository institution generally entails (1) an appraisal of the soundness of the institution's assets; (2) an evaluation of internal operations, policies, and management; (3) an analysis of key financial factors such as capital, earnings, liquidity, and interest rate sensitivity; (4) a review for compliance with all banking laws and regulations; and (5) an overall determination of the institution's solvency. In addition to these examinations for the general safety and soundness of state member banks and bank holding companies, the Federal Reserve conducts special examinations of state member banks in certain areas such as consumer affairs; activities of trust departments, stock transfer agents, and municipal securities dealers; and electronic data processing. The Federal Reserve also is the primary supervisor for bank holding companies.

In addition to quarterly reports on condition (which are available to the public), banks and bank holding companies examination reports may be requested for official agency use under the Federal Reserve Board of Governor's rules regarding availability of information.

NATIONAL CREDIT UNION ADMINISTRATION (NCUA)

INDEPENDENT AGENCIES AND GOVERNMENT CORPORATIONS

COMMODITY FUTURES TRADING COMMISSION (CFTC)

• registration information concerning firms and individuals,

• administrative and injunctive actions filed by CFTC against firms and individuals,

• financial reports filed by CFTC registrants, and

• consumer complaints filed against CFTC registrants.

FEDERAL COMMUNICATIONS COMMISSION (FCC)

The FCC staff is organized, by function, into six operating bureaus: Mass Media, Cable Services, Common Carrier, Compliance and Information, Wireless Telecommunications, and International. The various bureaus maintain data on licensees and users of communication frequencies that include the licensing of radio/telephone circuits and their assigned frequencies for operations.

FEDERAL MARITIME COMMISSION

GENERAL SERVICES ADMINISTRATION (GSA)

See chapter 4 for discussions on the List and the Federal Procurement Data Center.

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION (NASA)

NASA requires that contractors submit with the proposals their qualifications and resumes of the personnel who will be directly assigned to the project. The resumes should include each person's educational background, work experience, length of service with the firm, and work projects.

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

The Federal Register is the medium for notifying the public of official agency actions; all federal regulations must be published in it. The Office of the Federal Register provides a periodic workshop on the use of the Federal Register as an information source. A handbook on the uses of the Federal Register is also available. For information, call (202) 523-5240.

NATIONAL RAILROAD PASSENGER CORPORATION (AMTRAK)

Amtrak police have access to records of all Amtrak employees. To contact Amtrak police regarding the Amtrak National Communications Center or investigation and police report records, call 1-800-331-0008.

NUCLEAR REGULATORY COMMISSION (NRC)

SECURITIES AND EXCHANGE COMMISSION (SEC)

• financial statements,

• identification of officers and directors,

• identification of owners of more than 10 percent of a corporation's stock,

• a description of the registrant's properties and businesses,

• a description of the significant provisions of the security to be offered for sale and its relationship to the registrant's other capital securities,

• identification of events of interest to investors,

• identification of accountants and attorneys, and

• a history of the business.

The Securities and Exchange Commission Summary lists the changes in beneficial ownership by officers, directors, and principal stockholders of securities listed and registered on a national securities exchange or those relating to public utility companies and certain closed-end investment companies.

Copies of the documents maintained by SEC are available at its regional or branch offices in the following cities: Atlanta, Georgia; Miami, Florida; Boston, Massachusetts; Chicago, Illinois; Cleveland, Ohio; Detroit, Michigan; St. Louis, Missouri; Denver, Colorado; Salt Lake City, Utah; Fort Worth, Texas; Los Angeles, California; San Francisco, California; New York, New York; Seattle, Washington; Washington, D.C.; and Philadelphia, Pennsylvania.

Corporate filings include the following:

• Annual Report of Publicly Traded Company (Form 10-K)--excerpts or complete report via DIALOG or LEXIS databases, both of which are discussed in chapter 4;

• Quarterly Report of Publicly Traded Company (Form 10-Q)--same as Form 10-K;

• Special Events in Re Publicly Traded Company (Form 8-K)--transactions resulting in change of controlling interest;

• Registration of Security (Form 8-A)--prospectus, data relative to the issuer;

• Registration of Security by the Successor to (Form 8-B)--name of issuer, relationship to primary registrant/issuer;

• Special Events in Re Foreign Security (Form 6-K)--information similar to Forms 10-K and 8-K, except the security is registered under other U.S. law; and

• Report of Acquisition of Beneficial Ownership of 5% or More of Capital Stock of Public Company (Form 13-D)--identity of each person or firm acquiring beneficial ownership of 5 percent or more of capital stock or constituting a group that acquires such beneficial ownership; description of security; agreements or other undertakings by reporting entity; whether acquisition results in change of control; background on each person reporting; and sources of funds for acquisition, purpose of acquisition, and relationship of parties.

SMALL BUSINESS ADMINISTRATION (SBA)

SBA may be the best source of financial and other information about the small businesses (and their principals) to which it provides assistance; many of them are exempt from public disclosure laws because of their smallness. Records on businesses and individuals that have received SBA assistance are maintained by the division that administers the program involved. The local SBA district office maintains most records. Contact the local office of SBA's Office of Inspector General, Investigations Division, for assistance in obtaining records and other information.

SOCIAL SECURITY ADMINISTRATION (SSA)

The first three digits of a social security number indicate its assigned area of issuance. The following table lists the states and their assigned social security numbers. (Note that some states and Puerto Rico have more than one series of numbers.)

^b When an area is shown more than once, it means that either (1) certain numbers have been transferred from one state to another or (2) an area has been divided for use among certain geographic locations.

^c New areas allocated, but not yet issued.

^d Issuance of these numbers to railroad employees was discontinued July 1, 1963.

U.S. POSTAL SERVICE AND U.S. POSTAL INSPECTION SERVICE

Requests for photocopies of postal money orders may be made through the local office of the U.S. Postal Inspection Service. Information concerning the mailing addresses, telephone numbers, and fax numbers of U.S. Postal Inspection Service offices nationwide is available on the U.S. Postal Inspection Service home page on the World Wide Web.

Information concerning missing U.S. and Canadian money order forms, counterfeit Canadian money order forms, and Invalid Express Mail Accounts can be found on the U.S. Postal Service home page on the World Wide Web.

The Postal Inspection Service, through the Judicial Officer, is empowered under 39 U.S.C. 3005 to issue false presentation orders and cease and desist orders in cases where the mail is being used to obtain money from the public by means of false and fraudulent statements. The orders (1) require mail to be returned to the sender, (2) forbid payment of postal money orders connected to the scheme, (3) require the return of money to those who purchased the money orders, and (4) require that cited schemes cease.

Postal regulations require commercial mail-receiving agencies to complete a PS Form 1583, Application for Delivery of Mail Through an Agent. The data from that form, which includes personal identification information and references for a specific individual, can be made available to federal, state, and local law enforcement agencies. The mailing addresses, telephone numbers, and fax numbers of Postal Inspection Service offices nationwide are available on the World Wide Web.

LEGISLATIVE BRANCH AGENCIES

U.S. GENERAL ACCOUNTING OFFICE (GAO)

GOVERNMENT PRINTING OFFICE (GPO)

GPO sells--through mail orders and government bookstores--approximately 20,000 different printed and electronic publications that originate in various government agencies. Orders and inquiries concerning publications and subscriptions for sale should be mailed to Superintendent of Documents, GPO, Washington, D.C. 20402 or called in to (202) 512-1800. GPO also administers the depository library program through which selected government publications are made available, free of charge, in approximately 1,400 libraries throughout the country.

The GPO Access service provides on-line access to key publications of the federal government, including the Congressional Record and the Federal Register, through the Internet. For information about this service, contact the GPO Access support team at (202) 512-1530.

JUDICIAL BRANCH

FEDERAL COURTS

The U.S. District Court has exclusive jurisdiction in bankruptcy, maritime and admiralty, patents, copyright penalties, fines under federal law, and proceedings against consuls and vice consuls of foreign states. In addition, it has jurisdiction when the United States or a national bank is a party and when the law specifically states that the U.S. District Court has original jurisdiction.

In addition, some special courts, such as the following, handle specific matters.

• The U.S. Tax Court adjudicates controversies involving assessment and payment of various taxes.

• The U.S. Court of Appeals for the Armed Forces is an appellate criminal court that serves as the final tribunal to review court-martial convictions of all the Armed Forces.

• In the federal bankruptcy courts, bankruptcy judges preside over all cases under Title 11, United States Code, in addition to other bankruptcy matters referred by the district court.

INSPECTORS GENERAL

The following table provides web addresses for federal agencies, most of which are discussed in this chapter.

This document was last updated April 23, 1997