<?xml version="1.0" encoding="UTF-8"?>
<pai>
<agency toc="yes">
<name>Small Business Administration</name>
<abbrev>
SBA
</abbrev>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-03-16/pdf/2012-6467.pdf</url>
<title> SBA 21, Loan System and SBA 36, Suspension and Debarment Files </title>
<date year="2012" month="3" day="16"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-10-09/pdf/2012-24728.pdf</url>
<title> SBA 21, Loan System and SBA 36, Suspension and Debarment Files </title>
<date year="2012" month="10" day="9"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-04-22/pdf/2013-09335.pdf</url>
<title> sba 38, TechNet </title>
<date year="2013" month="4" day="22"/>
	</previouslyPublished>
<section id="sba1" toc="yes">
<systemNumber>1</systemNumber>
<subsection type="systemName">Administrative Claims.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ) and Field Offices. Records of claims up to $5,000 are in District Offices, claims more than $5,000 are in the Office of General Counsel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals involved in accidents or other incidents of loss or damage to government property.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Report and supporting materials compiled in cases of loss or damage to government property.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(1), 28 CFR 14.11.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To the General Services Administration, the court and other parties in litigation, when a suit has been initiated.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. &#167; 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of involved individual(s).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use is limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Records Schedule 6.10.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>HQ and Field Systems Managers. See Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Involved individuals, witnesses and Agency investigation.

</p></xhtmlContent></subsection></section>
<section id="sba2" toc="yes">
<systemNumber>2</systemNumber>
<subsection type="systemName">Administrator"s Executive Secretariat Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ). See Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have corresponded with SBA Administrator.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence in Controlled Documents System from October 1, 1987.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To oversee and maintain Agency correspondence with Government officials, Members of Congress, and the public.
</p><p>b. To oversee and maintain memoranda or documents detailing policy and operational decisions made by the Administrator.
</p><p>c. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>d. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>e. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>g. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By document number, name, subject, keyword, phrase, date, constituent and organizational name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use is limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Standard Operating Procedure 00 41 2 00:01.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Secretariat, HQ. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Correspondence, memoranda authors, and other sources that communicate with SBA"s Administrator.
</p></xhtmlContent></subsection></section>
<section id="sba3" toc="yes">
<systemNumber>3</systemNumber>
<subsection type="systemName">Advisory Council Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ). <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former members on SBA"s federal advisory councils.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Completed SBA Forms 898 of individuals nominated to serve as members on SBA"s federal advisory councils. The completed forms contain personal and business contact information, birthplace and date of birth, and information on the current status or history of application for SBA assistance or actual receipt of it and may also contain nominees" professional resumes and other correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 637(b)(13), 648(i)(1), 657(c), Section 203, 7510-10; Pub. L. 106-50; and 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. Appointed liaisons in SBA program offices, include but not limited to: Office of Government Contracting; Investment Division; Office of Financial Assistance; Office of Procurement and Grants Management; Office of the Inspector General; Office of Strategic Alliances; and Office of General Counsel. The purpose of the disclosure is to facilitate the performance of the appointed liaisons" duty to determine whether the program office has any information pertaining to a past or current relationship between the nominee and SBA and to provide such information to SBA"s Committee Management Officer who vets nominees for conflict of interest or the appearance of conflict of interest in accordance with SOP 90 54 4, Chapter 7.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are organized according to advisory council and retrieved by the name of the current and former member.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to SBA Headquarters is controlled and monitored by security personnel. Access to SBA program offices is limited to SBA employees with key cards and records are maintained in a locked room. Access is limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Permanent records are maintained for 2 years and then transferred to the Federal Records Center in accordance with SOP 00 41 2, Appendix 24, 95:01.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Committee Management Officer, Office of Administration, HQ. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Record subject, Congressional offices, Agency employees, media, Advisory Council members, <i>Federal Register</i>.
</p></xhtmlContent></subsection></section>
<section id="sba4" toc="yes">
<systemNumber>4</systemNumber>
<subsection type="systemName">Office of Inspector General Records Other Than Investigations Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Inspector General (OIG) Investigations Division, Audit Division, Headquarters duty stations, Agency District and Field Offices and Federal Records Center. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>OIG staff, parties requesting OIG action, interviewees, persons examined by an OIG inquiry and persons providing information used by OIG staff, applicants to, and participants in SBA programs, their principals, representatives and resource partners; contractors and parties to cooperative agreements and their principals, representatives, and other interested parties; governmental entities; SBA employees, volunteers supporting SBA, including but not limited to members of the Advisory Councils and Service Corps of Retired Executive and in connection with allegations of wrongdoing or inefficiency within the jurisdiction of the OIG.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Material provided to, gathered or created by OIG in auditing, or otherwise dealing with allegations that are within the jurisdiction of the OIG, documentation of allegations, consultations, decisions, interviews, records reviews, audits, evaluations, and other non-audit services, and various correspondence, etc.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. App. 3 (The Inspector General Act of 1978, <i>as amended</i>); 15 U.S.C. Chapters 14A and 14B; and 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order.
</p><p>b. To a court, magistrate, grand jury or administrative tribunal, or opposing counsel during trials, hearings or in settlement negotiations.
</p><p>c. To any private or governmental source or person, in order to secure information relevant to an investigation, audit or other evaluation.
</p><p>d. To other Federal agencies conducting background checks, to the extent that the information is relevant to their function.
</p><p>e. To any domestic, foreign, international or private agency or organization, including those which maintain civil, criminal or other enforcement information, for the assignment, hiring or retention of an individual, issuance of a security clearance, reporting of an investigation of an individual, letting of a contract or issuance of a license, grant or other benefit, to the extent the information is relevant to the agency"s decision on the matter.
</p><p>f. To Federal, State or local bar associations and other professional, regulatory or disciplinary bodies for use in disciplinary proceedings and inquiries.
</p><p>g. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>h. To the Office of Government Ethics for any purpose consistent with their mission.
</p><p>i. To the Government Accountability Office and to the General Services Administration"s Board of Contract Appeals in bid protest cases involving an agency procurement.
</p><p>j. To any Federal agency which has the authority to subpoena other Federal agencies" records and has issued a valid subpoena.
</p><p>k. To the Department of the Treasury and the Department of Justice (DOJ) in support of an ex parte court order to obtain taxpayer information from the Internal Revenue Service.
</p><p>l. To debt collection contractors for collecting delinquent debts as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
</p><p>m. To a grand jury agent pursuant to a Federal or State grand jury subpoena or to a prosecution request that records be introduced to a grand jury.
</p><p>n. To DOJ to obtain advice regarding FOIA disclosure obligations.
</p><p>o. To the Office of Management and Budget to obtain advice regarding PA obligations.
</p><p>p. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>q. To DOJ when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>r. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>s. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>t. To members of the President"s Council on Integrity and Efficiency, DOJ or other agencies for the purpose of conducting qualitative reviews of SBA OIG operations for the preparation of reports to the President and Congress on the activities of the Inspectors General, and for other uses in furtherance of the Inspector General Act of 1978, <i>as amended</i>.
</p><p>u. To the public when the matter under investigation has become public knowledge, or when the IG determines that such disclosure is necessary to preserve confidence in the integrity of the OIG investigative process, or to demonstrate the accountability of SBA employees, or other individuals covered by this system, or when there exists a legitimate public interest unless the IG determines that disclosure of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>v. To inform complainants, victims, and witnesses of the results of an investigation or inquiry.
</p><p>w. To a Federal agency responsible for considering administrative action, including debarment or suspension.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name and cross-referenced to related IG audit files and non-audit services or reviews.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Sensitive reports are kept in locked filing cabinets, while others are provided lesser levels of security as appropriate.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Following final agency action, records are maintained in accordance with SBA SOP 00 41.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Auditing or designee. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals, Agency personnel, third parties, and other Government agencies, such as the Federal Bureau of Investigation.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG"s criminal law enforcement function.
</p><p>(2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process.
</p></xhtmlContent></subsection></section>
<section id="sba5" toc="yes">
<systemNumber>5</systemNumber>
<subsection type="systemName">Business and Community Initiatives Resource Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ) and Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Users of Business and Community Initiatives training materials, potential speakers, counselors, authors and reviewers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information relating to individuals: biographical sketches, correspondence, copies of travel vouchers and counseling reports, files of accomplishments, publications, news releases and clippings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To provide university coordinators with information about potential speakers at management training sessions.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use is limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Standard Operating Procedure 00 41 2 65:01, 65:02, 65:03, 65:04, 65:05, 65:07 and 65:09.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Field Office Director and PA Officer. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Record subject, Agency employees, media, educators, universities, professional and civic organizations.
</p></xhtmlContent></subsection></section>
<section id="sba6" toc="yes">
<systemNumber>6</systemNumber>
<subsection type="systemName">Civil Rights Compliance Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters. See Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SBA recipients of Federal financial assistance and individuals who have filed allegations of discrimination against SBA recipients of Federal financial assistance or against Agency programs or program offices based on disability.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Reviews, correspondence, supporting documents, interview statements, program files, information developed in allegation/complaint investigation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101, Civil Rights Compliance SOP 90 30 3 and 13 CFR Parts 112, 113, and 117.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>b. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>c. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>d. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By complainant"s name, address and four digit fiscal year/order in which received during that fiscal year (four digit number is keyed to Complaint Log for that fiscal year).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use is limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Records Schedule 1.25.a and d(2).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Administrator for Equal Employment Opportunity and Civil Rights Compliance (EEO/CRC). <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>SBA recipient of Federal financial assistance reviewed by EEO/CRC personnel and complainants.
</p></xhtmlContent></subsection></section>
<section id="sba7" toc="yes">
<systemNumber>7</systemNumber>
<subsection type="systemName">Combined Federal Campaign.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ) Office and Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SBA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information pertaining to SBA employees involved with the campaign.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To the public, the names and addresses of employees connected with the drive are released.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name and/or Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use is limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Record Schedule 2.15.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>HQ and Field Office Supervisors. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject employee.
</p></xhtmlContent></subsection></section>
<section id="sba8" toc="yes">
<systemNumber>8</systemNumber>
<subsection type="systemName">Correspondence and Inquiries.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ) and Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have corresponded with the Agency.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To oversee and maintain correspondence to the Agency.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of correspondent.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use is limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Standard Operating Procedure 00 41 2 00:01.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>PA Officer for HQ records and Field Managers for field records. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual, Agency personnel, case files and Congressional correspondence.
</p></xhtmlContent></subsection></section>
<section id="sba9" toc="yes">
<systemNumber>9</systemNumber>
<subsection type="systemName">Cost Allocation Data System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Financial Officer (CFO), Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All SBA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Individual information on SBA employees, <i>i.e</i>., name, social security number, office code, pay dates, survey results on the percentage of time spent on administration of various SBA programs and activities. Agency-wide costs, <i>i.e</i>., rent, postage, telecommunications, centralized printing and training, employees" relocation costs, credit report costs, performance management appraisal system awards, contractors costs, Agency loan count and SBA employment full time equivalent counts.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101 (Records Management by Federal Agencies), Public Law 101-576 (Chief Financial Officers Act) and Public Law 103-62 (Government Performance and Results Act).
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To the Agency cost contractor for use in the Agency"s cost accounting activity.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to
the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an
interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant
and necessary to the litigation, provided, however, that in each case, SBA determines the
disclosure of the records to DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected: SBA, or any component
thereof; any SBA employee in their official capacity; any SBA employee in their individual
capacity where DOJ has agreed to represent the employee; or The United States Government,
where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which
SBA is authorized to appear or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that SBA determines that the use of such records is
relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of
the records to a court or other adjudicative body is a use of the information contained in the
records that is a compatible purpose for which the records were collected: SBA, or any SBA
component; any SBA employee in their official capacity; any SBA employee in their individual
capacity where DOJ has agreed to represent the employee; or The United States Government,
where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the
security or confidentiality of information in the system records has been compromised; SBA
has determined that as a result of the suspected or confirmed compromise there is a risk of harm  to economic or property interests, identify theft or fraud, or harm to the security of integrity of this
system or other systems or programs (whether maintained by the Agency or entity) that rely upon
the compromised information; and the disclosure made to such agencies, entities and persons is
reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The electronic form is maintained in a database which is behind the Agency"s firewall.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Employee"s Social Security Number and first and last name retrieve survey result.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use of the CADS are accomplished via the use of restricted password. Access and use are limited to Project Leader and Group members and only those other Agency employees whose official duties require such access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Records Retention Schedule 8.1, 8.5, 8.6, 8.7 and 8.8.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Financial Officer, HQ. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>SBA employees.
</p></xhtmlContent></subsection></section>
<section id="sba10" toc="yes">
<systemNumber>10</systemNumber>
<subsection type="systemName">Employee Identification Card Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Human Capital Management (Headquarters), Denver Human Capital Management Operations Division and Disaster Loan Making Centers (DLMC). <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SBA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee name and their identification card numbers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To a Congressional office from an individual"s record, when that office is inquiring on the
individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>b. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to
the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>c. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government,
where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>d. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the
records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm  to
economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name or identification card number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use is limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Records Retention Schedule 1.6.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Administrator/Human Capital Management (HQ) and DLMC Directors. See Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject employee, individuals and agency personnel records.
</p></xhtmlContent></subsection></section>
<section id="sba11" toc="yes">
<systemNumber>11</systemNumber>
<subsection type="systemName">Entrepreneurial Development--Management Information System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals using SBA"s business counseling and assistance services.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Individual and business information on SBA clients.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Public Law 85-536, 15 U.S.C. 631 (Small Business Act), sec. 7(j)(1), (Business Counseling), 15 U.S.C. 648 sec. 21 (Small Business Development Centers), 15 U.S.C. 656 sec. 29 (Women"s Business Centers), Public Law 106-50 (Veterans" Entrepreneurship and Small Business Development Act of 1999), 44 U.S.C. 3101 (Records Management by Federal Agencies) and Public Law 103-62 (Government Performance and Results Act).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To the Agency service provider (resource partner) who initially collected the information.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the
individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as  amended</i>, 5 U.S.C. 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual
capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm  to
economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic form in secured database on a dedicated computer.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By SBA Customer Number and cross-referenced by individual or business name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use over the Internet with a restricted numerical password. Access and use is limited to Federal officials with a need-to-know and to designated resource partners. SBA resource partners will have access only to those individuals that were collected by that particular resource partner. Designated program managers in HQ and district directors will have access to individual records only as needed for program management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with EDMIS N1-309-03-06.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Deputy Administrator for Entrepreneurial Development and designee in Headquarters.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals or businesses.
</p></xhtmlContent></subsection></section>
<section id="sba12" toc="yes">
<systemNumber>12</systemNumber>
<subsection type="systemName">Equal Employment Opportunity Pre-Complaint Counseling.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current/former SBA employees, members of a group (class complaints) who have requested counseling regarding employment discrimination.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Case files may include employee and interview statements. The Equal Employment Opportunity (EEO) Counselor"s Report becomes part of the EEO Complaint case.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>29 CFR Part 1611.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To report counseling activity to the Office of Equal Employment Opportunity and Civil Rights Compliance (EEO/CRC).
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to
comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the
disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government,
where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm  to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon
the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use is limited to persons with official need to know; computers are protected by password and user identification code.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Records Schedule 1.25.a.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Administrator for EEO&amp;CRC and Field Office Systems Managers. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee seeking counseling, other employees, EEO Counselor, personnel and employment records.
</p></xhtmlContent></subsection></section>
<section id="sba13" toc="yes">
<systemNumber>13</systemNumber>
<subsection type="systemName">Equal Employment Opportunity Complaint Cases.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters. See Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current/former SBA employees and/or members of a class complaint who have requested counseling regarding employment discrimination.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Complaint files, Equal Employment Opportunity (EEO) Counselor"s Report, information from investigations, notes, hearing report, Hearing Examiner"s recommendations and Agency actions. Closed cases are included.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>29 CFR Part 1611.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To report to the Equal Employment Opportunity Commission (EEOC).
</p><p>b. To EEOC when there is a hearing, these records will be used in the case.
</p><p>c. To EEOC when a complaint is appealed, these records will be used by the Office of Equal Employment Opportunity and Civil Rights Compliance (EEO/CRC) in their decision making.
</p><p>d. To the Office of General Counsel and the Department of Justice (DOJ) when a complaint results in a Federal suit, these records will be referred and used to prepare and present the case in court.
</p><p>e. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>f. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>g. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>h. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an  interest in litigation, provided, however, that SBA determines that the use of such records is  relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of  the records to a court or other adjudicative body is a use of the information contained in the  records that is a compatible purpose for which the records were collected: SBA, or any SBA  component; any SBA employee in their official capacity; any SBA employee in their individual  capacity where DOJ has agreed to represent the employee; or The United States Government,  where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>i. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA  has determined that as a result of the suspected or confirmed compromise there is a risk of harm to  economic or property interests, identify theft or fraud, or harm to the security of integrity of this  system or other systems or programs (whether maintained by the Agency or entity) that rely upon  the compromised information; and the disclosure made to such agencies, entities and persons is  reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or  confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of complainant.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use is limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Records Schedule 1.25.a.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Administrator for EEO/CRC and Field Office Systems Managers and the Office of the Inspector General (OIG). <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Complainant, witnesses, hearing transcript, personnel and employment records, examiner"s recommendations and agency investigation.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG"s criminal law enforcement function.
</p><p>(2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4), (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process.
</p></xhtmlContent></subsection></section>
<section id="sba14" toc="yes">
<systemNumber>14</systemNumber>
<subsection type="systemName">Freedom of Information and Privacy Acts Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ) and Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons who have submitted requests or appeals under either of the Acts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files created for Freedom of Information/Privacy Acts (FOI/PA) appeals and agency-wide database to track FOI/PA cases.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101, 15 U.S.C. 634(b)(6), 5 U.S.C. 552 and 5 U.S.C. 552a.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To review individual cases, keep logs and records, comply with statutory time limitations and prepare mandated reports.
</p><p>b. To the Federal, State, local or foreign agency or professional organization, including SBA offices, which investigates prosecutes or enforces violations, statutes, rules, regulations or orders issued  when the Agency identifies a violation or potential violation of law whether arising by general or  program statute, or by regulation, rule or order.
</p><p>c. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>d. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to  the records in order to perform this activity. Recipients of these records shall be required to  comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>e. To agency personnel responsible for bringing Program Fraud Civil Remedies Act litigation to the tribunal hearing litigation or any appeals and to counsel for the defendant party in any such litigation.
</p><p>f. To a grand jury agent pursuant to a Federal or State grand jury subpoena or to a prosecution request that records be released for introduction to a grand jury.
</p><p>g. To a Federal agency which has the authority to subpoena other Federal agencies records and has issued a valid subpoena.
</p><p>h. To the Department of Justice (DOJ) in order to obtain that department"s advice regarding an agency"s FOIA disclosure obligations.
</p><p>i. To the Office of Management and Budget to obtain that office"s advice regarding an agency"s PA obligations.
</p><p>j. To DOJ when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation,  provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use  of the information contained in the records that is compatible with the purpose for which the  records were collected: SBA, or any component thereof; any SBA employee in their official  capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the  employee; or The United States Government, where SBA determines that litigation is likely to  affect SBA or any of its components.
</p><p>k. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an  interest in litigation, provided, however, that SBA determines that the use of such records is  relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of  the records to a court or other adjudicative body is a use of the information contained in the  records that is a compatible purpose for which the records were collected: SBA, or any SBA  component; any SBA employee in their official capacity; any SBA employee in their individual  capacity where DOJ has agreed to represent the employee; or The United States Government,  where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>l. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to  economic or property interests, identify theft or fraud, or harm to the security of integrity of this  system or other systems or programs (whether maintained by the Agency or entity) that rely upon  the compromised information; and the disclosure made to such agencies, entities and persons is  reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or  confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Locked file cabinets and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name or database number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention is in accordance with National Archives and Records Administration"s General Records Schedule 14.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>PA Officer for HQ records and Field Managers for field records. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual may submit a record inquiry in person or in writing to the Systems Manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Correspondence submitted directly to and replies from SBA.
</p></xhtmlContent></subsection></section>
<section id="sba15" toc="yes">
<systemNumber>15</systemNumber>
<subsection type="systemName">Employee Disputes and Appeals.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Servicing Personnel Office and the Office of Hearings and Appeals (OHA) where employee disputes (formerly Grievances) or appeals of employee disputes have been filed. See Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SBA employees who have filed Employee Disputes under Standard Operating Procedure (SOP) 37 71. These individuals may be referred to as the employees, the appellants, or the grievants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence, supporting documents, pleadings, orders, and decisions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101, SOP 37 71 and 13 CFR Part 134.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To the Office of Personnel Management (OPM) or used in reporting to the OPM on labor-management relations activity.
</p><p>b. To a Hearing Examiner in response to another Agency"s inquiry, pursuant to established procedures.
</p><p>c. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>d. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>e. To the Office of the Special Counsel for any purpose consistent with its mission.
</p><p>f. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant  and necessary to the litigation, provided, however, that in each case, SBA determines the  disclosure of the records to DOJ is a use of the information contained in the records that is  compatible with the purpose for which the records were collected: SBA, or any component  thereof; any SBA employee in their official capacity; any SBA employee in their individual  capacity where DOJ has agreed to represent the employee; or The United States Government,  where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>g. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of  the records to a court or other adjudicative body is a use of the information contained in the  records that is a compatible purpose for which the records were collected: SBA, or any SBA  component; any SBA employee in their official capacity; any SBA employee in their individual  capacity where DOJ has agreed to represent the employee; or The United States Government,  where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>h. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of the employee who filed the dispute and/or appeal.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use limited to persons whose official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention is in accordance with SOP 00 41 2 30:02.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Administrator for OHA, Chief Human Capital Officer and Field Managers. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Grievants, appellants, employees, personnel and employment records.
</p></xhtmlContent></subsection></section>
<section id="sba16" toc="yes">
<systemNumber>16</systemNumber>
<subsection type="systemName">Investigative Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Inspector General (OIG), Investigations Division offices and Federal Records Center (FRC). <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons and other entities against whom are made allegations that are within the jurisdiction of the OIG to investigate; persons identified as making such allegations; or persons cross-referenced in investigative file or subsequent investigations. Applicants to, and participants in SBA programs, their principals, representatives and resource partners; contractors and parties to cooperative agreements and their principals, representatives, and other interested parties; governmental entities; SBA employees, members of the Advisory Councils, Service Corps of Retired Executive volunteers and others in connection with allegations of wrongdoing that are within the jurisdiction of the OIG to investigate.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Material provided to, gathered or created by OIG in investigating, or otherwise dealing with allegations that are within the jurisdiction of the OIG to investigate, documentation of allegations, consultations, decisions, interviews, records reviews, reports of investigations, and various correspondence, etc.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. App. 3 (The Inspector General Act of 1978, <i>as amended</i>), 15 U.S.C. Chapters 14A and 14B and 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order.
</p><p>b. To a court, magistrate, grand jury or administrative tribunal, or to opposing counsel in the course of hearings, trials or settlement negotiations.
</p><p>c. To any private or governmental source or person, in order to secure information relevant to an investigation, audit or other evaluation.
</p><p>d. To other Federal agencies conducting background checks; only to the extent the information is relevant to the requesting agencies" function.
</p><p>e. To any Federal, State, local, foreign or international agency, in connection with such entity"s assignment, hiring and retention of an individual, issuance of a security clearance, reporting of an investigation of an individual, letting of a contract or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency"s decision on the matter.
</p><p>f. To a domestic, foreign, or international government agency maintaining civil, criminal, relevant enforcement or other pertinent information, for the assignment hiring or retention of an individual, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
</p><p>g. To Federal, State or local bar associations and other professional regulatory or disciplinary bodies for use in disciplinary proceedings and inquiries.
</p><p>h. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>i. To the General Accounting Office (GAO) for periodic reviews of SBA.
</p><p>j. To the Office of Government Ethics for any purpose consistent with their mission.
</p><p>k. To GAO, and to the General Services Administration"s Board of Contract Appeals in bid protest cases involving an agency procurement.
</p><p>l. To any Federal agency which has the authority to subpoena other Federal agencies" records and has issued a valid subpoena.
</p><p>m. To the Department of Treasury and the Department of Justice (DOJ) when an agency is seeking an ex parte court order to obtain taxpayer information from the Internal Revenue Service.
</p><p>n. To debt collection contractors for collecting delinquent debts as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
</p><p>o. To SBA volunteers, interns, grantees, experts and contractors who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>p. To DOJ when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>q. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>r. To members of the President"s Council on Integrity and Efficiency, DOJ or other agencies for the purpose of conducting qualitative reviews of SBA OIG operations for the preparation of reports to the President and Congress on the activities of the Inspectors General, and for other uses in furtherance of the Inspector General Act of 1978, <i>as amended</i>.
</p><p>s. To the public when the matter under investigation has become public knowledge, or when the IG determines that such disclosure is necessary to preserve confidence in the integrity of the OIG investigative process, or to demonstrate the accountability of SBA employees, or other individuals covered by this system, or when there exists a legitimate public interest unless the IG determines that disclosure of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>t. To inform complainants, victims, and witnesses of the results of an investigation or inquiry.
</p><p>u. To a Federal agency responsible for considering debarment or suspension action if the record would be relevant to such action.
</p><p>v. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA 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 the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders in filing cabinets or safes, or on shelves in locked file room, and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by fiscal year closed and then by case number. Cross-referenced to the number(s) of the investigative file(s) containing related materials.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All filing cabinets and file rooms are locked. Access to and use limited to those persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Maintain in accordance with SOP 00 41.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Investigations or designee. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual, Agency personnel, informants, financial institutions, the Federal Bureau of Investigation and other investigative Government agencies.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG"s criminal law enforcement function.
</p><p>(2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process.
</p></xhtmlContent></subsection></section>
<section id="sba17" toc="yes">
<systemNumber>17</systemNumber>
<subsection type="systemName">Investigations Management Information System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>On dedicated server and shared drive accessible only to Office of the Inspector General (OIG), Investigations Division personnel and authorized Information Technology maintenance personnel. See Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons or other entities against whom are made allegations that are within the OIG"s jurisdiction to investigate, persons identified as making allegations or persons who are cross-referenced to an investigative file, principals, representatives of applicants, participants, contractors, grantees, participants in cooperative agreements, resource partners and their principals and representatives, and other interested parties participating in SBA programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Material gathered or created during preparation for, conduct of and follow-up on investigations conducted by OIG, the Federal Bureau of Investigation (FBI) and other Federal, State, local, or foreign regulatory or law enforcement agency. May include alphabetical indices of names and case numbers and information about allegations, decisions, investigative assignments and special techniques, and reports and results of investigations and time spent by investigators.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. App. 3 (The Inspector General Act of 1978, <i>as amended</i>); 15 U.S.C. Chapters 14A and 14B; 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>
a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order.
</p><p>b. To a court, magistrate, grand jury or administrative tribunal, or to opposing counsel in the course of hearings, trials or settlement negotiations.
</p><p>c. To any private or governmental source or person, to the extent necessary to secure information relevant to an investigation or audit.
</p><p>d. To other Federal agencies conducting background checks; only to the extent the information is relevant to the requesting agencies" function.
</p><p>e. To any Federal, State, local, foreign or international agency, in connection with such entity"s assignment, hiring and retention of an individual, issuance of a security clearance, reporting of an investigation of an individual, letting of a contract or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency"s decision on the matter.
</p><p>f. To a domestic, foreign, or international government agency maintaining civil, criminal, relevant enforcement or other pertinent information, for the assignment hiring or retention of an individual, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
</p><p>g. To Federal, State or local bar associations and other professional regulatory or disciplinary bodies for use in disciplinary proceedings and inquiries.
</p><p>h. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>i. To the Office of Government Ethics for any purpose consistent with their mission.
</p><p>j. To General Accountability Office and to the General Services Administration"s Board of Contract Appeals in bid protest cases involving an agency procurement.
</p><p>k. To any Federal agency which has the authority to subpoena other Federal agencies" records and has issued a valid subpoena.
</p><p>l. To the Department of Treasury and the Department of Justice (DOJ) when an agency is seeking an ex parte court order to obtain taxpayer information from the Internal Revenue Service.
</p><p>m. To debt collection contractors for collecting delinquent debts as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
</p><p>n. To SBA volunteers, interns, grantees, experts and contractors who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>o. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>p. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>q. To members of the President"s Council on Integrity and Efficiency, DOJ or other agencies for the purpose of conducting qualitative reviews of SBA OIG operations for the preparation of reports to the President and Congress on the activities of the Inspectors General, and for other uses in furtherance of the Inspector General Act of 1978, <i>as amended</i>.
</p><p>r. To the public when the matter under investigation has become public knowledge, or when the IG determines that such disclosure is necessary to preserve confidence in the integrity of the OIG investigative process, or to demonstrate the accountability of SBA employees, or other individuals covered by this system, or when there exists a legitimate public interest unless the IG determines that disclosure of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>s. To inform complainants, victims, and witnesses of the results of an investigation or inquiry.
</p><p>t. To a Federal agency responsible for considering debarment or suspension action if the record would be relevant to such action.
</p><p>u. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Self-contained system on dedicated server and shared drive.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Subjects" name or Social Security number, company name, complainant"s name, case number, case name or agent"s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records is limited to those persons whose official duties require such access; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Standard Operating Procedure 00 41. Retained on server and shared drive indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Investigations or designee. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual, Agency personnel, informants, the Federal Bureau of Investigation and other investigative Government agencies.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG"s criminal law enforcement function.
</p><p>(2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process.
</p></xhtmlContent></subsection></section>
<section id="sba18" toc="yes">
<systemNumber>18</systemNumber>
<subsection type="systemName">Legal Work Files on Personnel Cases.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ), Office of the Inspector General (OIG) and Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SBA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Opinions, advice, transcripts, witness statements, etc. maintained by the Office of General Counsel on personnel cases.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6).
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>b. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>c. To the Office of Government Ethics for any purpose consistent with their mission.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the
security or confidentiality of information in the system records has been compromised; SBA
has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identify theft or fraud, or harm to the security of integrity of this
system or other systems or programs (whether maintained by the Agency or entity) that rely upon
the compromised information; and the disclosure made to such agencies, entities and persons is
reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use limited to those persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Standard Operating Procedure 00 41 2 70:01, 70:07 and 70:11.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>OGC and OIG. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Office of Human Capital Management and third party witnesses.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG"s criminal law enforcement function.
</p><p>(2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified
information is exempt from the notification, access, and contest requirements under 5 U.S.C. &#167; 552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process.
</p></xhtmlContent></subsection></section>
<section id="sba19" toc="yes">
<systemNumber>19</systemNumber>
<subsection type="systemName">Litigation and Claims Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ), Field Offices, Office of Inspector General Counsel Division, Disaster Loan Making Centers (DLMC) and Disaster Home Loan Servicing Centers (DHLSC). <i>See</i> Appendix A for addresses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All Disaster Home Loan recipients and individuals involved in lawsuits or claims pertaining to SBA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records relating to recipients classified as "in litigation" and all individuals involved in claims by or against the Agency. Wherever applicable: affidavits, briefs, pleadings, depositions and interrogatories, loan status summaries with litigation progress, opinions, copies of Department of Justice (DOJ) papers concerning loan case litigation, summary foreclosures, chattel lien searches, requests and responses under the Freedom of Information Act, loan modifications, recipients" attorneys" names, amount of liability, narrative report of actual and contingent liabilities and related correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To the Federal, State, local or foreign agency or organization that investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the agency identifies a violation or potential violation of law arising by general or program statute, or by regulation, rule or order.
</p><p>b. To the Federal, State or local private credit agency maintaining civil, criminal or other relevant information to determine an applicant"s suitability for a loan; this may be requested individually or part of a computer match program.
</p><p>c. To a request from a State or Federal agency in connection with the issuance of a grant, loan or other benefit by that agency which is relevant to their decision on the matter; this may be requested individually or part of a computer match. SBA will provide information to the Department of
Housing and Urban Development (HUD) to be maintained in a central repository where agencies can request information on a case-by-case basis or as part of a computer match.
</p><p>d. To another Federal agency, including Defense Manpower Data Center, U.S. Postal Service and HUD, to conduct computer matching programs to locate delinquent SBA borrowers who are receiving Federal salaries or benefit payments.
</p><p>e. To a consumer reporting agency.
</p><p>f. To a court, magistrate, grand jury or administrative tribunal, opposing counsel during such proceedings or in settlement negotiations when presenting evidence.
</p><p>g. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>h. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to
comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>i. To DOJ when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the
employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>j. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>k. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By recipient and claimant name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use limited to those persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with SOP 00 41 2 70:09 and 70:13.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>DLMC and DHLSC Directors and Counsel to the Inspector General. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Standard Operating Procedure 00 41 2 Item Nos. 70:07, 70:08, 70:09, 70:10, 70:11, 70:13, 70:14 and 70:15, OGC NI-309-88-1, OGC NI 309-99-1, OGC NI-309-88-1. In accordance with National Archives and Records Administration General Records Schedule 14.11.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of General Counsel and Field Office Systems Manager. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject employee, Agency personnel, the public, DOJ, bankruptcy notices, court records, title companies, and loan case files.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG"s criminal law enforcement function.
</p><p>(2) Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified
information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process.
</p></xhtmlContent></subsection></section>
<section id="sba20" toc="yes">
<systemNumber>20</systemNumber>
<subsection type="systemName">Disaster Loan Case File.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Disaster Assistance, DCMS Operations Center, Herndon, Virginia, SBA Disaster Loan Making Centers and SBA Loan Servicing Offices. Data hosting by contractor off site in secure locations per SBA Office of the Chief Information Officer standards. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Applicants and recipients of disaster home loans.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information relating to pre-application registrants, disaster home and business loan applicants and recipients of a disaster home and business loans from the time of pre-application registration. Included are: Loan applications, supporting documents, personal history, financial statements, credit information, investigative reports, appraisers" reports, waivers, loan record transfers, correspondence, recommendations, authorizations, disbursement amount, term and rate, payment history, collateral, UCC filings and re-filings, collection and liquidation activities, financial statements, settlements and compromises, participating bank information, field visit reports, borrowers insurance information and loan accounting information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To the public on approved loans, information is limited to recipient name and address, term and rate of the loan, and the apportioned amount of the loan for real or personal property loss.
</p><p>b. To provide information to potential investors who are interested in bidding on loans made available by the Agency in a sale of assets. Investors will be required to execute a confidentiality agreement prior to reviewing any record or information.
</p><p>c. To the public, under certain conditions, on losses incurred by the government due to non-payment of obligations by individuals. In these cases, the name and address of the obligator and amount incurred (amount written-off from Agency assets) will not be released to the public unless the borrower consents to disclosure or is required pursuant to the Freedom of Information Act.
</p><p>d. To the Federal, State, local or foreign agency or professional organization which has responsibility for investigating, prosecuting or enforcing violations, statute rules, regulations or orders issued
when the Agency locates a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order.
</p><p>e. To request information from a Federal, State or local agency or a private credit agency maintaining civil, criminal or other information relevant to determining an applicant"s suitability for a loan; this
may be requested individually or part of a computer match.
</p><p>f. In response to a request from a State or Federal agency in connection with the issuance of a grant, loan or other benefit by that agency which is relevant to their decision on the matter; this may be requested individually or part of a computer match.
</p><p>g. To other Federal agencies to conduct computer matching programs to locate delinquent SBA borrowers who are receiving Federal salaries or benefit payments and programs to identify delinquent SBA borrowers receiving federal salaries or benefit payments. Disclosure will be made
if the records indicate the loan is in default, at least 30 days past due or to update a previous disclosure. SBA will make disclosures to obtain repayments of debts under the provisions of the
Debt Collection Act of 1982 by voluntary repayment, or administrative or salary offset procedures.
</p><p>h. To a consumer reporting agency.
</p><p>i. To provide the Internal Revenue Service (IRS) with access to an individual"s records for an official audit to the extent the information is relevant to the IRS"s function.
</p><p>j. To a court, magistrate, grand jury or administrative tribunal, opposing counsel during such proceedings or in settlement negotiations when presenting evidence.
</p><p>k. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>l. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to
comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>m. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the
disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government,
where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>n. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>o. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>p. To transmit data to U.S. Department of the Treasury to effect issuance of loan funds to borrowers.
</p><p>q. To the Federal Emergency Management Agency (FEMA) to coordinate the issuance of federal disaster assistance to disaster victims and monitor for duplication.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By applicant/recipient name, cross-referenced loan number or borrower"s Social Security Number or Employer Identification Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Standard Operating Procedure 00 41 2 Appendix 18.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Disaster Loan Making Center Directors. Director, DCMS Operations Center. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject, individuals, SBA employees, financial institution, law enforcement agencies, IRS and FEMA.
</p></xhtmlContent></subsection></section>
<section id="sba21" toc="yes">
<systemNumber>21</systemNumber>
<subsection type="systemName">Loan System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters, Regional Offices, District Offices, Branch Offices, Processing Centers, Purchase Centers, and Servicing Centers. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals (<i>i.e.,</i> borrowers, guarantors, principals of businesses named in loan records, loan agents), throughout the life of SBA"s interest in the loan, under all of the Agency"s business (non-disaster) loan programs. For purposes of this Systems of Records Notice, "loan agents" means all "Agents" as defined in 13 CFR 103.1(a) that are involved in the business loan process (<i>e.g.,</i> loan packagers, brokers, and referral agents).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Personal and commercial information (<i>i.e.,</i> credit history, financial information, identifying number or other personal identifier, Form 159 information, compliance and enforcement information, and other exclusions) on individuals named in business loan files, including but not limited to Loan Agents, throughout the life of SBA"s interest in the loan, under all of the Agency"s business (non-disaster) loan programs.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Public Law 85-536, 15 U.S.C. 631 <i>et</i> <i>seq</i>. (Small Business Act, all provisions relating to loan programs); 44 U.S.C. 3101 (Records Management by Federal Agencies); and Public Law 103-62 (Government Performance and Results Act).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and information in the records may be used, disclosed, or referred:
</p><p>a. To SBA Resource Partner, its successors or assigns, (<i>i.e</i>. participating lender, certified development company, micro lender) who initially collected the individual"s information for the purpose of making and servicing loans.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>d. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations of statutes, rules, regulations or orders, or which undertakes procurement of goods or services, when SBA determines that disclosure will promote programmatic integrity or protect the public interest.
</p><p>e. To qualified investors who have signed a confidentiality agreement related to review of files for the purpose of evaluating, negotiating and implementing the purchase of loans from SBA as a part of SBA"s Asset Sales program.
</p><p>f. To request information from a Federal, State, local agency or a private credit agency maintaining civil, criminal or other information relevant to determining an applicant"s suitability for a business loan. This applies to individuals involved in business loans.
</p><p>g. To a recipient who has provided the agency with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable.
</p><p>h. To 7(a) and 504 lenders and/or participating contractors for purposes of the Loan and Lender Monitoring System.
</p><p>i. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>j. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>k. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA 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 and integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>l. To SBA employees, contractors, interns, volunteers, and other regulators or legal authorities for the review of Loan Agent fees and activities and for the review of loans generated by Loan Agents (<i>e.g.</i> for performance and other trends).
</p><p>m. To GSA and the public for publication of Loan Agent suspensions, revocations and exclusions under 13 CFR Part 103 in the Excluded Parties List System (or successor system) and on the SBA Web site consistent with Executive Order 12549 and other applicable law.
</p><p>n. To SBA employees, contractors, interns, volunteers and other regulators for regulatory purposes.
</p><p>o. To the Department of Housing and Urban Development or other Federal agency for publication of delinquent debt information of persons delinquent in paying a debt owed to or guaranteed by the SBA on a system to allow searches by participating Government agencies and approved private lenders, consistent with applicable law.
</p><p>p. To (a) a Federal or state agency, its employees, agents (including contractors of its agents), approved private lenders acting on the Government"s behalf, or contractors, or (b) a fiscal or financial agent designated by the Department of the Treasury, including employees, agents or contractors of such agent, for the purpose of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state in a state-administered, Federally funded program.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic Records are in a secured server and paper records are in files. Loan files are in a secured area in either locked files or locked file rooms.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Electronic Records: By individual name, personal identifier, SBA Identifier, Participating Lender Identifier, Participating Lender Name, business name, and business identifier. Paper Records: By individual name, personal identifier and SBA Identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Electronic Records: Access and use is limited to Agency officials acting in their official capacities, with a need-to-know, and to SBA Resource Partners. Access and use by SBA Resource Partners will generally be via the Internet, with restricted password(s)/passcode(s). SBA Resource Partners, their successors or assigns, will have access only to those individual records that were collected by that particular partner. Information contained in files will be available only to potential asset sale purchasers who have executed a confidentiality agreement. Only SBA employees in the performance of their official duties, who are granted access to the records by Agency issuance of User ID and/or passcode, may amend or review the records. Paper Records: Access and use is limited to SBA officials acting in their official capacities, with a need-to-know. SBA Resource Partners, their successors or assigns, will have access only to the individual records that were collected by that particular partner. Information contained in loan files will be available only to potential asset sale purchasers who have executed a confidentiality agreement. Only those SBA employees in the performance of their official duties may review or amend the records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with SBA Standard Operating Procedure 00 41 2, Item Nos. 50:04, 50:08, 50:09, 50:10, 50:11, 50:12, 50:13, 50:19, 50:22, 55:02. Records are retained for the life of SBA"s interest in the business loan and are disposed of according to the reference in the SOP that pertains to a particular type of record; retention period varies according to the type of record.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Administrator for Capital Access; Director, Office of Credit Risk Management; Director, Office of Financial Assistance; Regional Administrators; District Directors; Branch Managers; Commercial Loan Service Center Directors; National Guaranty Purchase Center Director; Sacramento Loan Processing Center Director; Standard 7(a) Loan Guaranty Processing Center Directors. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual may submit a written record inquiry to the appropriate Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals and businesses, financial institutions, credit reporting agencies, law enforcement agencies and SBA resource partners.
</p></xhtmlContent></subsection></section>
<section id="sba22" toc="yes">
<systemNumber>22</systemNumber>
<subsection type="systemName">Outside Employment Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ) and Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SBA employees who have requested permission for outside employment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence concerning requests for outside employment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>b. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>c. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>d. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Standard Operating Procedure 00 41 2 Item 2 30.01.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>HQ, Counsel to the Inspector General and Field Managers. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Requesting employee and other Agency personnel.
</p></xhtmlContent></subsection></section>
<section id="sba23" toc="yes">
<systemNumber>23</systemNumber>
<subsection type="systemName">Payroll Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Human Capital Management and Office of Inspector General (for OIG employees), both at Headquarters (HQ). See Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Active and inactive SBA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee name, Social Security Number (SSN), date of birth, grade, step, and salary; organization, retirement and FICA codes and date as applicable; Federal, State and local tax deductions; savings bond and charity deductions; co-owner and/or beneficiary of bonds, insurance deduction and plan or code; cash award data; union dues deductions; type and amount of allotments; financial institution code and account number; status and data on all types of leave; time and attendance records, including breakdown of hours worked; mailing address; marital status and number of dependents; notification of Personnel Actions; unemployment records; register of separations; annual leave restoration; over-payment indebtedness; correspondence from employees concerning payroll.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 6 General Accountability Office Policy and Procedures Manual, 31 U.S.C. Part 285, Sections 112(a) and 113 of the Budget and Accounting Procedures Act of 1950 and 5 USC Chapters 55 through 63.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order.
</p><p>b. To transmit data to U.S. Department of Treasury to effect issuance of paychecks to employees and distribution of pay according to employee directions for savings bonds, allotments, financial institutions, and other authorized purposes.
</p><p>c. To GAO for audit purposes.
</p><p>d. To the Internal Revenue Service and appropriate State and local authorities when reporting tax withholding; FICA deductions to the Social Security Administration; dues deductions to labor unions; withholdings for health insurance to insurance carriers and the Office of Personnel Management; charity contribution deductions to agents of charitable institutions; annual W-2 statements to taxing authorities and the individual.
</p><p>e. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>f. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>g. To the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services to locate individuals in order to establish paternity and modify orders of child support, identify sources of income, and other child support enforcement actions as required by the Personal Responsibility and Work Opportunity Reconciliation Act Welfare Reform law, Public Law 104-193), SBA will provide the names, SSN, home addresses, dates of birth and hire, quarterly earnings, employer identifying information, and State of hire of employees.
</p><p>h. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>i. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>j. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee name and/or SSN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical, technical and administrative security is maintained and admission to record storage areas limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Record Schedule 2.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Human Capital Officer, HQ. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject employee, individuals, supervisors, timekeepers, official personnel records, and IRS.
</p></xhtmlContent></subsection></section>
<section id="sba24" toc="yes">
<systemNumber>24</systemNumber>
<subsection type="systemName">Personnel Security Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Inspector General (OIG), Investigations Division, Office of Security Operations. See Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Active and inactive SBA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Active and inactive personnel security files, employee or former employee"s name, background information, personnel actions, Office of Personnel Management (OPM) and/or authorized contracting firm background investigations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. App. 3 (The Inspector General Act of 1978, <i>as amended</i>); 15 U.S.C. Chapters 14A and 14B; 44 U.S.C. 3101, Executive Order 10450, <i>as amended</i>.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order.
</p><p>b. To other Federal Agencies, upon request, that are conducting background checks.
</p><p>c. To a grand jury, court, magistrate, administrative tribunal, or to opposing counsel in the course of hearings, trials or settlement negotiations.
</p><p>d. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>e. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>f. To OPM in accordance with that agency"s authority to evaluate Federal personnel management.
</p><p>g. To the Merit Systems Protection Board in connection with its consideration of appeals of personnel actions.
</p><p>h. To physicians conducting fitness for duty examinations.
</p><p>i. To any Federal, State, local, foreign or international agency, in connection with their assignment, hiring or retention of an individual, issuance of a security clearance, reporting of an investigation of an individual, letting of a contract or issuance of a license, grant or other benefit, to the extent the information is relevant to their decision on the matter.
</p><p>j To a grand jury agent pursuant either to a Federal or State grand jury subpoena or to a prosecution request that record be released for introduction to a grand jury.
</p><p>k. To the Office of Government Ethics for any purpose consistent with their mission.
</p><p>l. To members of the President"s Council on Integrity and Efficiency, the Department of Justice or other agencies for the purpose of conducting qualitative reviews of SBA OIG operations for the preparation of reports to the President and Congress on the activities of the Inspectors General, and for other uses in furtherance of the Inspector General Act of 1978, <i>as amended</i>.
</p><p>m. To DOJ when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>n. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>o. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Rotary diebold power files and electronic data systems. OPM National Agency checks that are not immediately referred to OPM are maintained in locked safes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All file cabinets are locked. Access and use limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with SOP 00 41.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Investigations or designee. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Assistant Inspector General for Investigations or designee.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>SBA employees, Office of Human Capital Management, witnesses and OPM.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access and contest requirements under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to maintain access to sources necessary in making determinations of suitability for employment.
</p></xhtmlContent></subsection></section>
<section id="sba25" toc="yes">
<systemNumber>25</systemNumber>
<subsection type="systemName">Portfolio Reviews.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters, Disaster Loan Making Centers (DLMC) and Disaster Home Loan Service Centers (DHLSC). <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Recipients of SBA Disaster Home Loans.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Reports compiled by the Office of Portfolio Review during review of field office loan processing. Disaster Home Loans may be included.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To the Government Accountability Office in the course of  their review of the Agency.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By borrower"s name, loan number and Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use limited to persons with official need to know; personnel screening and computer passwords used to prevent unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with SOP 00 41 2 Item Nos. 95:04 and 95:06.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>DLMC Directors and DHLSC Managers. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Office of Portfolio Review, Loan Case Files, SBA personnel and field visits to borrowers.
</p></xhtmlContent></subsection></section>
<section id="sba26" toc="yes">
<systemNumber>26</systemNumber>
<subsection type="systemName">Power of Attorney Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Insurance agents who have the authority to execute a surety bond.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records that identify individuals authorized to execute bonds for surety companies.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6) and 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>b. To SBA volunteers, contractors, interns, grantees, and experts who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>c. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>d. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA 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 the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By agent and broker name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use limited to persons with an official need to know; personnel screening and computer passwords used to prevent unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with SOP 00 41 2 Item No. 50:21.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Field Office Systems Managers. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Authorizing surety company.
</p></xhtmlContent></subsection></section>
<section id="sba27" toc="yes">
<systemNumber>27</systemNumber>
<subsection type="systemName">Employee Misconduct Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Inspector General (OIG), Investigations Division Offices, Headquarters duty stations in the field and Federal Record Center. See Appendix for SBA addresses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Active SBA employees that are subjects of investigations involving alleged administrative violations or irregularities that may warrant administrative disciplinary action. Inactive SBA employees that are subject of Workers" Compensation Investigations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Material gathered or created during preparation for, conduct of and follow-up on investigations conducted by OIG, the Federal Bureau of Investigation (FBI) and other Federal, State, local or foreign regulatory or law enforcement agencies as well as other material submitted to or gathered by OIG in furtherance of its investigative function. These records include FBI and other Federal, State, local and foreign regulatory or law enforcement investigative reports, personal history statements, background character checks, field investigations, arrest and conviction records, parole and probation data, recommendations and related correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. APP. 3 (The Inspector General Act of 1978, <i>as amended</i>), 15 U.S.C. Chapters 14A and 14B; 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order.
</p><p>b. To a grand jury, court, magistrate, administrative tribunal, or to opposing counsel in the course of hearings, trials or settlement negotiations.
</p><p>c. To any private or governmental source or person to secure information relevant to an investigation or audit.
</p><p>d. To other Federal agencies conducting background checks, to the extent the information is relevant to their function.
</p><p>e. To any Federal, state, local, foreign, international, private agency or organization for the hiring or retention of an individual, issuance of a security clearance, reporting of an investigation of an individual, letting of a contract or issuance of a license, grant or other benefit, to the extent the information is relevant to their decision on the matter.
</p><p>f. To Federal, State or local bar associations and other professional regulatory or disciplinary bodies for use in disciplinary proceedings and inquiries.
</p><p>g. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>h. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>i. To the Office of Government Ethics or the Office of Personnel Management for any purpose consistent with their respective missions.
</p><p>j. To the Government Accountability Office and to the General Service Administration"s Board of Contract Appeals in bid protest cases involving an agency procurement.
</p><p>k. To any Federal agency which has the authority to subpoena other Federal agencies" records and has issued a valid subpoena.
</p><p>l. To the Department of the Treasury and the Department of Justice (DOJ) when an agency is seeking an ex parte court order to obtain taxpayer information from the Internal Revenue Service.
</p><p>m. To debt collection contractors collecting delinquent taxes authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
</p><p>n. To third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation.
</p><p>o. To a grand jury agent pursuant to a Federal or State grand jury subpoena or to a prosecution request that records be introduced to a grand jury.
</p><p>p. To DOJ to obtain advice regarding FOIA disclosure obligations.
</p><p>q. To the Office of Management and Budget to obtain that advice regarding PA obligations.
</p><p>r. To members of the President"s Council on Integrity and Efficiency, DOJ or other agencies for the purpose of conducting qualitative reviews of SBA OIG operations for the preparation of reports to the President and Congress on the activities of the Inspectors General, and for other uses in furtherance of the Inspector General Act of 1978, <i>as amended</i>.
</p><p>s. To DOJ when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>t. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>u. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Rotary diebold power files, file cabinets and electronic systems.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name and referenced to the number of the IG file(s) containing related material.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are stored in locked filing cabinets or in filing cabinets located in locked rooms. Access and use limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Standard Operating Procedure 00 41.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Investigations or designee. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Assistant Inspector General for Investigations or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual, SBA personnel, informants, and investigative Government agencies, such as the FBI.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG"s criminal law enforcement function.
</p><p>(2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process.
</p></xhtmlContent></subsection></section>
<section id="sba28" toc="yes">
<systemNumber>28</systemNumber>
<subsection type="systemName">Small Business Person and Advocate Awards.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ) and Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Candidates and winners of the Small Business Person of the Year, Advocate, Minority Small Business Person and Phoenix Awards.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information regarding the candidacy and selection of Small Business Person of the Year, Minority Small Business Person and Advocate of the Year, applications, biographical summaries, correspondence, recommendations and narratives. Records of Community Development Awards in HQ include biographical and qualifying information and recommendations from field offices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To the news media for public disclosure of the name, address, and biography of award recipients.
</p><p>b. To communicate with State and local governments about the status of a particular candidate.
</p><p>c. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>d. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>e. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>g. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Records Schedule 16.8.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Field Office Systems Managers. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual, individual sponsors, Advisory Council members, Agency personnel, research publications, directories and news media.
</p></xhtmlContent></subsection></section>
<section id="sba29" toc="yes">
<systemNumber>29</systemNumber>
<subsection type="systemName">Standards of Conduct Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ), Office of the Inspector General (OIG) and Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SBA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Confidential employment and financial statements of employees Grade 13 and above, Grade 12 Branch Managers and other designated individuals. Ad Hoc Committee decisions and memoranda concerning standards of conduct questions used as precedent for later decisions (HQ only). Correspondence concerning conflicts of interest. List of all SBA employees who have been indicted or convicted in matters involving SBA business.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>13 CFR 105 Sections 101 and 401.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order.
</p><p>b. To a court, magistrate, grand jury or administrative tribunal, opposing counsel during such proceedings or in settlement negotiations when presenting evidence.
</p><p>c. To the Office of Personnel Management when requested.
</p><p>d. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>e. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>f. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>g. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>h. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA 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 the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed  compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee name and/or Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access strictly limited to those employees with an official need to know; computers secured by passwords and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Records Schedule 1.1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Human Capital Management, OIG, PA Officer and Field Office Directors. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Confidential statement of employment and financial interests by the employee. Adverse information could come from other employees or a member of the general public with specific knowledge of the matter reported.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(5), all investigatory material in the record compiled for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill communications made to protect the confidentiality of sources and maintain access to sources necessary in making determinations of suitability.
</p></xhtmlContent></subsection></section>
<section id="sba30" toc="yes">
<systemNumber>30</systemNumber>
<subsection type="systemName">Servicing and Contracts System/Minority Enterprise Development Headquarters Repository.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and Field Offices. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Applicants and program participants in SBA"s 8(a) Business Development program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>8(a) Business Development program applications, business development working files, business plan files and contract files containing personal and financial information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Public Law 100-656, Small Business Act 15 U.S.C. 636, section (j) (Technical and Management Assistance); Public Law 100-656, 15 U.S.C. 637, section 8(a) (Business Development).
</p><p>Purpose:</p>
<p>To collect confidential business and financial information used to determine if applicants and current 8(a) participants are in compliance with statutory and regulatory requirements for continued eligibility for program participation. This information facilitates the Agency in carrying out the functions of the Office of 8(a) Business Development.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>b. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>c. To the Federal, state, local or foreign agency or professional organization which investigates, prosecutes, or enforces violation or potential violation of law, arising by general or program statute, or by regulation, rule, or order.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA 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 the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic database records reside on SBA secured mainframe system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of individual and business name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use is limited to persons whose official duties designate such a need; personnel screening by password is used to prevent unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with SACS/MEDHR NI-309-03-4.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>PA Officer, Associate Administrator for 8(a) Business Development and the Field Office Systems Manager. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>PA Officer or Field Office Systems Manager will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Small business applicants or participants in the 8(a) Business Development program.
</p></xhtmlContent></subsection></section>
<section id="sba31" toc="yes">
<systemNumber>31</systemNumber>
<subsection type="systemName">Temporary Disaster Employees.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Disaster Assistance: HQ and Field locations. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees who have been temporarily employed by the ODA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, Social Security Number (SSN), Disaster Area, job series, grade and title, dates of employment, reason for termination, supervisor"s name and job and summary of supervisor"s evaluation. Possible violations of the Agency"s Standards of Conduct (13 CFR Part 105) and information, if any, concerning official investigations and disciplinary actions taken.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 101.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To verify previous employment with SBA when a former employee is considered for reemployment.
</p><p>b. To locate current or former employees with special skills or language capabilities needed in specific situations.
</p><p>c. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>d. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>e. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>g. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name and/or SSN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Records and Archives Administration General Records Schedule 1.10.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Administrator for Disaster Assistance. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Disaster Loan Making Centers.
</p></xhtmlContent></subsection></section>
<section id="sba32" toc="yes">
<systemNumber>32</systemNumber>
<subsection type="systemName">Tort Claims.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ), Field Offices, Disaster Loan Making Centers (DLMC) and Federal Records Center (FRC). <i>See</i> Appendix A for SBA addresses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Government employees and other individuals involved in accidents.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains reports on accidents which result in tort claims involving the Government.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101, 42 U.S.C. 3211.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To the Department of Justice (DOJ) for handling of the suit and the preparation and presentation of the case in the event that a tort claim results in a court suit.
</p><p>b. To the General Services Administration for reporting on accidents and tort claims.
</p><p>c. To a rental car company responsible for personal injuries and property damage.
</p><p>d. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>e. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>f. To DOJ when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>g. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>h. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of government employee or involved individual(s).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Locked cabinets. Access and use limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration General Records Schedule 6.10.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Field Office Systems Manager or DLMC Director. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals involved in accident, witnesses, investigation of the accident.
</p></xhtmlContent></subsection></section>
<section id="sba33" toc="yes">
<systemNumber>33</systemNumber>
<subsection type="systemName">Travel Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>All SBA offices, Denver Financial Center and Federal Records Center. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SBA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee travel vouchers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To the appropriate Federal, State, local or foreign agency or professional organization which has responsibility for investigating, prosecuting or enforcing violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law arising by general or program statute, by regulation, rule or order.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access and use limited to persons with official need to know; computers are protected by passwords and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained according to National Archives and Records Administration"s General Record Schedule 6.1.a.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Financial Officer. <i>See</i> Appendix A for address.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>System Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employees Travel Vouchers.
</p></xhtmlContent></subsection></section>
<section id="sba34" toc="yes">
<systemNumber>34</systemNumber>
<subsection type="systemName">Identity Management System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters (HQ), contractor provided hosted facility. (<i>see</i> Appendix A).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who require regular, ongoing access to SBA facilities, including, applicants for employment or contracts, federal employees, contractors, students, interns, volunteers, and individuals authorized to perform or use services provided in SBA facilities (<i>e.g</i>., Credit Union, Fitness Center, etc.). The system does not apply to occasional visitors or short-term guests to whom SBA will issue temporary identification and credentials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Full name, social security number; date of birth; signature; image (photograph); fingerprints; hair color; eye color; height; weight; organization/office of assignment; company name; telephone number; copy of background investigation form; personal addresses for past 5 years; high school and college attended (as applicable); Card Holder Unique Identification Number; Personal Identification Number; Personal Identity Verification (PIV) enrollment package; PIV card issue and expiration dates; personal identification number; results of background investigation; PIV request form; PIV registrar approval signature; PIV card serial number; emergency responder designation; PIV card expiration date; copies of documents used to verify identification or information derived from those documents; level of national security clearance and expiration date; computer system user name; user access and permission rights, authentication certificates; digital signature information; National Agency Check with Written Inquiries investigation; fingerprint check; National Criminal History Name Check, information technology systems, or information classified in the interest of national security.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Federal Information Security Act (Pub. L. 104-106, sec. 5113), Electronic Government Act (Pub. L. 104-347, sec. 203), Paperwork Reduction Act of 1995 (44 U.S.C. 3501), Government Paperwork Elimination Act (Pub. L. 105-277, 44 U.S.C. 3504), Homeland Security Presidential Directive 12, Federal Property and Administrative Act of 1949, <i>as amended</i>.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To National Archives and Records Administration or to the General Services Administration for records management inspections conducted under 44 U.S.C. 2904 and 2906.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>d. To a Federal, State, local, foreign, or tribal or other public authority of the fact that this system of records contains information relevant to the retention of an employee, the retention of a security clearance, the letting of a contract, or the issuance or retention of a license, grant, or other benefit with appropriate restrictions on further disclosure.
</p><p>e. To the Office of Management and Budget (OMB) when necessary for the review of private relief legislation pursuant to OMB Circular No. A-19.
</p><p>f. To a Federal, State, or local agency, or other appropriate entities or individuals, or through established liaison channels to selected foreign governments, in order to enable an intelligence agency to carry out its responsibilities under the National Security Act of 1947 <i>as amended</i>, the CIA Act of 1949 <i>as amended</i>, Executive Order 12333 or any successor order, applicable national security directives, or classified implementing procedures approved by the Attorney General and promulgated pursuant to such statutes, orders or directives.
</p><p>g. To notify another Federal agency when, or verify whether a PIV card is no longer valid.
</p><p>h. To a supervisor or manager in order to verify employee time and attendance record for personnel actions. Note: Disclosures within SBA of data pertaining to date and time of entry and exit of an agency employee working in the District of Columbia may not be made to supervisors, managers or any other persons (other than the individual to whom the information applies) to verify the employee time and attendance record for personnel actions because 5 U.S.C. 6106 prohibits Federal Executive agencies (other than the Bureau of Engraving and Printing) from using a recording within the District of Columbia, unless used as a part of a flexible schedule program under 5 U.S.C. 6120 <i>et</i> <i>seq</i>.
</p><p>i. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>j. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual
capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>k. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in electronic media and in paper files and not on the card.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name, social security number, PIV card serial number, or Card Holder Unique Identification Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are kept in locked cabinets in secure facilities, access is restricted to individuals whose role requires use of the records. Access to facilities will be controlled by the PIV card, the System requires a PIV card to log on and to digitally sign transactions. The computer servers storing the records are located in facilities that are secured by alarm systems and off-master key access. The computer servers are password-protected. Access to individuals working at guard stations is password-protected; each person granted access to the system at guard stations must be individually authorized to use the system. A Privacy Act Warning Notice appears on the monitor screen when PIV records are first displayed. Data exchanged between the servers and the client PCs at the guard stations and badging office are encrypted. Backup tapes are stored in a locked and controlled room in a secure, off-site location. An audit trail is maintained and reviewed periodically to identify unauthorized access. Persons given roles in the PIV process must complete training specific to their roles to ensure their knowledge about how to protect individually identifiable information. The system uses the high risk confidentiality and integrity security controls specified in the National Institute of Standards and Technology Special Publication 800-53.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records relating to persons covered by this system are retained in accordance with General Records Schedule 18, Item 17. Unless retained for specific, ongoing security investigations, for maximum security facilities, records of access are maintained for five years and then destroyed by wiping hard drives and shredding paper. For other facilities, records are maintained for two years and then destroyed by wiping hard drives and shredding paper. All other records relating to employees are destroyed two years after ID security card expiration date. In accordance with FIPS 201-1, PIV Cards are deactivated within 18 hours of cardholder separation, notification of loss of card, or expiration. The information on PIV Cards is maintained in accordance with General Records Schedule 11, Item 4. PIV Cards that are turned in for destruction are shredded within 90 days.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Administrator/Human Capital Management, Associate Administrator/Disaster Assistance, or designees, PA Officer. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual may submit a record inquiry either in person or in writing to the System Manager or the PA Officer. When requesting notification of or access to records, an individual should provide their full name, date of birth, and work location. Individuals requesting notification of records in person must provide identity documents sufficient to satisfy the custodian of the records that the requester is entitled to access, such as a government-issued photo ID. Individuals requesting notification via mail or telephone must furnish, at minimum, name, date of birth, social security number, and home address in order to establish identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>System Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee, contractor, or applicant; sponsoring SBA; former sponsoring SBA; other Federal agencies; contract employer; former employer.
</p></xhtmlContent></subsection></section>
<section id="sba35" toc="yes">
<systemNumber>35</systemNumber>
<subsection type="systemName">Non-Employment Related Background Checks.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Inspector General (OIG), Investigations Division, Office of Security Operations. See Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Applicants for SBA loans or other assistance.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information about applicants for SBA loans or other assistance or recognition, including application forms, such as SBA Form 912 and related fingerprint cards, criminal history and other records checks and correspondence concerning background.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. App. 3 (The Inspector General Act of 1978, <i>as amended</i>); 15 U.S.C. Chapters 14A and 14B, and 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To the Federal Bureau of Investigation (FBI) and other agencies, for the purpose of obtaining criminal history records and other information relevant to determining applicant suitability.
</p><p>b. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order.
</p><p>c. To other Federal Agencies, upon request, that are conducting background checks.
</p><p>d. To a court, magistrate judge, grand jury or administrative tribunal, opposing counsel during such proceedings or in settlement negotiations when presenting evidence.
</p><p>e. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>f. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>g. To any Federal, State, local, foreign or international agency, in connection with their assignment, hiring or retention of an individual, issuance of a security clearance, reporting of an investigation of an individual, letting of a contract or issuance of a license, grant or other benefit, to the extent the information is relevant to their decision on the matter.
</p><p>h. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>i. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>j. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>k. To members of the President"s Council on Integrity and Efficiency, DOJ or other agencies for the purpose of conducting qualitative reviews of SBA OIG operations for the preparation of reports to the President and Congress on the activities of the Inspectors General, and for other uses in furtherance of the Inspector General Act of 1978, <i>as amended</i>.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Rotary diebold power files and electronic data systems.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By applicant name and/or Social Security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All file cabinets are locked. Access and use limited to persons with official need to know; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with SOP 00 41.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Investigations or designee. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Assistant Inspector General for Investigations or designee.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Person(s) applying for SBA loans or other assistance, other federal agencies, including the FBI, and SBA personnel.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(j)(2), records in this system of records are exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG"s criminal law enforcement function.
</p></xhtmlContent></subsection></section>
<section id="sba36" toc="yes">
<systemNumber>36</systemNumber>
<subsection type="systemName">Suspension and Debarment Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by the system include the parties who have been considered for, recommended for, or subject to (i) suspension and/or debarment under government-wide regulations or (ii) SBA Part 103 enforcement action (other than Loan Agents in SBA Business Loan Programs), and persons providing information relevant to these actions.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of materials compiled from investigations, audits, or other agency activities which identify violations which may be cause for suspension or debarment pursuant to the Federal Acquisition Regulations or the government-wide non-procurement suspension and debarment regulations or enforcement actions under Part 103 suspension or revocation actions. These materials include indictments, information, plea agreements, judgments, contract documents, program or loan applications, agency generated documents, etc., that pertain to a party"s participation in SBA government contract programs, SBA loan programs, and other SBA assistance.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. App. 3 (the Inspector General Act of 1978, <i>as amended</i>); 15 U.S.C. Chapters 14A and 14B; and 44 U.S.C. 3101; 48 CFR Subpart 9.4 (procurement); 2 CFR Parts 180 and 2700 (non-procurement), and Executive Orders 12549 and 12682.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations of statutes, rules, regulations or orders, or which undertakes procurement of goods or services, when the SBA determines that disclosure will promote programmatic integrity or protect the public interest.
</p><p>b. To a court, magistrate, grand jury or administrative tribunal, opposing counsel during such proceedings or in settlement negotiations when presenting evidence.
</p><p>c. To any private or governmental source or person, to secure information relevant to a suspension or debarment action.
</p><p>d. To any domestic, foreign, international or private agency or organization, including those which maintain civil, criminal or other enforcement information, for the assignment, hiring or retention of an individual, issuance of a security clearance, reporting of an investigation of an individual, letting of a contract or issuance of a license, grant or other benefit, to the extent the information is relevant to the agency"s decision on the matter.
</p><p>e. To Federal, State, or local bar associations and other professional, regulatory or disciplinary bodies for use in disciplinary proceedings and inquiries.
</p><p>f. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s behalf; the Member"s access rights are no greater than the individual"s.
</p><p>g. To the Government Accountability Office and to the General Services Administration"s Board of Contract Appeals in bid protest cases involving an agency procurement.
</p><p>h. To any Federal agency which has the authority to subpoena other Federal agencies" records and has issued a valid subpoena.
</p><p>i. To DOJ to obtain advice regarding FOIA disclosure obligations.
</p><p>j. To the Office of Management and Budget to obtain advice regarding PA obligations.
</p><p>k. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, <i>as amended</i>, 5 U.S.C. 552a.
</p><p>l. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>m. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>n. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA 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 and integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>o. To GSA and the public for publication of suspensions, debarments, other enforcement actions, and exclusions by SBA in the Excluded Parties List System (or successor system) and on the SBA Web site pursuant to Executive Order 12549 and other applicable law.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper files are maintained in locked offices; computers are protected by password and user identification codes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Following final agency action, records are maintained in accordance with SBA SOP 00 41.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Counsel to the Inspector General or designee; SBA Suspension and Debarment officials. <i>See</i> Appendix A.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual may submit a record inquiry in writing to the Systems Manager or PA Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Systems Manager or PA Officer will determine procedures.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>OIG and/or Agency personnel, subject individuals or entities, third parties, and other investigative agencies.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG"s criminal law enforcement function.
</p><p>(2) Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process.
</p></xhtmlContent></subsection></section>
<section id="sba38" toc="yes">
<systemNumber>38</systemNumber>
<subsection type="systemName">TechNet.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>SBA"s Office of Technology, Office of Investment and Innovation, Small Business Administration, 409 Third
Street SW., Washington, DC 20416.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons who submit applications to or receive awards under the SBIR and STTR programs; principal investigators
and key individuals working for SBIR and STTR applicants and awardees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Names, work phone numbers, and email addresses for owners, key individuals and principal investigators;
individual owners" social security numbers; fraud related criminal history; history of civil fraud violations
related to the SBIR and STTR programs; and the social and economic disadvantaged status of principal
investigators.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 638.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To the court or administrative tribunal and other parties in litigation, when a suit or administrative
action has been initiated.
</p><p>b. To a Congressional office from an individual"s record, when that office is inquiring on the individual"s
behalf; the Member"s access rights are no greater than the individual"s.
</p><p>c. To SBA employees, volunteers, contractors, interns, grantees, and experts who have been engaged by SBA to
assist in the performance of a service related to this system of records and who need access to the records in
order to perform this activity. Recipients of these records shall be required to comply with the requirements of
the Privacy Act of 1974, as amended, 5 U.S.C. Sec. 552a.
</p><p>d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in
such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the
litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of
the information contained in the records that is compatible with the purpose for which the records were
collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their
individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA
determines that litigation is likely to affect SBA or any of its components.
</p><p>e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is
authorized to appear or before which any of the following is a party to litigation or has an interest in
litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the
litigation, and that, in each case, SBA determines that disclosure of the records to a court or other
adjudicative body is a use of the information contained in the records that is a compatible purpose for which the
records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee
in their individual capacity where DOJ has agreed to represent the employee; or The United States Government,
where SBA determines that litigation is likely to affect SBA or any of its components.
</p><p>f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or
confidentiality of information in the system records has been compromised; SBA has determined that as a result of
the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft
or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by
the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies,
entities and persons is reasonably necessary to assist in connection with SBA"s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>g. To Congress, the Government Accountability Office, agencies participating in the SBIR and the STTR programs
(Department of Agriculture, Department of Commerce (National Institute of Standards and Technology and National
Oceanic and Atmospheric Administration), Department of Defense, Department of Education, Department of Energy,
Department of Health and Human Services, Department of Homeland Security, Department of Transportation,
Environmental Protection Agency, National Aeronautics and Space Administration, and the National Science
Foundation), Office of Management and Budget, Office of Science and Technology Policy, Office of Federal
Procurement Policy, and other authorized persons who are subject to a use and nondisclosure agreement with the
Federal Government covering the use of the database for the purposes of program evaluation and auditing.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>SBA will retrieve records using a unique tracking number assigned by SBA or another participating agency, as
well as by company name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The access to the system is restricted to registered users only, which include applicants, current awardees,
and past-awardees of the SBIR or STTR programs from any of the 11 SBIR/STTR agencies, and registered Government
Agency users. The access to information for the logged-in users is based on the role assigned to them during the
registration process. These roles ensure users are only able to access their own records and not the records of
other users.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>TechNet is a unique, mission critical system of the SBA. The input data is temporary and have a one year
retention period. The data in the system have a permanent retention in accordance with NARA disposition authority
approved under Request for Records Disposition Authority--N1-309-03-001.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Administrator for Investment, Office of Investment and Innovation, 409 Third Street SW., Washington
DC 20416.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may make record inquiries in person or in writing to the Systems Manager or SBA"s Privacy Act
Officer.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals who must create an account will furnish their Company"s name, the authorized user"s name, the
company"s EIN and DUNS numbers and email address of the principal of the firm. These details are to be submitted
through a web-based registration form available on sbir.gov public-facing site. The company name, EIN, and name
of the principal of the firm will be publicly available for all awardees as required by Congress.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest or amend information maintained in this system of records should notify the SBA
Privacy Act Officer, Lisa J. Babcock, 409 Third Street SW., Washington DC 20416, or System Manager listed above,
state reason(s) for contesting any information in the record and provide proposed amendment(s).
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The SBIR/STTR applicants and awardees, including information submitted to the SBIR/STTR participating
agencies. In addition, SBIR.gov system interfaces with System for Award Management (SAM) database to complete the
authentication process for new small business users" registration.
</p></xhtmlContent></subsection></section>

<appendix id="app" toc="yes">

	<xhtmlContent>
<p><i>Headquarters
</i></p><p>409 Third St., SW., Washington, DC 20416.
</p><p><i>Boston Regional Office
</i></p><p>10 Causeway St., Suite 265, Boston, MA 02222-1093.
</p><p><i>New York Regional Office
</i></p><p>26 Federal Plaza, Suite 3108, New York, NY 10278.
</p><p><i>Philadelphia Regional Office
</i></p><p>1150 First Ave., Suite 1001, King of Prussia, PA 19406.
</p><p><i>Atlanta Regional Office
</i></p><p>233 Peachtree St., NE., Suite 1800, Atlanta, GA 30303.
</p><p><i>Chicago Regional Office
</i></p><p>500 West Madison St., Suite 1150, Chicago, IL 60661-2511.
</p><p><i>Dallas Regional Office
</i></p><p>4300 Amon Carter Blvd., Suite 108, Fort Worth, TX 76155.
</p><p><i>Kansas City Regional Office
</i></p><p>1000 Walnut, Suite 530, Kansas City, MO 64106.
</p><p><i>Denver Regional Office
</i></p><p>721 19th St., Suite 400, Denver, CO 80202.
</p><p><i>San Francisco Regional Office
</i></p><p>455 Market St., Suite 600, San Francisco, CA 94105.
</p><p><i>Seattle Regional Office
</i></p><p>2401 Fourth Ave., Suite 400, Seattle, WA 98121.
</p><p><b>SBA District Offices and Branch Offices
</b></p><p><i>Region I
</i></p><p><i>Maine District Office
</i></p><p>68 Sewall St., Room 512, Augusta, ME 04330.
</p><p><i>Massachusetts District Office
</i></p><p>10 Causeway St., Suite 265, Boston, MA 02222-1093.
</p><p><i>New Hampshire District Office
</i></p><p>55 Pleasant St., Suite 3101, Concord, NH 03301.
</p><p><i>Connecticut District Office
</i></p><p>330 Main St., 2nd Floor, Hartford, CT 06106.
</p><p><i>Vermont District Office
</i></p><p>87 State St., Suite 205, Montpelier, VT 05602.
</p><p><i>Rhode Island District Office
</i></p><p>380 Westminster Mall, Rm. 511, Providence, RI 02903.
</p><p><i>Springfield Branch Office
</i></p><p>One Federal Street Building 101R, Springfield, MA 01105.
</p><p><b>Region II
</b></p><p><i>Buffalo District Office
</i></p><p>130 S. Elmwood Ave., Suite 540, Buffalo, NY 14202.
</p><p><i>Elmira Branch Office
</i></p><p>333 E. Water St., 4th Floor, Elmira, NY 14901.
</p><p><i>Long Island Branch Office
</i></p><p>350 Motor Parkway, Suite 109, Hauppauge, NY 11788.
</p><p><i>New Jersey District Office
</i></p><p>Two Gateway Center, Suite 1501, Newark, NJ 07102.
</p><p><i>New York District Office
</i></p><p>26 Federal Plaza, Rm. 3100, New York, NY 10278.
</p><p><i>Puerto Rico &amp; Virgin Islands District Office
</i></p><p>273 Ponce De Leon Avenue., Scotiabank Plaza Suite 510, San Juan, Puerto Rico 00917.
</p><p><i>Rochester Branch Office
</i></p><p>100 State Street, Suite 410, Rochester, NY 14614.
</p><p><i>Syracuse District Office
</i></p><p>224 Harrison St., Suite 506, Syracuse, NY 13202.
</p><p><i>St. Croix Post of Duty
</i></p><p>3013 Estate Golden Rock, Rm. 167, Christiansted, VI 00820.
</p><p><b>Region III
</b></p><p><i>Maryland District Office
</i></p><p>10 S. Howard St., Suite 6220, Baltimore, MD 21201-2525.
</p><p><i>Charleston Branch Office
</i></p><p>405 Capitol St., Suite 412, Charleston, WV 25301.
</p><p><i>West Virginia District Office
</i></p><p>320 West Pike St. Suite 330, Clarksburg, WV 26301.
</p><p><i>Philadelphia District Office
</i></p><p>Parkview Tower, 1150 First Ave., Suite 1001, King of Prussia, PA 19406.
</p><p><i>Pittsburgh District Office
</i></p><p>411 Seventh Ave., Suite 1450, Pittsburgh, PA 15219-1905.
</p><p><i>Richmond District Office
</i></p><p>400 North 8th St., Suite 1150, Richmond, VA 23219.
</p><p><i>Washington DC District Office
</i></p><p>740 15th St., NW., Suite 300, Washington, DC 20005.
</p><p><i>Delaware District Office
</i></p><p>1007 N. Orange St., Suite 1120, Wilmington, DE 19801-3011.
</p><p><b>Region IV
</b></p><p><i>Georgia District Office
</i></p><p>233 Peachtree Rd., NE., Suite 1900, Atlanta, GA 30303.
</p><p><i>Alabama District Office
</i></p><p>801 Tom Martin Dr., Suite 201, Birmingham, AL 35211.
</p><p><i>North Carolina District Office
</i></p><p>6302 Fairview Rd., Suite 300, Charlotte, NC 28210-2234.
</p><p><i>South Carolina District Office
</i></p><p>1835 Assembly St., Suite 1425, Columbia, SC 29201.
</p><p><i>Gulfport Branch Office
</i></p><p>2510 14th St., Suite 103, Gulfport, MS 39501-1949.
</p><p><i>Mississippi District Office
</i></p><p>Region Plaza, 210 E. Capitol St., Suite 900, Jackson, MS 39201.
</p><p><i>North Florida District Office
</i></p><p>7825 Baymeadows Way, Suite 100-B, Jacksonville, FL 32256-7504.
</p><p><i>Kentucky District Office
</i></p><p>600 Dr. M.L. King Jr. Place, Rm. 188, Louisville, KY 40202.
</p><p><i>South Florida District Office
</i></p><p>100 S. Biscayne Blvd., 7th Floor, Miami, FL 33131.
</p><p><i>Tennessee District Office
</i></p><p>50 Vantage Way, Suite 201, Nashville, TN 37228-1500.
</p><p><b>Region V
</b></p><p><i>Illinois District Office
</i></p><p>500 West Madison St., Suite 1150, Chicago, IL 60661-2511.
</p><p><i>Cincinnati Branch Office
</i></p><p>525 Vine St., Suite 1030, Cincinnati, OH 45202.
</p><p><i>Cleveland District Office
</i></p><p>1350 Euclid Ave., Suite 211, Cleveland, OH 44115.
</p><p><i>Columbus District Office
</i></p><p>401 N. Front St, Suite 200, Columbus, OH 43215-2542.
</p><p><i>Michigan District Office
</i></p><p>477 Michigan Ave., Suite 515, Detroit, MI 48226.
</p><p><i>Indiana District Office
</i></p><p>8500 Keystone Crossing, Suite 400, Indianapolis, IN 46204-1873.
</p><p><i>Wisconsin (Milwaukee) District Office
</i></p><p>310 West Wisconsin Ave., Room 400, Milwaukee, WI 53203.
</p><p><i>Minnesota District Office
</i></p><p>100 North 6th St., 210-C, Minneapolis, MI 55403.
</p><p><i>Wisconsin (Madison) District Office
</i></p><p>740 Regent St., Suite 100, Madison, WI 53715.
</p><p><i>Springfield Branch Office
</i></p><p>330 Ginger Creek Road, Suite B, Springfield, IL 62711.
</p><p><b>Region VI
</b></p><p><i>New Mexico District Office
</i></p><p>625 Silver Ave. SW., Suite 320, Albuquerque, NM 87102.
</p><p><i>Corpus Christi Branch Office
</i></p><p>3649 Leopard St., Suite 411, Corpus Christi, TX 78408.
</p><p><i>Dallas/Ft. Worth District Office
</i></p><p>4300 Amon Carter Blvd., Suite 114, Ft Worth, TX 76155.
</p><p><i>El Paso District Office
</i></p><p>211 North Florence St., 2nd Floor Suite 201, El Paso, TX 79901.
</p><p><i>Houston District Office
</i></p><p>8701 S. Gessner Dr., Suite 1200, Houston, TX 77074.
</p><p><i>Arkansas District Office
</i></p><p>2120 Riverfront Dr., Suite 250, Little Rock, AR 72202.
</p><p><i>Lower Rio Grande Valley District Office
</i></p><p>222 E. Van Buren St., Rm. 500, Harlingen, TX 78550-6855.
</p><p><i>Lubbock District Office
</i></p><p>1205 Texas Ave., Room 408, Lubbock, TX 79401-2693.
</p><p><i>Louisana District Office
</i></p><p>365 Canal St., Suite 2820, New Orleans, LA 70130.
</p><p><i>Oklahoma District Office
</i></p><p>301 Northwest 6th St., Suite 116, Oklahoma City, OK 73102.
</p><p><i>San Antonio District Office
</i></p><p>17319 San Pedro, Bldg #2, Suite 200, San Antonio, TX 78232.
</p><p><b>Region VII
</b></p><p><i>Cedar Rapids Branch Office
</i></p><p>2750 1st Ave. NE., Suite 350, Cedar Rapids, IA 52402.
</p><p><i>Des Moines District Office
</i></p><p>210 Walnut St., Room 749, Des Moines, IA 50309-2186.
</p><p><i>Kansas City District Office
</i></p><p>1000 Walnut Street, Suite 500, Kansas City, MO 64106.
</p><p><i>Nebraska District Office
</i></p><p>10675 Bedford Ave., Suite 100, Omaha, NB 68134.
</p><p><i>Springfield Branch Office
</i></p><p>830 East Primrose, Suite 101, Springfield, MO 65807-5254.
</p><p><i>St. Louis District Office
</i></p><p>1222 Spruce Street, Suite 10.103, St. Louis, MO 63103.
</p><p><i>Wichita District Office
</i></p><p>271 West Third St. North, Suite 2500, Wichita, KS 67202-1212.
</p><p><b>Region VIII
</b></p><p><i>Wyoming District Office
</i></p><p>100 East B Street, Rm. 4001, P.O. Box 44001, Casper, WY 82602.
</p><p><i>Colorado District Office
</i></p><p>721 19th St., Suite 426, Denver, CO 80202.
</p><p><i>North Dakota District Office
</i></p><p>657 Second Ave. North, Room 218, Fargo, ND 58108.
</p><p><i>Montana District Office
</i></p><p>10 West 15th St., Suite 1100, Helena, MT 59626.
</p><p><i>Utah District Office
</i></p><p>125 South State St., Room 2227, Salt Lake City, UT 84138.
</p><p><i>South Dakota District Office
</i></p><p>2329 North Career Ave., Suite 105, Sioux Falls, SD 57107.
</p><p><b>Region IX
</b></p><p><i>Guam District Office
</i></p><p>400 Route 8, Suite 302, Hagatna, GU 96910-2003.
</p><p><i>Fresno District Office
</i></p><p>801 R St., Suite 201, Fresno, CA 93721.
</p><p><i>Hawaii District Office
</i></p><p>500 Ala Moana Blvd., Suite 1-306, Honolulu, HI 96813.
</p><p><i>Nevada District Office
</i></p><p>400 South 4th St., Suite 250, Las Vegas, NV 89101.
</p><p><i>Los Angeles District Office
</i></p><p>330 North Brand Blvd., Suite 1200, Glendale, CA 91203-2304.
</p><p><i>Arizona District Office
</i></p><p>2828 North Central Ave., Suite 800, Phoenix, AZ 85004-1025.
</p><p><i>Sacramento District Office
</i></p><p>6501 Sylvan Rd., Suite 100, Citrus Heights, CA 95610-5017.
</p><p><i>San Diego District Office
</i></p><p>550 West C St., Suite 550, San Diego, CA 92101-3500.
</p><p><i>San Francisco District Office
</i></p><p>455 Market St., Suite 600, San Francisco, CA 94105-2445.
</p><p><i>Santa Ana District Office
</i></p><p>200 West Santa Ana Blvd., Suite 700, Santa Ana, CA 92701.
</p><p><b>Region X
</b></p><p><i>Alaska District Office
</i></p><p>420 L St., Suite 300, Anchorage, AK 99501.
</p><p><i>Boise District Office
</i></p><p>380 East Parkcenter Blvd., Suite 330, Boise, ID 83706.
</p><p><i>Oregon District Office
</i></p><p>601 SW Second Ave., Suite 950, Portland, OR 97204.
</p><p><i>Seattle District Office
</i></p><p>2401 Fourth Ave., Suite 450, Seattle, WA 98121.
</p><p><i>Spokane Branch Office
</i></p><p>801 West Riverside, Suite 444, Spokane, WA 99201.
</p><p><i>Spokane District Office
</i></p><p>801 West Riverside Ave., Suite 200, Spokane, WA 99201-0901.
</p><p><b>SBA Disaster Loan Making Centers
</b></p><p><i>DCMS Operations Center
</i></p><p>13221 Woodland Park Rd., Herndon, VA 20174.
</p><p><i>Disaster Assistance Customer Service Center
</i></p><p>130 South Elmwood Avenue Suite 516, Buffalo, NY 14202.
</p><p><i>Disaster Field Operations Center--East
</i></p><p>101 Marietta Street, Suite 700, Atlanta, GA 30303.
</p><p><i>Disaster Loan Processing and Disbursement Center
</i></p><p>14925 Kingsport Rd., Fort Worth, TX 76155-2243.
</p><p><i>Disaster Field Operations Center--West
</i></p><p>P.O. Box 419004, Sacramento, CA 95841-9004.
</p><p><b>SBA Disaster Loan Servicing Centers
</b></p><p><i>Birmingham Home Loan Servicing Center
</i></p><p>801 Tom Martin Drive, Suite #120, Birmingham, AL 35211.
</p><p><i>El Paso Loan Servicing Center
</i></p><p>10737 Gateway West, Suite 300, El Paso, TX 79935.
</p><p><i>National Disaster Home Resolution Center
</i></p><p>200 W. Santa Ana Blvd., Santa Ana, CA 92701.
</p><p><b>Commercial Loan Servicing Centers
</b></p><p><i>Fresno Commercial Loan Servicing Center
</i></p><p>801 R St., Suite 101, Fresno, CA 93721.
</p><p><i>National Disaster Loan Resolution Center
</i></p><p>200 West Santa Ana Boulevard, Santa Ana, CA 92701.
</p><p><i>Little Rock Commercial Loan Servicing Center
</i></p><p>2120 Riverfront Dr., Suite 100, Little Rock, AR 72202.
</p><p><b>Office of the Inspector General
</b></p><p><i>Office of Inspector General
</i></p><p>409 Third Street SW., Washington, DC 20416.
</p><p><i>Office of Inspector General Investigation Division
</i></p><p>409 Third Street SW., Washington, DC 20416.
</p><p><i>Office of Inspector General Auditing Division
</i></p><p>409 Third Street SW., Washington, DC 20416.
</p><p><i>Office of Inspector General Counsel Division
</i></p><p>409 Third Street SW., Washington, DC 20416.
</p><p><i>Office of Inspector General Management &amp; Policy Division
</i></p><p>409 Third Street SW., Washington, DC 20416.
</p><p><i>Dallas/Fort Worth Inspector General Auditing
</i></p><p>4300 Amon Carter Blvd., Suite 116, Fort Worth, TX 76155.
</p><p><i>Chicago Inspector General Investigations Division
</i></p><p>801 Warrenville Road, Suite 230, Lisle Chicago, IL 60532.
</p><p><i>Dallas/Fort Worth Inspector General Investigations Division
</i></p><p>4300 Amon Carter Blvd., Suite 116, Fort Worth, TX 76155-2653.
</p><p><i>Detroit Inspector General Investigations Division
</i></p><p>477 Michigan Avenue, Suite 515, Detroit, MI 48266.
</p><p><i>Houston Inspector General Investigations Division
</i></p><p>8701 South Gessnar Drive, Suite 1200, Houston, TX 77074.
</p><p><i>Kansas City Inspector General Investigations Division
</i></p><p>1000 Walnut Street, Suite 510, Kansas City, MO 64106.
</p><p><i>Miami Inspector General Investigations Division
</i></p><p>Claude Pepper Federal Building, 51 SW 1st Avenue, Suite 1325, Miami, FL 33130.
</p><p><i>New Orleans Inspector General Auditing Division and Investigations Divisions
</i></p><p>365 Canal Street, Suite 2420, New Orleans, LA 70130.
</p><p><i>New York Inspector General Investigations Division
</i></p><p>26 Federal Plaza, Rm. 41-100, New York, NY 10278.
</p><p><i>Philadelphia Inspector General Investigations Division
</i></p><p>Curtis Center Room 860W, 601 Walnut Street, Philadelphia, PA 19106.
</p><p><i>Tacoma Inspector General Investigations Division
</i></p><p>33400 9th Avenue, Federal Way, WA 98003.
</p></xhtmlContent></appendix>
	<previousPubs id="systems" toc="yes">
<title>Systems of Records Published Between January 3, 2012 and December 31, 2013</title>
</previousPubs>

<regulations id="reg" toc="yes">
<regulationsTitle number="13">
<heading> Business Credit and Assistance </heading>
<regulationsChapter number="I">
<heading> Small Business Administration </heading>
<regulationsPart number="102">
<heading> RECORD DISCLOSURE AND PRIVACY </heading>
<xhtmlContent>
	<p><b>Subpart B--Protection of Privacy and Access to Individual Records Under the Privacy Act of 1974
</b></p>
<p>102.20 General provisions.
</p>
<p>102.21 Agency employees responsible for the Privacy Act of 1974.
</p>
<p>102.22 Requirements relating to systems of records.
</p>
<p>102.23 Publication in the <i>Federal Register</i>--Notices of systems of records.
</p>
<p>102.24 Requests for access to records.
</p>
<p>102.25 Responsibility for responding to requests for access to records.
</p>
<p>102.26 Responses to requests for access to records.
</p>
<p>102.27 Appeals from denials of requests for access to records.
</p>
<p>102.28 Requests for amendment or correction of records.
</p>
<p>102.29 Requests for an accounting of record disclosures.
</p>
<p>102.30 Preservation of records.
</p>
<p>102.31 Fees.
</p>
<p>102.32 Notice of court-ordered and emergency disclosures.
</p>
<p>102.33 Security of systems of records.
</p>
<p>102.34 Contracts for the operation of record systems.
</p>
<p>102.35 Use and collection of Social Security Numbers.
</p>
<p>102.36 Privacy Act standards of conduct.
</p>
<p>102.37 Training requirements.
</p>
<p>102.38 Other rights and services.
</p>
<p>102.39 SBA"s exempt Privacy Act systems of records.
</p>
<p>102.40 Computer matching.
</p>
<p>102.41 Other provisions.
</p>
<p><b>Authority:</b> 5 U.S.C. 301, 552, 552a; 31 U.S.C. 9701; 44 U.S.C. 3501, <i>et seq.</i>, E.O. 12600, 52 FR 23781, 3 CFR, 187 Comp., p. 235.
</p>
<p><b>Source:</b> 61 FR 2673, Jan. 29, 1996, unless otherwise noted.</p>
<p><b>Subpart A--Disclosure of Information
</b></p>
<p><b>Source:</b> 68 FR 59092, Oct. 14, 2003, unless otherwise noted.
</p>
<p><b>&#167; 102.1 General provisions.
</b></p>
<p>This subpart describes the procedures that the U.S. Small Business Administration (SBA) follows for responding to requests made under the Freedom of Information Act (FOIA) (5 U.S.C. 552).
</p>
<p><b>&#167; 102.2 Public reading rooms.
</b></p>
<p>(a) SBA maintains a public reading room in the Headquarters Reference Library at 409 3rd St., SW., Suite 5000, Washington, DC 20416 where you may read and copy the following:
</p>
<p>(1) Final SBA opinions and orders issued by the Office of Hearings and Appeals in adjudicating a case,
</p>
<p>(2) Official non-privileged policy statements, opinions, or interpretations,
</p>
<p>(3) Standard operating procedures affecting members of the public,
</p>
<p>(4) Records SBA has released in response to previous FOIA requests which, because of their subject matter, SBA determines are likely to be requested again, and
</p>
<p>(5) An index of the records referred to under paragraph (a)(4) of this section.
</p>
<p>(b) The records described in paragraph (a) of this section are available in the SBA Online Reading Room at <i>http://www.sba.gov/library/.</i>
</p>
<p>(c) Reading room records created on or after November 1, 1996 are available electronically.
</p>
<p><b>&#167; 102.3 Requirements pertaining to the submission of requests.
</b></p>
<p>(a) You may make a request for SBA records by writing directly to the program or field office that maintains the records, or to the Freedom of Information/Privacy Acts (FOI/PA) Office by mail to 409 3rd St., SW., Washington, DC 20416 or fax to 202-205-7059 or e-mail to <i>foia@sba.gov.</i> The office receiving your request will forward it to the correct office. The correct office will consider your request to be complete only when you:
</p>
<p>(1) Describe the records sought in enough detail for an Agency employee to locate the records with a reasonable amount of effort;
</p>
<p>(2) Agree to pay applicable fees pursuant to &#167; 102.6, unless you seek a waiver of fees; and
</p>
<p>(3) Make an advance payment if either the correct office estimates the fees will exceed $250 or you owe for past FOIA fees. If you owe past due FOIA fees, you must pay the estimated amount, plus any past due charges and interest.
</p>
<p>(b) If you make a request on behalf of another person for information pertaining to that person, your request must include an authorization signed by the latter, allowing SBA to release such information to you.
</p>
<p>(c) To make a Privacy Act request for records about yourself, you must follow the procedures detailed in &#167; 102.34(b) of Subpart B.
</p>
<p><b>&#167; 102.4 Timing of responses to requests.
</b></p>
<p>(a) <i>In general.</i> Subject to paragraphs (b) and (c) of this section, once the correct office receives your complete request, that office must respond within 20 working days unless that office notifies you in writing that the time is extended by an additional 10 working days for one or more of the following reasons:
</p>
<p>(1) The need to search for and collect the requested records from field facilities or other establishments separate from the office processing the request;
</p>
<p>(2) The need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are demanded in a single request; or
</p>
<p>(3) The need for consultation, which shall be conducted with all practicable speed, with another agency having substantial interest in the determination of the request or among two or more components of the agency having substantial subject matter interest therein.
</p>
<p>(b) <i>Additional time.</i> Where an extension of more than ten working days will be necessary due to exceptional circumstances, the correct office will give the requester an opportunity to modify the request so it may be processed within the usual time limits in paragraph (a) of this section, or to arrange an alternative time period for processing the request or a modified request.
</p>
<p>(c) <i>Expedited processing.</i> (1) SBA will give expedited processing to requests and appeals upon written request, if one of the following conditions is met:
</p>
<p>(i) You demonstrate someone"s life or physical safety will be in imminent danger if SBA does not expedite its response to your request; or
</p>
<p>(ii) You are a news media representative (as defined in &#167; 102.6(b)(8)) who demonstrates an urgent need to inform the public about an actual or alleged Federal government activity.
</p>
<p>(2) You must provide a written statement, certified to be true and correct to the best of your knowledge and belief, explaining in detail one of these circumstances of "compelling need" and submit it to the correct office. Within 10 working days of its receipt of such a statement, or sooner, if SBA concludes that circumstances warrant, that office will notify you of its decision whether or not to grant expedited processing. If expedited processing is granted, the request shall be given priority and processed as soon as practicable. If an expedited processing request is denied, an appeal may be submitted which will be acted on expeditiously.
</p>
<p>(d) <i>Multiple requests.</i> Where an office believes that multiple requests submitted by a requester, or by a group of collaborating requesters, constitute a single request that would otherwise involve unusual circumstances, and the requests involve clearly related matters, they will be aggregated for processing.
</p>
<p><b>&#167; 102.5 Responses to requests.
</b></p>
<p>Within the time limits described in &#167; 102.4, SBA will respond to your request in writing. SBA"s response will do one or more of the following:
</p>
<p>(a) Advise you that SBA is releasing the requested documents;
</p>
<p>(b) Explain why SBA has decided not to give you all or some of the records requested, citing specific FOIA exemptions where applicable and noting the number of pages withheld (except where noting the number of pages withheld would harm an interest protected by an exemption), and explain how to appeal that decision;
</p>
<p>(c) Provide a cost estimate or bill you for the actual fee, less any advance payment you have made. SBA will not provide any records until payment in full is received; and/or
</p>
<p>(d) Advise you that SBA will refer your request for records generated by another Federal agency to that agency for proper processing.
</p>
<p><b>&#167; 102.6 Fees.
</b></p>
<p>(a) <i>In general.</i> SBA will charge fees for processing requests as outlined in this section. Fees must be paid by check or money order made payable to SBA.
</p>
<p>(b) <i>Definitions and applicable fees.</i> For purposes of this section:
</p>
<p>(1) <i>Direct costs</i> means those expenses that SBA actually incurs in searching for and duplicating (and, in the case of commercial use requesters, reviewing) documents in response to an FOIA request. Direct costs include the salary of the employee performing the work and the cost of operating duplication machinery.
</p>
<p>(2) <i>Search</i> means the process of looking for and retrieving records responsive to a request. It includes page-by-page or line-by-line identification of information within records and also includes reasonable efforts to locate and retrieve information from records maintained in electronic form or format. SBA may charge search fees even if they fail to locate records or if records located are determined to be exempt from disclosure. Search fees are $30 per hour.
</p>
<p>(3) <i>Duplication</i> means the making of a copy of a record. Copies can take the form of paper, microfilm, audiovisual materials, or electronic records (for example, magnetic tape or disk), among others. SBA will charge $.10 per page for photocopy duplication and the actual cost for other methods. SBA will honor a requester"s specified preference of form or format of disclosure if the record is readily reproducible with reasonable efforts in the requested form or format by the office responding to the request.
</p>
<p>(4) <i>Review</i> refers to the examination of documents responsive to a request in order to determine whether any portion of it is exempt from disclosure. It includes processing any record for disclosure, e.g., all necessary redaction and preparation for disclosure. It also includes time spent considering any formal objection to disclosure made by a business submitter under &#167; 102.7, but does not include time spent resolving general legal or policy issues regarding the application of exemptions. Review costs are recoverable even if a record is ultimately not disclosed. Only commercial use requesters are assessed review costs. Review costs are $30 per hour.
</p>
<p>(5) <i>A commercial use request</i> refers to a request from or on behalf of a person who seeks information for a use or purpose that furthers his or her commercial, trade or profit interests, which can include furthering those interests through litigation. When it appears the requester will put the requested records to a commercial use, either because of the nature of the request itself or where SBA has reasonable cause to doubt a requester"s stated use, SBA will seek additional clarification. SBA will charge commercial use requesters the full direct costs of searching for, reviewing for release, and duplicating the records sought.
</p>
<p>(6) <i>Educational institution</i> means a state-certified preschool, elementary or secondary school; an accredited college or university; an accredited institution of professional education; or any accredited or state-certified institution of vocational education that operates a program of scholarly research. An educational institution requester must show that the request is authorized by and is made under the auspices of a qualifying institution and that the records are not sought for a commercial use but are sought to further scholarly research. SBA will provide documents to requesters in this category for the cost of reproduction alone, excluding charges for the first 100 pages.
</p>
<p>(7) <i>Noncommercial scientific institution</i> means an institution that is not operated on a commercial basis, and that is operated solely for the purpose of conducting scientific research the results of which are not intended to promote any particular product or industry. A noncommercial scientific institution requester must show that the request is authorized by and is made under the auspices of a qualifying institution and that the records are not sought for a commercial use but are sought to further scientific research. SBA will charge noncommercial scientific institution requesters for the cost of reproduction alone after the first 100 pages.
</p>
<p>(8) <i>A representative of the news media</i> is a requester actively gathering information for one or more news media who:
</p>
<p>(i) Is employed by a news medium or
</p>
<p>(ii) Has a reasonable expectation of selling the information obtained to one or more news media. A news medium is an entity organized and operated to distribute information to the general public. A news medium may provide information by subscription and may target its dissemination to a narrow section of the general public so long as any member of the general public may purchase information from it. A request for records supporting the news dissemination function of the requester shall not be considered to be for commercial use. A news media requester must show that the request is authorized by and is made under the auspices of a qualifying news medium and that the records are not sought for a commercial use but are sought to further the dissemination of information to the general public. SBA will provide documents to representatives of the news media for the cost of reproduction alone, excluding charges for the first 100 pages.
</p>
<p>(9) <i>A member of the general public</i> is a requester who does not fit into any of the categories in paragraphs (b)(1) through (8) of this section. SBA will charge requesters in this category search time after the first two hours and duplication after the first 100 pages.
</p>
<p>(c) <i>Other charges.</i> SBA will recover the full costs of providing special services, such as certifying that records are true copies or sending copies by other than ordinary mail, to the extent that SBA elects to provide them.
</p>
<p>(d) <i>Charging interest.</i> SBA will charge interest on any unpaid bill starting on the 31st day following the date of billing. Interest charges will accrue at the maximum rate allowed under 31 U.S.C. 3717. If still unpaid by the 91st day after the billing date, SBA may notify consumer credit reporting agencies of the delinquency and/or take other appropriate action in accordance with law.
</p>
<p>(e) <i>Fee waivers or reductions.</i> SBA will furnish responsive records without charge or at a reduced charge when a requester can show that disclosure of the information is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government and is not primarily in the commercial interest of the requester.
</p>
<p>(1) You must submit a request for a fee waiver or reduction to the initial processing office.
</p>
<p>(2) On the basis of the information that you provide, the initial processing office will determine whether you meet the fee waiver requirements outlined in this section.
</p>
<p><b>&#167; 102.7 Business information.
</b></p>
<p>(a) <i>In general.</i> Business information provided to SBA from a submitter will only be disclosed in accordance with this section.
</p>
<p>(b) <i>Definitions.</i> For purposes of this section:
</p>
<p>(1) <i>Business information</i> is commercial or financial information obtained by SBA from a submitter that may arguably be protected from disclosure under Exemption 4 of the FOIA.
</p>
<p>(2) <i>Submitter</i> is any person or entity who provides business information, directly or indirectly to SBA.
</p>
<p>(c) <i>Designation of business information.</i> Submitters of business information will use reasonable, good-faith efforts to designate, by appropriate markings, either at the time of submission or at a reasonable time thereafter, any portions of their submissions that they consider to be protected from disclosure under Exemption 4 of the FOIA. Designations will expire ten years after the date of the submission unless the submitter requests, and provides justification for, a longer designation period.
</p>
<p>(d) <i>Notice to submitters.</i> SBA will provide a submitter with written notice of a FOIA request or administrative appeal that seeks its business information whenever SBA intends to release that information. The notice will either describe the business information or include copies of the records in the form SBA proposes to release them. SBA will also advise the requester that the submitter is being given the opportunity to object to any proposed disclosure. When notification of a voluminous number of submitters is required, SBA may post or publish such a notice in a place reasonably likely to accomplish notice.
</p>
<p>(e) <i>Opportunity to object to disclosure.</i> SBA will give the submitter ten working days from the date of the written notice to submit a detailed written statement specifying all grounds upon which disclosure is opposed. A reasonable extension of time may be granted by the correct office upon good cause shown by the submitter. The submitter"s statement must demonstrate why it believes information is a trade secret or commercial or financial information that is privileged or confidential. If a submitter fails to timely respond to the notice, such failure will be deemed a waiver by the submitter of any objection to the disclosure of the information. Information provided by a submitter under this paragraph may itself be subject to disclosure under the FOIA.
</p>
<p>(f) <i>Notice of intent to disclose.</i> SBA will consider a submitter"s objections and specific grounds for nondisclosure in accordance with paragraph (e) of this section in deciding whether to disclose business information. If SBA decides to disclose business information despite the objection of a submitter, SBA will give the submitter written notice, advising the submitter what will be disclosed, and that such disclosure will occur within 10 working days from the date of the notice.
</p>
<p><b>&#167; 102.8 Appeals.
</b></p>
<p>(a) If you are dissatisfied with SBA"s response to your request, you may appeal an adverse determination denying your request, in any respect, to the Chief, FOI/PA Office, 409 Third St., SW., Washington, DC 20416.
</p>
<p>(b) The Chief must receive your signed, written appeal within 60 calendar days of the date of the SBA determination from which you are appealing.
</p>
<p>(c) You should include as much information as possible, <i>i.e.,</i> identifying the records not disclosed, the reason(s) a fee should be waived, or the reason(s) a request should be expedited. You must identify the deciding official and his/her office location.
</p>
<p>(d) The Chief will decide your appeal unless the Chief originally made the determination you are appealing. In that case, the Assistant Administrator for Hearings and Appeals will decide your appeal.
</p>
<p>(e) If SBA upholds the initial adverse determination, SBA will tell you why the decision has been upheld and tell you how to obtain judicial review of the decision.
</p>
<p><b>&#167; 102.9 Public Index.
</b></p>
<p>(a) The Public Index is a document that provides identifying information about official documents that SBA has issued.
</p>
<p>(b) SBA has administratively determined, as permitted by FOIA, that periodic publication and distribution of the Public Index is unnecessary and impracticable.
</p>
<p>(c) The Public Index is an appendix to SBA Standard Operating Procedure 40 03. You can obtain the latest edition of SOP 40 03 from SBA"s Online Reading Room at <i>http://www.sba.gov/library</i> or by requesting it from any SBA office.
</p>
<p><b>&#167; 102.10 What happens if I subpoena records or testimony of employees in connection with a civil lawsuit, criminal proceeding or administrative proceeding to which SBA is not a party?
</b></p>
<p>(a) The person to whom the subpoena is directed must consult with SBA counsel in the relevant SBA office, who will seek approval for compliance from the Associate General Counsel for Litigation. Except where the subpoena requires the testimony of an employee of the Inspector General"s office, or records within the possession of the Inspector General, the Associate General Counsel may delegate the authorization for appropriate production of documents or testimony to local SBA counsel.
</p>
<p>(b) If SBA counsel approves compliance with the subpoena, SBA will comply.
</p>
<p>(c) If SBA counsel disapproves compliance with the subpoena, SBA will not comply, and will base such noncompliance on an appropriate legal basis such as privilege or a statute.
</p>
<p>(d) SBA counsel must provide a copy of any subpoena relating to a criminal matter to SBA"s Inspector General prior to its return date.
</p>
<p>[69 FR 21952, Apr. 23, 2004]</p>
<p><b>Subpart B--Protection of Privacy and Access to Individual Records Under the Privacy Act of 1974
</b></p>
<p><b>Source:</b> 72 FR 17369, Apr. 9, 2007, unless otherwise noted.
</p>
<p><b>&#167; 102.20 General provisions.
</b></p>
<p>(a) <i>Purpose and scope.</i> This subpart implements the provisions of the Privacy Act of 1974, <i>5 U.S.C. 552a</i>. These regulations apply to all records which are contained in systems of records maintained by the U.S. Small Business Administration (SBA) and that are retrieved by an individual"s name or personal identifier. These regulations set forth the procedures by which individuals may request access to records about themselves, request amendment or correction of those records, and request an accounting of disclosures of those records by the SBA. These regulations also set forth the requirements applicable to SBA employees maintaining, collecting, using or disseminating records pertaining to individuals. This subpart applies to SBA and all of its offices and is mandatory for use by all SBA employees.
</p>
<p>(b) <i>Definitions.</i> As used in this subpart:
</p>
<p>(1) <i>Agency</i> means the U.S. Small Business Administration (SBA) and includes all of its offices wherever located;
</p>
<p>(2) <i>Employee</i> means any employee of the SBA, regardless of grade, status, category or place of employment;
</p>
<p>(3) <i>Individual</i> means a citizen of the United States or an alien lawfully admitted for permanent residence. This term shall not encompass entrepreneurial enterprises (e.g. sole proprietors, partnerships, corporations, or other forms of business entities);
</p>
<p>(4) <i>Maintain</i> includes maintain, collect, use, or disseminate;
</p>
<p>(5) <i>Record</i> means any item, collection, or grouping of information about an individual that is maintained by the SBA, including, but not limited to education, financial transactions, medical history, and criminal or employment history and that contains the individual"s name, or an identifying number, symbol, or other identifying particular assigned to the individual such as a finger or voice print or photograph;
</p>
<p>(6) <i>System of records</i> means a group of any records under the control of SBA from which information is retrieved by the name of the individual or by an identifying number, symbol, or other identifying particular assigned to the individual;
</p>
<p>(7) <i>Statistical record</i> means a record in a system of records maintained for statistical research or reporting purposes only and not used in whole or in part in making any determination about an identifiable individual;
</p>
<p>(8) <i>Routine use</i> means, with respect to the disclosure of a record, the use of such record for a purpose which is compatible with the purpose for which it was collected;
</p>
<p>(9) <i>Request for access</i> to a record means a request made under Privacy Act subsection (d)(1) allowing an individual to gain access to his or her record or to any information pertaining to him or her which is contained in a system of records;
</p>
<p>(10) <i>Request for amendment or correction</i> of a record means a request made under Privacy Act subsection (d)(2), permitting an individual to request amendment or correction of a record that he or she believes is not accurate, relevant, timely, or complete;
</p>
<p>(11) <i>Request for an accounting</i> means a request made under Privacy Act subsection (c)(3) allowing an individual to request an accounting of any disclosure to any SBA officers and employees who have a need for the record in the performance of their duties;
</p>
<p>(12) <i>Requester</i> is an individual who makes a request for access, a request for amendment or correction, or a request for an accounting under the Privacy Act; and
</p>
<p>(13) <i>Authority to request records for a law enforcement purpose</i> means that the head of an Agency or a United States Attorney, or either"s designee, is authorized to make written requests under subsection (b)(7) of the Privacy Act for records maintained by other agencies that are necessary to carry out an authorized law enforcement activity.
</p>
<p><b>&#167; 102.21 Agency employees responsible for the Privacy Act of 1974.
</b></p>
<p>(a) <i>Program/Support Office Head</i> is the SBA employee in each field office and major program and support area responsible for implementing and overseeing this regulation in that office.
</p>
<p>(b) <i>Privacy Act Systems Manager</i> (PASM) is the designated SBA employee in each office responsible for the development and management of any Privacy Act systems of records in that office.
</p>
<p>(c) <i>Senior Agency Official for Privacy</i> is SBA"s Chief Information Officer (CIO) who has overall responsibility and accountability for ensuring the SBA"s implementation of information privacy protections, including the SBA"s full compliance with Federal laws, regulations, and policies relating to information privacy such as the Privacy Act and the E-Government Act of 2002.
</p>
<p>(d) <i>Chief, Freedom of Information/Privacy Acts (FOI/PA) Office</i> oversees and implements the record access, amendment, and correction provisions of the Privacy Act.
</p>
<p><b>&#167; 102.22 Requirements relating to systems of records.
</b></p>
<p>(a) <i>In general.</i> Each SBA office shall, in accordance with the Privacy Act:
</p>
<p>(1) Maintain in its records only such information about an individual as is relevant and necessary to accomplish a purpose of the Agency required to be accomplished by a statute or by Executive Order of the President;
</p>
<p>(2) Collect information to the greatest extent practicable directly from the subject individual when the information may affect an individual"s rights, benefits, and privileges under Federal programs;
</p>
<p>(b) <i>Requests for information from individuals.</i> If a form is being used to collect information from individuals, either the form used to collect the information, or a separate form that can be retained by the individual, must state the following:
</p>
<p>(1) The authority (whether granted by statute, or by Executive Order of the President) which authorizes the solicitation of the information and whether disclosure of such information is mandatory or voluntary;
</p>
<p>(2) The principal purpose or purposes for which the information is intended to be used;
</p>
<p>(3) The routine uses which may be made of the information; and
</p>
<p>(4) The effects on such individual, if any, of not providing all or any part of the requested information.
</p>
<p>(c) <i>Report on new systems.</i> Each SBA office shall provide adequate advance notice to Congress and OMB through the FOI/PA Office of any proposal to establish or alter any system of records in order to permit an evaluation of the probable or potential effect of such proposal on the privacy and other personal or property rights of individuals or the disclosure of information relating to such individuals.
</p>
<p>(d) <i>Accurate and secure maintenance of records.</i> Each SBA office shall:
</p>
<p>(1) Maintain all records which are used in making any determination about any individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the determination;
</p>
<p>(2) Prior to disseminating any record from a system of records about an individual to any requestor, including an agency, make reasonable efforts to assure that such records are accurate, complete, timely, and relevant for SBA purposes; and
</p>
<p>(3) Establish appropriate administrative, technical, and physical safeguards to insure the security and confidentiality of records and to protect against any anticipated threats or hazards to their security or integrity which could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual on whom information is maintained.
</p>
<p>(i) PASMs, with the approval of the head of their offices, shall establish administrative and physical controls, consistent with SBA regulations, to insure the protection of records systems from unauthorized access or disclosure and from physical damage or destruction. The controls instituted shall be proportional to the degree of sensitivity of the records but at a minimum must ensure that records other than those available to the general public under the FOIA, are protected from public view, that the area in which the records are stored is supervised during all business hours and physically secured during non-business hours to prevent unauthorized personnel from obtaining access to the records.
</p>
<p>(ii) PASMs, with the approval of the head of their offices, shall adopt access restrictions to insure that only those individuals within the agency who have a need to have access to the records for the performance of their duties have access to them. Procedures shall also be adopted to prevent accidental access to, or dissemination of, records.
</p>
<p>(e) <i>Prohibition against maintenance of records concerning First Amendment rights.</i> No SBA office shall maintain a record describing how any individual exercises rights guaranteed by the First Amendment (e.g. speech), unless the maintenance of such record is:
</p>
<p>(1) Expressly authorized by statute, or
</p>
<p>(2) Expressly authorized by the individual about whom the record is maintained, or
</p>
<p>(3) Pertinent to and within the scope of an authorized law enforcement activity.
</p>
<p><b>&#167; 102.23 Publication in the Federal Register--Notices of systems of records.
</b></p>
<p>(a) <i>Notices of systems of records to be published in the</i> <i>Federal Register.</i> (1) The SBA shall publish in the <i>Federal Register</i> upon establishment or revision a notice of the existence and character of any new or revised systems of records. Unless otherwise instructed, each notice shall include:
</p>
<p>(i) The name and location of the system;
</p>
<p>(ii) The categories of individuals on who records are maintained in the system;
</p>
<p>(iii) The categories of records maintained in the system;
</p>
<p>(iv) Each routine use of the records contained in the system, including the categories of users and the purpose of such use;
</p>
<p>(v) The policies and practices of the office regarding storage, retrievability, access controls, retention, and disposal of the records;
</p>
<p>(vi) The title and business address of the SBA official who is responsible for the system of records;
</p>
<p>(vii) A statement that SBA procedures allow an individual, at his or her request, to determine whether a system of records contains a record pertaining to him or her, to review such records and to contest or amend such records, located in sections 102.25 through 102.29 of these regulations.
</p>
<p>(viii) A statement that such requests may be directed to the SBA"s FOI/PA Office, 409 3rd St., SW., Washington, DC 20416 or faxed to 202-205-7059; and
</p>
<p>(ix) The categories of sources of records in the system.
</p>
<p>(2) Minor changes to systems of records shall be published annually.
</p>
<p>(b) <i>Notice of new or modified routine uses to be published in the</i> <i>Federal Register.</i> At least 30 days prior to disclosing records pursuant to a new use or modification of a routine use, as published under paragraph (a)(1)(iv) of this section, each SBA office shall publish in the <i>Federal Register</i> notice of such new or modified use of the information in the system and provide an opportunity for any individual or persons to submit written comments.
</p>
<p><b>&#167; 102.24 Requests for access to records.
</b></p>
<p>(a) <i>How made and addressed.</i> An individual, or his or her legal guardian, may make a request for access to an SBA record about himself or herself by appearing in person or by writing directly to the SBA office that maintains the record or to the FOI/PA Office by mail to 409 3rd St., SW., Washington, DC 20416 or fax to 202-205-7059. A request received by the FOI/PA Office will be forwarded to the appropriate SBA Office where the records are located.
</p>
<p>(b) <i>Description of records sought.</i> A request for access to records must describe the records sought in sufficient detail to enable SBA personnel to locate the system of records containing them with a reasonable amount of effort. A request should also state the date of the record or time period in which the record was compiled, and the name or identifying number of each system of records in which the requester believes the record is kept. The SBA publishes notices in the <i>Federal Register</i> that describe its systems of records. A description of the SBA"s systems of records also may be found at <i>http://www.sba.gov/foia/systemrecords.doc.</i>
</p>
<p>(c) <i>Verification of identity.</i> Any individual who submits a request for access to records must verify his or her identity. No specific form is required; however, the requester must state his or her full name, current address, and date and place of birth. The request must be signed and the requester"s signature must either be notarized or submitted under 28 U.S.C. 1746. This law permits statements to be made under penalty of perjury as a substitute for notarization, the language states:
</p>
<p>(1) If executed outside the United States: "I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on (date). Signature"; or
</p>
<p>(2) If executed within the Untied States, its territories, possessions or commonwealths: "I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on (date). Signature".
</p>
<p>(d) <i>Verification of guardianship.</i> When making a request as a legal agent or the parent or guardian of a minor or as the guardian of someone determined by a court to be incompetent, for access to records about that individual, the requester must establish:
</p>
<p>(1) The identity of the individual who is the subject of the record, by stating the name, current address, date and place of birth, and, at the requester"s option, the social security number of the individual;
</p>
<p>(2) The requester"s own identity, as required in paragraph (c) of this section;
</p>
<p>(3) That the requester is the legal agent or parent or guardian of that individual, which may be proven by providing a copy of the individual"s birth certificate showing his parentage or by providing a court order establishing guardianship; and
</p>
<p>(4) That the requester is acting on behalf of that individual in making the request.
</p>
<p><b>&#167; 102.25 Responsibility for responding to requests for access to records.
</b></p>
<p>(a) <i>In general.</i> Except as stated in paragraphs (c), (d), and (e) of this section and in &#167; 102.24(a), the office that first receives a request for access to a record, and has possession of that record, is the office responsible for responding to the request. That office shall acknowledge receipt of the request not later than 10 days (excluding Saturdays, Sundays, and legal public holidays) after the date of receipt of the request in writing. In determining which records are responsive to a request, an office ordinarily shall include only those records in its possession as of the date the office begins its search for them. If any other date is used, the office shall inform the requester of that date.
</p>
<p>(b) <i>Authority to grant or deny requests.</i> The Program/Support Office Head, or designee, is authorized to grant or deny any request for access to a record of that office.
</p>
<p>(c) <i>Consultations and referrals.</i> When an office receives a request for access to a record in its possession, it shall determine whether another office, or another agency of the Federal Government, is better able to determine whether the record is exempt from access under the Privacy Act. If the receiving office determines that it is best able to process the record in response to the request, then it shall do so. If the receiving office determines that it is not best able to process the record, then it shall either:
</p>
<p>(1) Respond to the request regarding that record, after consulting with the office or agency best able to determine whether the record is exempt from access and with any other office or agency that has a substantial interest in it; or
</p>
<p>(2) Refer the responsibility for responding to the request to the office best able to determine whether the record is exempt from access or to another agency that originated the record (but only if that agency is subject to the Privacy Act). Ordinarily the office or agency that originated a record will be presumed to be best able to determine whether it is exempt from access.
</p>
<p>(d) <i>Law enforcement information.</i> Whenever a request is made for access to a record containing information that relates to an investigation of a possible violation of law and that was originated by SBA"s Office of the Inspector General (OIG) or another agency, the receiving office shall refer the responsibility for responding to the request regarding that information to either SBA"s OIG or the other agency "depending on where the investigation originated."
</p>
<p>(e) <i>Classified information.</i> Whenever a request is made for access to a record containing information that has been classified by or may be appropriate for classification by another office or agency under Executive Order 12958 or any other executive order concerning the classification of records, the receiving office shall refer the responsibility for responding to the request regarding that information to the office or agency that classified the information, should consider the information for classification, or has the primary interest in it, as appropriate. Whenever a record contains information that has been derivatively classified by an office because it contains information classified by another office or agency, the office shall refer the responsibility for responding to the request regarding that information to the office or agency that classified the underlying information. Information determined to no longer require classification shall not be withheld from a requester on the basis of Exemption (k)(1) of the Privacy Act.
</p>
<p>(f) <i>Notice of referral.</i> Whenever an office refers all or any part of the responsibility for responding to a request to another office or agency, it shall notify the requester of the referral and inform the requester of the name of each office or agency to which the request has been referred and of the part of the request that has been referred.
</p>
<p>(g) <i>Responses to consultations and referrals.</i> All consultations and referrals shall be processed according to the date the access request was initially received by the first office or agency, not any later date.
</p>
<p>(h) <i>Agreements regarding consultations and referrals.</i> Offices may make agreements with other offices or agencies to eliminate the need for consultations or referrals for particular types of records.
</p>
<p><b>&#167; 102.26 Responses to requests for access to records.
</b></p>
<p>(a) <i>Acknowledgements of requests.</i> On receipt of a request, an office shall send an acknowledgement letter to the requester.
</p>
<p>(b) <i>Grants of requests for access.</i> Once an office makes a determination to grant a request for access in whole or in part, it shall notify the requester in writing. The Program/Support Office Head or designee shall inform the requester in the notice of any fee charged under &#167; 102.31 and shall disclose records to the requester promptly on payment of any applicable fee. If a request is made in person, the office may disclose records to the requester directly, in a manner not unreasonably disruptive of its operations, on payment of any applicable fee and with a written record made of the grant of the request. If a requester is accompanied by another person, he or she shall be required to authorize in writing any discussion of the records in the presence of the other person.
</p>
<p>(c) <i>Adverse determinations of requests for access.</i> A Program/Support Office Head or designee making an adverse determination denying a request for access in any respect shall notify the requester of that determination in writing. Adverse determinations, or denials of requests, consist of: a determination to withhold any requested record in whole or in part; a determination that a requested record does not exist or cannot be located; a determination that the requested information is not a record subject to the Privacy Act; a determination on any disputed fee matter; and a denial of a request for expedited treatment. The notification letter shall be signed by the Program/Support Office Head or designee, and shall include:
</p>
<p>(1) The name and title or position of the person responsible for the denial;
</p>
<p>(2) A brief statement of the reason(s) for the denial, including any FOIA or Privacy Act exemption(s) applied in denying the request; and
</p>
<p>(3) A statement that the denial may be appealed under &#167; 102.27(a) and a description of the requirements of &#167; 102.27(a).
</p>
<p><b>&#167; 102.27 Appeals from denials of requests for access to records.
</b></p>
<p>(a) <i>Appeals.</i> If the requester is dissatisfied with an office"s response to his or her request for access to records, the requester may make a written appeal of the adverse determination denying the request in any respect to the SBA"s FOI/PA Office, 409 3rd St., SW., Washington, DC 20416. The appeal must be received by the FOI/PA Office within 60 days of the date of the letter denying the request. The requester"s appeal letter should include as much information as possible, including the identity of the office whose adverse determination is being appealed. Unless otherwise directed, the Chief, FOI/PA will decide all appeals under this subpart.
</p>
<p>(b) <i>Responses to appeals.</i> The decision on a requester"s appeal will be made in writing not later than 30 days (excluding Saturdays, Sundays, and legal public holidays) after the date of receipt of such appeal. A decision affirming an adverse determination in whole or in part will include a brief statement of the reason(s) for the affirmation, including any Privacy Act exemption applied, and will inform the requester of the Privacy Act provisions for court review of the decision. If the adverse determination is reversed or modified on appeal in whole or in part, the requester will be notified in a written decision and his request will be reprocessed in accordance with that appeal decision.
</p>
<p>(c) <i>Judicial review.</i> In order to seek judicial review by a court of any adverse determination or denial of a request, a requester must first appeal it to the FOI/PA Office under this section.
</p>
<p><b>&#167; 102.28 Requests for amendment or correction of records.
</b></p>
<p>(a) <i>How made and addressed.</i> Unless the record is not subject to amendment or correction as stated in paragraph (f) of this section, an individual may make a request for amendment or correction of an SBA record about himself or herself by writing directly to the office that maintains the record, following the procedures in &#167; 102.24. The request should identify each particular record in question, state the amendment or correction sought, and state why the record is not accurate, relevant, timely, or complete. The requester may submit any documentation that he or she thinks would be helpful. If the requester believes that the same record is in more than one system of records, that should be stated and the request should be sent to each office that maintains a system of records containing the record.
</p>
<p>(b) <i>Office responses.</i> Within ten (10) days (excluding Saturdays, Sundays, and legal public holidays) of receiving a request for amendment or correction of records, an office shall send the requester a written acknowledgment of receipt, and the office shall notify the requester within 30 days (excluding Saturdays, Sundays, and legal public holidays) of receipt of the request whether it is granted or denied. If the Program/Support Office Head or designee grants the request in whole or in part, the amendment or correction must be made, and the requester advised of his or her right to obtain a copy of the corrected or amended record. If the office denies a request in whole or in part, it shall send the requester a letter signed by the Program/Support Office Head or designee that shall state:
</p>
<p>(1) The reason(s) for the denial; and
</p>
<p>(2) The procedure for appeal of the denial under paragraph (c) of this section, including the name and business address of the official who will act on your appeal.
</p>
<p>(c) <i>Appeals.</i> An individual may appeal a denial of a request for amendment or correction to the FOI/PA Office in the same manner as a denial of a request for access to records (see &#167; 102.27), and the same procedures shall be followed. If the appeal is denied, the requester shall be advised of his or her right to file a Statement of Disagreement as described in paragraph (d) of this section and of his or her right under the Privacy Act for court review of the decision.
</p>
<p>(d) <i>Statement of Disagreement.</i> If an appeal under this section is denied in whole or in part, the requester has the right to file a Statement of Disagreement that states the reason(s) for disagreeing with the SBA"s denial of his or her request for amendment or correction. A Statement of Disagreement must be concise, must clearly identify each part of any record that is disputed, and should be no longer than one typed page for each fact disputed. An individual"s Statement of Disagreement must be sent to the office that maintains the record involved, which shall place it in the system of records in which the disputed record is maintained and shall mark the disputed record to indicate that a Statement of Disagreement has been filed and where in the system of records it may be found.
</p>
<p>(e) <i>Notification of amendment/correction or disagreement.</i> Within 30 days (excluding Saturdays, Sundays, and legal public holidays) of the amendment or correction of a record, the office that maintains the record shall notify all persons, organizations, or agencies to which it previously disclosed the record, if an accounting of that disclosure was made, that the record has been amended or corrected. If an individual has filed a Statement of Disagreement, the office shall append a copy of it to the disputed record whenever the record is disclosed and may also append a concise statement of its reason(s) for denying the request to amend or correct the record.
</p>
<p>(f) <i>Records not subject to amendment or correction.</i> The following records are not subject to amendment or correction:
</p>
<p>(1) Transcripts of testimony given under oath or written statements made under oath;
</p>
<p>(2) Transcripts of grand jury proceedings, judicial proceedings, or quasi-judicial proceedings, which are the official record of those proceedings;
</p>
<p>(3) Pre-sentence records that originated with the courts; and
</p>
<p>(4) Records in systems of records that have been exempted from amendment and correction under Privacy Act, 5 U.S.C. 552a (j) or (<i>k</i>) by notice published in the <i>Federal Register</i>.
</p>
<p><b>&#167; 102.29 Requests for an accounting of record disclosures.
</b></p>
<p>(a) <i>How made and addressed.</i> Except where accountings of disclosures are not required to be kept (as stated in paragraph (b) of this section), an individual may make a request for an accounting of any disclosure that has been made by the SBA to another person, organization, or agency of any record in a system of records about him or her. This accounting contains the date, nature, and purpose of each disclosure, as well as the name and address of the person, organization, or agency to which the disclosure was made. The request for an accounting should identify each particular record in question and should be made by writing directly to the SBA office that maintains the record, following the procedures in &#167; 102.24.
</p>
<p>(b) <i>Where accountings are not required.</i> Offices are not required to provide accountings where they relate to:
</p>
<p>(1) Disclosures for which accountings are not required to be kept; disclosures that are made to employees within the SBA and disclosures that are made under the FOIA;
</p>
<p>(2) Disclosures made to law enforcement agencies for authorized law enforcement activities in response to written requests from those law enforcement agencies specifying the civil or criminal law enforcement activities for which the disclosures are sought; or
</p>
<p>(3) Disclosures made from law enforcement systems of records that have been exempted from accounting requirements under Privacy Act, 5 U.S.C. 552a(j) or (k) by notice published in the <i>Federal Register</i>.
</p>
<p>(c) <i>Appeals.</i> An individual may appeal a denial of a request for an accounting to the FOI/PA Office in the same manner as a denial of a request for access to records (see &#167; 102.27), and the same procedures will be followed.
</p>
<p><b>&#167; 102.30 Preservation of records.
</b></p>
<p>Each office will preserve all correspondence pertaining to the requests that it receives under this subpart, as well as copies of all requested records, until disposition or destruction is authorized by title 44 of the United States Code or the National Archives and Records Administration"s General Records Schedule 14. Records will not be disposed of while they are the subject of a pending request, appeal, or lawsuit under the Privacy Act.
</p>
<p><b>&#167; 102.31 Fees.
</b></p>
<p>SBA offices shall charge fees for duplication of records under the Privacy Act in the same way in which they charge duplication fees under &#167; 102.6(b)(3). No search or review fee may be charged for any record unless the record has been exempted from access under Exemptions (j)(2) or (k)(2) of the Privacy Act. SBA will waive fees under $25.00.
</p>
<p><b>&#167; 102.32 Notice of court-ordered and emergency disclosures.
</b></p>
<p>(a) <i>Court-ordered disclosures.</i> When a record pertaining to an individual is required to be disclosed by order of a court of competent jurisdiction, the office that maintains the record shall make reasonable efforts to provide notice of this to the individual. Notice shall be given within a reasonable time after the office"s receipt of the order, except that in a case in which the order is not a matter of public record, the notice shall be given only after the order becomes public. This notice shall be mailed to the individual"s last known address and shall contain a copy of the order and a description of the information disclosed. Notice shall not be given if disclosure is made from a criminal law enforcement system of records that has been exempted from the notice requirement.
</p>
<p>(b) <i>Emergency disclosures.</i> Upon disclosing a record pertaining to an individual made under compelling circumstances affecting health or safety, the office shall notify that individual of the disclosure. This notice shall be mailed to the individual"s last known address and shall state the nature of the information disclosed; the person, organization, or agency to which it was disclosed; the date of disclosure; and the compelling circumstances justifying the disclosure.
</p>
<p><b>&#167; 102.33 Security of systems of records.
</b></p>
<p>(a) Each Program/Support Office Head or designee shall establish administrative and physical controls to prevent unauthorized access to its systems of records, to prevent unauthorized disclosure of records, and to prevent physical damage to or destruction of records. The stringency of these controls shall correspond to the sensitivity of the records that the controls protect. At a minimum, each office"s administrative and physical controls shall ensure that:
</p>
<p>(1) Records are protected from public view;
</p>
<p>(2) The area in which records are kept is supervised during business hours to prevent unauthorized persons from having access to them;
</p>
<p>(3) Records are inaccessible to unauthorized persons outside of business hours; and
</p>
<p>(4) Records are not disclosed to unauthorized persons or under unauthorized circumstances in either oral or written form.
</p>
<p>(b) Each Program/Support Office Head or designee shall establish procedures that restrict access to records to only those individuals within the SBA who must have access to those records in order to perform their duties and that prevent inadvertent disclosure of records.
</p>
<p>(c) The OCIO shall provide SBA offices with guidance and assistance for privacy and security of electronic systems and compliance with pertinent laws and requirements.
</p>
<p><b>&#167; 102.34 Contracts for the operation of record systems.
</b></p>
<p>When SBA contracts for the operation or maintenance of a system of records or a portion of a system of records by a contractor, the record system or the portion of the record affected, are considered to be maintained by the SBA, and subject to this subpart. The SBA is responsible for applying the requirements of this subpart to the contractor. The contractor and its employees are to be considered employees of the SBA for purposes of the sanction provisions of the Privacy Act during performance of the contract.
</p>
<p><b>&#167; 102.35 Use and collection of Social Security Numbers.
</b></p>
<p>Each Program/Support Office Head or designee shall ensure that collection and use of SSN is performed only when the functionality of the system is dependant on use of the SSN as an identifier. Employees authorized to collect information must be aware:
</p>
<p>(a) That individuals may not be denied any right, benefit, or privilege as a result of refusing to provide their social security numbers, unless:
</p>
<p>(1) The collection is authorized either by a statute; or
</p>
<p>(2) The social security numbers are required under statute or regulation adopted prior to 1975 to verify the identity of an individual; and
</p>
<p>(b) That individuals requested to provide their social security numbers must be informed of:
</p>
<p>(1) Whether providing social security numbers is mandatory or voluntary;
</p>
<p>(2) Any statutory or regulatory authority that authorizes the collection of social security numbers; and
</p>
<p>(3) The uses that will be made of the numbers.
</p>
<p><b>&#167; 102.36 Privacy Act standards of conduct.
</b></p>
<p>Each Program/Support Office Head or designee shall inform its employees of the provisions of the Privacy Act, including its civil liability and criminal penalty provisions. Unless otherwise permitted by law, an employee of the SBA shall:
</p>
<p>(a) Collect from individuals only the information that is relevant and necessary to discharge the responsibilities of the SBA;
</p>
<p>(b) Collect information about an individual directly from that individual whenever practicable;
</p>
<p>(c) Inform each individual from whom information is collected of:
</p>
<p>(1) The legal authority to collect the information and whether providing it is mandatory or voluntary;
</p>
<p>(2) The principal purpose for which the SBA intends to use the information;
</p>
<p>(3) The routine uses the SBA may make of the information; and
</p>
<p>(4) The effects on the individual, if any, of not providing the information;
</p>
<p>(d) Ensure that the office maintains no system of records without public notice and that it notifies appropriate SBA officials of the existence or development of any system of records that is not the subject of a current or planned public notice;
</p>
<p>(e) Maintain all records that are used by the SBA in making any determination about an individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to ensure fairness to the individual in the determination;
</p>
<p>(f) Except as to disclosures made to an agency or made under the FOIA, make reasonable efforts, prior to disseminating any record about an individual, to ensure that the record is accurate, relevant, timely, and complete;
</p>
<p>(g) Maintain no record describing how an individual exercises his or her First Amendment rights, unless it is expressly authorized by statute or by the individual about whom the record is maintained, or is pertinent to and within the scope of an authorized law enforcement activity;
</p>
<p>(h) When required by the Privacy Act, maintain an accounting in the specified form of all disclosures of records by the SBA to persons, organizations, or agencies;
</p>
<p>(i) Maintain and use records with care to prevent the unauthorized or inadvertent disclosure of a record to anyone; and
</p>
<p>(j) Notify the appropriate SBA official of any record that contains information that the Privacy Act does not permit the SBA to maintain.
</p>
<p><b>&#167; 102.37 Training requirements.
</b></p>
<p>All employees should attend privacy training within one year of employment with SBA. All employees with Privacy Act responsibilities must attend Privacy Act training, whenever needed, that is offered by the SBA.
</p>
<p><b>&#167; 102.38 Other rights and services.
</b></p>
<p>Nothing in this subpart shall be construed to entitle any person, as a right, to any service or to the disclosure of any record to which such person is not entitled under the Privacy Act.
</p>
<p><b>&#167; 102.39 SBA"s exempt Privacy Act systems of records.
</b></p>
<p>(a) Systems of records subject to investigatory material exemption under 5 U.S.C. 552a(k)(2), or 5 U.S.C. 552a(k)(5) or both:
</p>
<p>(1) Office of Inspector General Records Other Than Investigation Records--SBA 4, contains records pertaining to audits, evaluations, and other non-audit services performed by the OIG;
</p>
<p>(2) Equal Employment Opportunity Complaint Cases--SBA 13, contains complaint files, Equal Employment Opportunity counselor"s reports, investigation materials, notes, reports, and recommendations;
</p>
<p>(3) Investigative Files--SBA 16, contains records gathered by the OIG in the investigation of allegations that are within the jurisdiction of the OIG;
</p>
<p>(4) Investigations Division Management Information System--SBA 17, contains records gathered or created during preparation for, conduct of, and follow-up on investigations conducted by the OIG, the Federal Bureau of Investigation (FBI), and other Federal, State, local, or foreign regulatory or law enforcement agency;
</p>
<p>(5) Litigation and Claims Files--SBA 19, contains records relating to recipients classified as "in litigation" and all individuals involved in claims by or against the Agency;
</p>
<p>(6) Personnel Security Files--SBA 24, contains records on active and inactive personnel security files, employee or former employee"s name, background information, personnel actions, OPM, and/or authorized contracting firm background investigations;
</p>
<p>(7) Security and Investigations Files--SBA 27, contains records gathered or created during preparation for, conduct of, and follow-up on investigations conducted by OIG, the FBI, and other Federal, State, local, or foreign regulatory or law enforcement agencies as well as other material submitted to or gathered by OIG in furtherance of its investigative function; and
</p>
<p>(8) Standards of Conduct Files--SBA 29, contains records on confidential employment and financial statements of employees Grade 13 and above.
</p>
<p>(b) These systems of records are exempt from the following provisions of the Privacy Act and all regulations in this part promulgated under these provisions:
</p>
<p>(1) 552a(c)(3) (Accounting of Certain Disclosures);
</p>
<p>(2) 552a(d) (Access to Records);
</p>
<p>(3) 552a(e)(1), 4G, H, and I (Agency Requirements); and
</p>
<p>(4) 552a(f) (Agency Rules).
</p>
<p>(c) The systems of records described in paragraph (a) of this section are exempt from the provisions of the Privacy Act described in paragraph (b) of this section in order to:
</p>
<p>(1) Prevent the subject of investigations from frustrating the investigatory process;
</p>
<p>(2) Protect investigatory material compiled for law enforcement purposes;
</p>
<p>(3) Fulfill commitments made to protect the confidentiality of sources and to maintain access to necessary sources of information; or
</p>
<p>(4) Prevent interference with law enforcement proceedings.
</p>
<p>(d) In addition to the foregoing exemptions in paragraphs (a) through (c) of this section, the systems of records described in paragraph (a) of this section numbered SBA 4, 16, 17, 24, and 27 are exempt from the Privacy Act except for subsections (b), (c)(1) and (2), (e)(4)(A) through F, (e)(6), (7), (9), (10) and (11) and (i) to the extent that they contain:
</p>
<p>(1) Information compiled to identify individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status;
</p>
<p>(2) Information, including reports of informants and investigators, associated with an identifiable individual compiled to investigate criminal activity; or
</p>
<p>(3) Reports compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision associated with an identifiable individual.
</p>
<p>(e) The systems of records described in paragraph (d) of this section are exempt from the Privacy Act to the extent described in that paragraph because they are records maintained by the Investigations Division of the OIG, which is a component of SBA which performs as its principal function activities pertaining to the enforcement of criminal laws within the meaning of 5 U.S.C. 552a(j)(2). They are exempt in order to:
</p>
<p>(1) Prevent the subjects of OIG investigations from using the Privacy Act to frustrate the investigative process;
</p>
<p>(2) Protect the identity of Federal employees who furnish a complaint or information to the OIG, consistent with section 7(b) of the Inspector General Act of 1978, 5 U.S.C. app. 3;
</p>
<p>(3) Protect the confidentiality of other sources of information;
</p>
<p>(4) Avoid endangering confidential sources and law enforcement personnel;
</p>
<p>(5) Prevent interference with law enforcement proceedings;
</p>
<p>(6) Assure access to sources of confidential information, including that contained in Federal, State, and local criminal law enforcement information systems;
</p>
<p>(7) Prevent the disclosure of investigative techniques; or
</p>
<p>(8) Prevent the disclosure of classified information.
</p>
<p><b>&#167; 102.40 Computer matching.
</b></p>
<p>The OCIO will enforce the computer matching provisions of the Privacy Act. The FOI/PA Office will review and concur on all computer matching agreements prior to their activation and/or renewal.
</p>
<p>(a) <i>Matching agreements.</i> SBA will comply with the Computer Matching and Privacy Protection Act of 1988 (5 U.S.C. 552a(o), 552a notes) . The Privacy Protection Act establishes procedures Federal agencies must use if they want to match their computer lists. SBA shall not disclose any record which is contained in a system of records to a recipient agency or non-Federal agency for use in a computer matching program except pursuant to a written agreement between SBA and the recipient agency or non-Federal agency specifying:
</p>
<p>(1) The purpose and legal authority for conducting the program;
</p>
<p>(2) The justification for the purpose and the anticipated results, including a specific estimate of any savings;
</p>
<p>(3) A description of the records that will be matched, including each data element that will be used, the approximate number of records that will be matched, and the projected starting and completion dates of the matching program;
</p>
<p>(4) Procedures for providing individualized notice at the time of application, and periodically thereafter as directed by the Data Integrity Board, that any information provided by any of the above may be subject to verification through matching programs to:
</p>
<p>(i) Applicants for and recipients of financial assistance or payments under Federal benefit programs, and
</p>
<p>(ii) Applicants for and holders of positions as Federal personnel.
</p>
<p>(5) Procedures for verifying information produced in such matching program as required by paragraph (c) of this section.
</p>
<p>(6) Procedures for the retention and timely destruction of identifiable records created by a recipient agency or non-Federal agency in such matching program;
</p>
<p>(7) Procedures for ensuring the administrative, technical, and physical security of the records matched and the results of such programs;
</p>
<p>(8) Prohibitions on duplication and redisclosure of records provided by SBA within or outside the recipient agency or non-Federal agency, except where required by law or essential to the conduct of the matching program;
</p>
<p>(9) Procedures governing the use by a recipient agency or non-Federal agency of records provided in a matching program by SBA, including procedures governing return of the records to SBA or destruction of records used in such programs;
</p>
<p>(10) Information on assessments that have been made on the accuracy of the records that will be used in such matching programs; and
</p>
<p>(11) That the Comptroller General may have access to all records of a recipient agency or non-Federal agency that the Comptroller General deems necessary in order to monitor or verify compliance with the agreement.
</p>
<p>(b) <i>Agreement specifications.</i> A copy of each agreement entered into pursuant to paragraph (a) of this section shall be transmitted to OMB, the Committee on Governmental Affairs of the Senate and the Committee on Governmental Operations of the House of Representatives and be available upon request to the public.
</p>
<p>(1) No such agreement shall be effective until 30 days after the date on which a copy is transmitted.
</p>
<p>(2) Such an agreement shall remain in effect only for such period, not to exceed 18 months, as the Data Integrity Board determines is appropriate in light of the purposes, and length of time necessary for the conduct, of the matching program.
</p>
<p>(3) Within three (3) months prior to the expiration of such an agreement, the Data Integrity Board may without additional review, renew the matching agreement for a current, ongoing matching program for not more than one additional year if:
</p>
<p>(i) Such program will be conducted without any change; and
</p>
<p>(ii) Each party to the agreement certifies to the Board in writing that the program has been conducted in compliance with the agreement.
</p>
<p>(c) <i>Verification.</i> In order to protect any individual whose records are used in matching programs, SBA and any recipient agency or non-Federal agency may not suspend, terminate, reduce, or make a final denial of any financial assistance or payment under the Federal benefit program to such individual, or take other adverse action against such individual as a result of information produced by such matching programs until such information has been independently verified.
</p>
<p>(1) Independent verification requires independent investigation and confirmation of any information used as a basis for an adverse action against an individual including, where applicable:
</p>
<p>(i) The amount of the asset or income involved,
</p>
<p>(ii) Whether such individual actually has or had access to such asset or income or such individual"s own use, and
</p>
<p>(iii) The period or periods when the individual actually had such asset or income.
</p>
<p>(2) SBA and any recipient agency or non-Federal agency may not suspend, terminate, reduce, or make a final denial of any financial assistance or payment under a Federal benefit program, or take other adverse action as a result of information produced by a matching program,
</p>
<p>(i) Unless such individual has received notice from such agency containing a statement of its findings and information of the opportunity to contest such findings, and
</p>
<p>(ii) Until the subsequent expiration of any notice period provided by the program"s governing statute or regulations, or 30 days. Such opportunity to contest may be satisfied by notice, hearing, and appeal rights governing such Federal benefit program. The exercise of any such rights shall not affect rights available under the Privacy Act.
</p>
<p>(3) SBA may take any appropriate action otherwise prohibited by the above if SBA determines that the public health or safety may be adversely affected or significantly threatened during the notice period required by paragraph (c)(2)(ii) of this section.
</p>
<p>(d) <i>Sanctions.</i> Notwithstanding any other provision of law, SBA may not disclose any record which is contained in a system of records to a recipient agency or non-Federal agency for a matching program if SBA has reason to believe that the requirements of paragraph (c) of this section, or any matching agreement entered into pursuant to paragraph (b) of this section or both, are not being met by such recipient agency.
</p>
<p>(1) SBA shall not renew a matching agreement unless,
</p>
<p>(i) The recipient agency or non-Federal agency has certified that it has complied with the provisions of that agreement; and
</p>
<p>(ii) SBA has no reason to believe that the certification is inaccurate.
</p>
<p>(e) Review annually each ongoing matching program in which the Agency has participated during the year, either as a source or as a matching agency in order to assure that the requirements of the Privacy Act, OMB guidance, and any Agency regulations and standard operating procedures, operating instructions, or guidelines have been met.
</p>
<p>(f) <i>Data Integrity Board.</i> SBA shall establish a Data Integrity Board (Board) to oversee and coordinate the implementation of the matching program. The Board shall consist of the senior officials designated by the Administrator, to include the Inspector General (who shall not serve as chairman), and the Senior Agency Official for Privacy. The Board shall:
</p>
<p>(1) Review, approve and maintain all written agreements for receipt or disclosure of Agency records for matching programs to ensure compliance with paragraph (a) of this section and with all relevant statutes, regulations, and guidance;
</p>
<p>(2) Review all matching programs in which SBA has participated during the year, determine compliance with applicable laws, regulations, guidelines, and Agency agreements, and assess the costs and benefits of such programs;
</p>
<p>(3) Review all recurring matching programs in which SBA has participated during the year, for continued justification for such disclosures;
</p>
<p>(4) At the instruction of OMB, compile a report to be submitted to the Administrator and OMB, and made available to the public on request, describing the matching activities of SBA, including,
</p>
<p>(i) Matching programs in which SBA has participated;
</p>
<p>(ii) Matching agreements proposed that were disapproved by the Board;
</p>
<p>(iii) Any changes in membership or structure of the Board in the preceding year;
</p>
<p>(iv) The reasons for any waiver of the requirement described below for completion and submission of a cost-benefit analysis prior to the approval of a matching program;
</p>
<p>(v) Any violations of matching agreements that have been alleged or identified and any corrective action taken; and
</p>
<p>(vi) Any other information required by OMB to be included in such report;
</p>
<p>(5) Serve as clearinghouse for receiving and providing information on the accuracy, completeness, and reliability of records used in matching programs;
</p>
<p>(6) Provide interpretation and guidance to SBA offices and personnel on the requirements for matching programs;
</p>
<p>(7) Review Agency recordkeeping and disposal policies and practices for matching programs to assure compliance with the Privacy Act; and
</p>
<p>(8) May review and report on any SBA matching activities that are not matching programs.
</p>
<p>(g) <i>Cost-benefit analysis.</i> Except as provided in paragraphs (e)(2) and (3) of this section, the Data Integrity Board shall not approve any written agreement for a matching program unless SBA has completed and submitted to such Board a cost-benefit analysis of the proposed program and such analysis demonstrates that the program is likely to be cost effective. The Board may waive these requirements if it determines, in writing, and in accordance with OMB guidelines, that a cost-benefit analysis is not required. Such an analysis also shall not be required prior to the initial approval of a written agreement for a matching program that is specifically required by statute.
</p>
<p>(h) <i>Disapproval of matching agreements.</i> If a matching agreement is disapproved by the Data Integrity Board, any party to such agreement may appeal to OMB. Timely notice of the filing of such an appeal shall be provided by OMB to the Committee on Governmental Affairs of the Senate and the Committee on Government Operations of the House of Representatives.
</p>
<p>(1) OMB may approve a matching agreement despite the disapproval of the Data Integrity Board if OMB determines that:
</p>
<p>(i) The matching program will be consistent with all applicable legal, regulatory, and policy requirements;
</p>
<p>(ii) There is adequate evidence that the matching agreement will be cost-effective; and
</p>
<p>(iii) The matching program is in the public interest.
</p>
<p>(2) The decision of OMB to approve a matching agreement shall not take effect until 30 days after it is reported to the committees described in paragraph (h) of this section.
</p>
<p>(3) If the Data Integrity Board and the OMB disapprove a matching program proposed by the Inspector General, the Inspector General may report the disapproval to the Administrator and to the Congress.
</p>
<p><b>&#167; 102.41 Other provisions.
</b></p>
<p>(a) <i>Personnel records.</i> All SBA personnel records and files, as prescribed by OPM, shall be maintained in such a way that the privacy of all individuals concerned is protected in accordance with regulations of OPM (5 CFR parts 293 and 297).
</p>
<p>(b) <i>Mailing lists.</i> The SBA will not sell or rent an individual"s name or address. This provision shall not be construed to require the withholding of names or addresses otherwise permitted to be made public.
</p>
<p>(c) <i>Changes in systems.</i> The SBA shall provide adequate advance notice to Congress and OMB of any proposal to establish or alter any system of records in order to permit an evaluation of the probable or potential effect of such proposal on the privacy and other personal or property rights of individuals or the disclosure of information relating to such individuals, and its effect on the preservation of the constitutional principles of federalism and separation of powers.
</p>
<p>(d) <i>Medical records.</i> Medical records shall be disclosed to the individual to whom they pertain. SBA may, however, transmit such information to a medical doctor named by the requesting individual. In regard to medical records in personnel files, see also 5 CFR 297.205.
</p></xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency>
</pai>

