[Federal Register Volume 60, Number 191 (Tuesday, October 3, 1995)]
[Notices]
[Pages 51791-51793]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-24584]



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ENVIRONMENTAL PROTECTION AGENCY
[FRL-5311-3]


Privacy Act of 1974; Debarment and Suspension System of Records

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed new Privacy Act system of records.

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SUMMARY: The United States Environmental Protection Agency (EPA) is 
publishing a notice for public comment on a system of records subject 
to the Privacy Act of 1974, 5 U.S.C. 552a. This system is entitled 
``Debarment and Suspension Files''. Additional information on this 
system is described in the Supplementary Information section of this 
notice.

EFFECTIVE DATE: This proposed action will be effective, without further 
notice on November 13, 1995, unless comments are received which result 
in a contrary determination.

ADDRESSES: Comments should be addressed to: David M. Sims, Chief 
Hearing Officer, Office of Grants and Debarment (Mail Code 3901F), U. 
S. Environmental Protection Agency, Washington, DC 20460.

FOR FURTHER INFORMATION CONTACT: J.F. Drummond, Jr., Associate Hearing 
Officer, Office of Grants and Debarment (Mail Code 3901F), U. S. 
Environmental Protection Agency, Washington, DC 20460. Telephone (202) 
260-6316.


[[Page 51792]]

SUPPLEMENTARY INFORMATION: The purpose of this system of records is to 
assist EPA in assembling information in order to conduct and document 
debarment and suspension proceedings to ensure that Federal contracts 
and Federal assistance, loans, and benefits are awarded to responsible 
business entities and individuals. The system includes case files and 
computer generated records developed in connection with initiating 
suspension and debarment proceedings under Federal Acquisition 
Regulation (FAR) 9.4 (procurement) and 40 CFR part 32 (nonprocurement), 
and in rendering interim and final decisions in such proceedings. Case 
files are comprised of: (1) The official administrative record 
maintained by hearing officers in EPA's Office of Grants and Debarment 
(OGD); (2) files compiled by attorneys in EPA's Suspension and 
Debarment Division (SDD), the Inspector General Division of the Office 
of General Counsel, and Offices of Regional Counsel in support of 
suspension and debarment actions; and (3) files developed by SDD to 
provide documentation for suspension and debarment actions and to 
conduct audits of compliance agreements. Computer generated records 
include data regarding categories and status of cases.
    This system of records contains records retrievable by the names of 
businesses and other organizations, as well as by the names of 
individuals. Only information retrievable by the names of individuals 
is covered by this Privacy Act notice.

    Dated: September 26, 1995.
Sallyanne Harper,
Acting Assistant Administrator for Administration and Resources 
Management.
EPA--33
    Debarment and Suspension Files--EPA/OGD.
    None.
    Office of Grants and Debarment, Fairchild Building, 499 South 
Capitol St., Washington, DC. Records are also located in files 
maintained by the EPA legal offices in Headquarters and Regions 1 
through 10 which recommend suspension and debarment action.
    Individuals who have been suspended, proposed for debarment, or 
debarred from Federal procurement and assistance programs and 
individuals who have been the subject of agency inquiries to determine 
whether they should be debarred and/or suspended from Federal 
procurement and assistance programs.
    Records include information on individuals and firms excluded or 
considered for exclusion from Federal acquisition or assistance 
programs as a result of suspension or debarment proceedings initiated 
by EPA. Such information includes, but is not limited to, names and 
addresses of individuals covered by the system of records, evidence 
obtained in support of Action Referral Memoranda and Case Closure 
Memoranda, interim decisions, compliance agreements, audits of 
compliance agreements, and final determinations. Examples of evidence 
contained in files include correspondence, inspection reports, 
memoranda of interviews, contracts, assistance agreements, indictments, 
judgment and conviction orders, plea agreements, and corporate 
information. Evidence may include documents containing individuals' 
Social Security Numbers. Computer generated records include data 
regarding categories and status of cases.
    Federal Property and Administrative Services Act of 1949, 41 U.S.C. 
251 et. seq.; Office of Federal Procurement Policy Act, 41 U.S.C. 401 
et seq.; Executive Order 12549 (February 18, 1986); and Executive Order 
12689 (August 16, 1989).
    The purpose of this system of records is to assist EPA in 
assembling information on, conducting, and documenting debarment and 
suspension proceedings to ensure that Federal contracts and Federal 
assistance, loans, and benefits, are awarded to responsible business 
entities and individuals.
    Information in this system may be disclosed for routine uses as 
follows:
    1. To the General Services Administration (GSA) to compile and 
maintain the ``Lists of Parties Excluded From Federal Procurement or 
Nonprocurement Programs'' in accordance with FAR 9.404 and 40 CFR 
32.500 and 32.505.
    2. To organizations suspended, proposed for debarment of debarred 
in EPA proceedings; to the legal representatives of such organizations; 
and to the legal representatives of individuals suspended, proposed for 
debarment or debarred in EPA proceedings.
    3. To a Federal, state, or local agency, financial institution or 
other entity for the purpose of verifying an individual's eligibility 
for engaging in a covered transaction as defined at 40 CFR 32.200.
    4. To Federal, state, or local agencies for the purpose of; (a) 
assisting them in administering Federal acquisition, assistance, loan 
and benefit programs or regulatory programs, (b) assisting them in 
discharging their duties to ensure that Federal contracts and 
assistance, loans, and benefit programs are awarded to responsible 
individuals and organizations, and (c) ensuring that Federal, state or 
local regulatory responsibilities are met.
    5. To Federal, state, or local agencies where necessary to enable 
EPA to obtain information relevant to an EPA decision concerning the 
hiring or retention of an employee; the letting of a contract or the 
issuance of a security clearance, license, permit, grant, or other 
benefit by EPA or another Federal, state or local agency.
    6. To an appropriate Federal, state, local, or foreign agency 
responsible for investigating, prosecuting, enforcing, or carrying out 
a statute, rule, regulation, permit, or order, where the records 
indicate on their face or in conjunction with other records a violation 
or potential violation of the statute, rule, regulation, permit, or 
order, and the information disclosed is relevant to the matter.
    7. To the Department of Justice to the extent that each disclosure 
is compatible with the purpose for which the record was collected and 
is relevant and necessary to litigation or anticipated litigation in 
which one of the following is a party or has an interest; (a) EPA or 
any of its components, (b) an EPA employee in his or her official 
capacity, (c) an EPA employee in his or her individual capacity where 
the Department of Justice is representing or considering representation 
of the employee, or (d) the United States where EPA determines that the 
litigation is likely to affect the Agency.
    8. In a proceeding or contemplated proceeding before a court, other 
adjudicative body or grand jury, or in an administrative or regulatory 
proceeding, to the extent that each disclosure is compatible with the 
purpose for which the record was collected and is relevant and 
necessary to the proceeding in which one of the following is a party or 
has an interest; (a) EPA or any of its components, (b) an EPA employee 
in his or her official capacity, (c) an EPA employee in his or her 
individual 

[[Page 51793]]
capacity where the Department of Justice is representing or considering 
representation of the employee, or (d) the United States where EPA 
determines that the litigation is likely to affect the Agency. Such 
disclosures include, but are not limited to, those made in the course 
of presenting evidence, conducting settlement negotiations, and 
responding to requests for discovery.
    9. In response to a subpoena from another Federal agency having the 
power to issue subpoenas to EPA.
    10. To EPA and other Federal agency contractors, grantees, or 
volunteers who have been engaged to assist the Government in the 
performance of a contract, grant, cooperative agreement, or other 
activity related to this system of records and who need to have access 
to the records in order to perform the activity. Recipients are 
required to maintain the records in accordance with the requirements of 
the Privacy Act.
    11. To the public, upon request, and to publishers of computerized 
legal research systems, but such disclosures shall be limited to 
interim or final decisions and settlement agreements.
    12. To a member of Congress or a Congressional office in response 
to an inquiry from that member or office made at the request of the 
individual to whom the record pertains.
    13. To representatives of GSA and the National Archives and Records 
Administration who are conducting records management inspections under 
the authority of 44 U.S.C. 2904 and 2906.
    Paper records in file folders; microfiche, discs, computers and 
other electronic media.
    Records are retrieved by name of the firm or individual and by file 
number.
    Records are accessible only by authorized EPA employees and are 
secured in file cabinets in areas which are locked during non-duty 
hours. Access to data in computers is restricted to suspension and 
debarment personnel and other EPA employees with an official need for 
such information.
    Records are retained in accordance with EPA's Assistance and 
Interagency Agreement Records Schedule, NC1-412-85-25/7. This schedule 
was developed under EPA Records Management Guidelines established 
pursuant to 44 U.S.C. 3101 et seq. Investigative and advocacy files are 
destroyed after the issuance of a final determination or entry of a 
compliance agreement. Audit files are retained throughout the term of 
the relevant compliance agreement. The official administrative record 
is retained in the office until three months after the period of 
debarment or voluntary exclusion expires, or all provisions of the 
compliance agreement have been completed. The official administrative 
record is then transferred to the Federal Records Center (FRC) for 
storage. Files relating to cases closed without action are also 
transferred to the FRC three months after the decision to close the 
matter. The records transferred to the FRC are destroyed when they are 
6 years and 3 months old.
    Director, Office of Grants and Debarment, U.S. Environmental 
Protection Agency, Mail Code 3901F, 401 M Street, SW., Washington, DC, 
20460.
    To obtain notification on whether this system contains information 
on you, contact the System Manager at the above address. Proof of 
identity will be required prior to disclosure of the records sought. If 
records pertaining to you are located outside of the Office of Grants 
and Debarment, the System Manager will direct you to the appropriate 
office.
    See Notification Procedures. Please specify the particular records 
requested.
    See Notification Procedures. Your written inquiry should identify 
the record(s) to be corrected, the corrective action sought, including 
any requested amendment to the records, and any supporting 
documentation you consider relevant to EPA's consideration of your 
request.
    EPA and other Federal officials, state and local officials, private 
parties, businesses and other entities who may have information 
relevant to an inquiry, and individuals who have been suspended, 
proposed for debarment or debarred, and their legal representatives.
    None.

[FR Doc. 95-24584 Filed 10-2-95; 8:45 am]
BILLING CODE 6560-50-P