[Federal Register Volume 64, Number 184 (Thursday, September 23, 1999)]
[Notices]
[Pages 51557-51561]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-24759]


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DEPARTMENT OF JUSTICE

[AAG/A Order No. 175-99]


Privacy Act of 1974; System of Records

    Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a) and Office of 
Management and Budget Circular No. A-130, the Executive Office for 
United States Trustees (EOUST), U.S. Department of Justice, has 
reviewed its Privacy Act systems of records and identified changes that 
will clarify, update, and more accurately describe their systems of 
records.
    As a result, the EOUST is reporting modifications to systems of 
records: JUSTICE/UST-001 Bankruptcy Case Files and Associated Records; 
JUSTICE/UST-002 Panel Trustee Application File; and JUSTICE/UST-004 
United States Trustee Program Case Referral System.
    The EOUST updated JUSTICE/UST-001 Bankruptcy Case Files and 
Associated Records to reflect a new systems manager, the inclusion of 
chapter 12 (family farmer) bankruptcy cases, a new routine use 
disclosure to civil or criminal law enforcement authorities, a new 
routine use disclosure to licensing agencies, and new records 
disposition information.
    The EOUST updated JUSTICE/UST-002 Panel Trustee Application File to 
reflect a new systems manager, the inclusion of chapter 12 (family 
farmer) bankruptcy cases, a new routine use disclosure to courts, a new 
routine use disclosure to licensing agencies, and new records 
disposition information. The EOUST has also changed the name of 
JUSTICE/UST-002 Panel Trustee Application File to ``Trustee File'' 
because the system contains additional records used to determine the 
trustee's suitability for the initial appointment, reappointment, and 
removal.
    The EOUST updated JUSTICE/UST-004 United States Trustee Program 
Case Referral System to reflect new systems managers, the inclusion of 
chapter 12 (family farmer) bankruptcy cases, a new routine use 
disclosure to licensing agencies, and new records disposition 
information.
    Any comments may be addressed to Mary Cahill, Management and 
Planning Staff, Justice Management Division, Department of Justice, 
Washington, DC 20530 (Suite 1400, National Place Building).

    Dated: September 8, 1999.
Stephen R. Colgate,
Assistant Attorney General for Administration.
JUSTICE/UST-001

SYSTEM NAME:
    Bankruptcy Case Files and Associated Records.

SYSTEM LOCATION;
    The Executive Office for United States Trustees (EOUST) and various 
offices of the United States Trustees depending upon the judicial 
district where a case is pending or was administered. (Field offices 
can be located on the Internet at http://www.usdoj.gov/ust.)

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals involved in bankruptcy proceedings (under Chapters 7, 
11, 12 and 13 of 11 U.S.C.) subsequent to September 30, 1979, including 
but not limited to debtors, creditors, bankruptcy trustees, agents 
representing debtors, creditors, and trustees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    (a) Petitions/orders for relief, (b)schedules of assets and 
liabilities of debtors, (c) lists of creditors, (d) statements of 
debtors' financial affairs, (e) operating or status reports, (f) 
alphabetical cross-reference index cards, (g) general correspondence 
regarding cases, (h) miscellaneous investigative records, (i) copies of 
certain pleadings or other papers filed with the court, including those 
filed by the United States Trustee, (j) appraisal reports, (k) names of 
bank depositories and amounts of funds deposited therein, (1) names of 
sureties and amounts of trustees' bonds, (m) tape or other recordings 
of creditors meetings called pursuant to Section 341 of Title 11, 
U.S.C., for the purpose of examination of debtors by creditors, trustee 
and others, (n) plans filed under Chapter 11, 12 or 13, (o) names of 
persons serving as counsel, trustee, or other functionaries in 
bankruptcy cases, including compensation earned or sought by each.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    These systems are established and maintained pursuant to 28 U.S.C. 
586 and Title 11 U.S.C.

PURPOSE(S):
    The records are used by personnel of the Executive Office and the 
United States Trustee field offices to determine the existence of a 
case, to ascertain the status of actions with respect to a case, and to 
ensure that timely action is taken

[[Page 51558]]

as appropriate, and to determine the involvement by agents or other 
representatives of parties in such cases.
    As provided in 11 U.S.C. 107, a paper filed in a case and the 
dockets of the bankruptcy court are public records and open to 
examination except when the court acts to protect an entity with 
respect to a trade secret or confidential research, development, or 
commercial information; or to protect a person with respect to 
scandalous or defamatory matter contained in a paper filed in a case 
under Title 11. If the court enters such a protective order, that 
portion of the record is only available upon the consent of the entity, 
so protected.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Release of Information to Courts:
    These records may be disclosed, except when the bankruptcy court 
has moved to protect an entity as provided in 11 U.S.C. 107, in a 
proceeding before a court or adjudicative body or any proceeding 
relevant to the administration of a case filed under Title 11 in which 
the U.S. Trustee is authorized to appear when (a) the U.S. Trustee, or 
(b) any employee of the U.S. Trustee in his or her official capacity, 
or (c) any employee of the U.S. Trustee in his or her individual 
capacity, where the Department of Justice has agreed to represent the 
employee, or (d) the United States, or any agency or subdivision 
thereof, is a party to litigation or has an interest in litigation and 
such records are determined by the U.S. Trustee to be arguably relevant 
to the litigation.
    Release of Information to the News Media:
    Information permitted to be released to the news media and the 
public pursuant to 28 CFR 50.2 may be made available from systems of 
records maintained by the Department of Justice unless it is determined 
that release of the specific information in the context of a particular 
case would constitute an unwarranted invasion of personal privacy.
    Release of Information to Members of Congress:
    Information contained in systems of records maintained by the 
Department of Justice, not otherwise required to be released pursuant 
to 5 U.S.C. 552 et seq., may be made available to a Member of Congress 
or staff acting upon the Member's behalf when the member or staff 
requests the information on behalf of and at the request of the 
individual who is the subject of the record.
    Release of Information to the National Archives and Records 
Administration (NARA) and the General Services Administration (GSA):
    A record from the system of records may be disclosed to the NARA 
and GSA for records management inspections conducted under the 
authority of 44 U.S.C. Secs. 2904 and 2906.
    Release of Information to Law Enforcement or Regulatory Agencies:
    Information obtained by the U.S. Trustees may be disclosed to any 
civil or criminal law enforcement authority, whether Federal, State, 
local, or foreign, when it is relevant to a civil or criminal 
investigation.
    Release of Information to Federal, State, and Local Licensing 
Agencies:
    Information obtained by the U.S. Trustees may be disclosed to 
Federal, State, and local licensing agencies or associations when it 
concerns the eligibility or suitability of an individual for a license 
or permit.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    All information, except that specified below in this paragraph is 
recorded on basic paper/cardboard material and maintained within metal 
file boxes, file cabinets, electric file/card retrievers or safes. 
Certain information from the documents, forms, lists and reports 
described under ``categories of records in the system'' will be entered 
into an automated information system and stored on magnetic disks for 
reproduction in report form at various times. This includes the case 
number, debtor's names, case status, type of case, assets of estate, 
dates of reports filed, trustee bonds, debtor's attorney's name and 
fees, calendar of meetings and hearings, creditor's committee status, 
plan and schedule due dates, and trustee/examiner names and dates 
appointed.

RETRIEVABILITY:
    In field offices bankruptcy case files are retrieved by bankruptcy 
court case numbers, cross-referenced alphabetically by names of 
debtors. Files pertaining to case trustees, sureties, depository banks 
and to agents representing parties are maintained and retrieved 
alphabetically. Files maintained in the Executive Office are maintained 
and retrieved alphabetically by name of the debtor, or the particular 
person involved. Automated information is retrieved by a variety of key 
words, including names of individuals.

SAFEGUARDS:
    Information contained in the system is unclassified. It is 
safeguarded and protected in accordance with Departmental rules and 
procedures governing the handling of office records and computerized 
information. During duty hours access to this system is monitored and 
controlled by U.S.-Trustee office personnel. During nonduty hours 
offices are locked.

RETENTION AND DISPOSAL:
    Chapter 7 no-asset files may be destroyed six months after the case 
is closed. Section 341 meeting tapes may be destroyed two years after 
the date of the 341 meeting. Chapter 7 asset files may be destroyed 
three years after the case is closed. Chapter 11 files may be destroyed 
three years after the case is dismissed or closed. Chapter 12 and 
chapter 13 cases may be destroyed six months after the case is 
dismissed or closed. 180 Day Semi-Annual Reports may be destroyed after 
five years. To prevent unauthorized disclosure, records are destroyed 
by shredding or burning.

SYSTEM MANAGER(S) AND ADDRESS:
    System manager for the system in each office is the U.S. Trustee 
and in the Executive Office, the General Counsel. (Field offices can be 
located on the Internet at http://www.usdoj.gov/ust.)

NOTIFICATION PROCEDURE:
    Address inquiries to the System Manager for the judicial district 
in which the case is pending, or was administered. (Field offices can 
be located on the Internet at http://ww.usdoj.gov/ust.)

RECORD ACCESS PROCEDURE:
    A request for access to a record from this system shall be made in 
person at the U.S. Trustee office in which the case is filed.

CONTESTING RECORD PROCEDURES:
    Indiviudals desiring to contest or amend information maintained in 
the system should direct their request to the System Manager (Field 
offices can be located on the Internet at http://www.usdoj.gov/ust.) 
stating clearly and concisely what information is being contested, the 
reasons for contesting it, and the proposed amendment to the 
information.

RECORD SOURCE CATEGORIES:
    Sources of information contained in this record are generally 
limited to debtors, creditors, trustees, examiners, attorneys, and 
other agents participating in the administration of a case, judges

[[Page 51559]]

of the bankruptcy courts and employees of the U.S. Trustee offices.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.
JUSTICE/UST-002

SYSTEM NAME:
    Trustee Files.

SYSTEM LOCATION:
    The Executive Office for United States Trustees (EOUST) and various 
offices of the United States Trustees depending upon the judicial 
district where the trustee serves or has made application to serve. 
(Field offices can be located on the Internet at http://www.usdoj.gov/
ust.)

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All trustees and applicants to serve as trustees in bankruptcy 
cases filed under Chapter 7, 11, 12, and 13 of title 11, U.S.C.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Trustee Files (UST-002), may include resumes, applications, letters 
of recommendation, notes, correspondence, audits, reviews, evaluations, 
financial records, transcripts, security clearance information and 
other information provided by trustees, applicants, and third parties 
or developed by the U.S. Trustee.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The systems are established and maintained pursuant to 28 U.S.C. 
586 and Title 11, U.S.C.

PURPOSE(S):
    These records are used by the U.S. Trustee offices for determining 
and reassessing the qualifications and eligibility of persons serving 
or applying to serve as trustees in bankruptcy cases. The records are 
also reviewed and maintained by the Executive Office for U.S. Trustees.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Release of Information to Courts:
    These records may be disclosed, except when the bankruptcy court 
has moved to protect an entity as provided in 11 U.S.C. 107, in a 
proceeding before a court or adjudicative body or any proceeding 
relevant to the administration of a case filed under Title 11 in which 
the U.S. Trustee is authorized to appear when (a) the U.S. Trustee, or 
(b) any employee of the U.S. Trustee in his or her official capacity, 
or (c) any employee of the U.S. Trustee in his or her individual 
capacity, where the Department of Justice has agreed to represent the 
employee, or (d) the United States, or any agency or subdivision 
thereof, is a party to litigation or has an interest in litigation and 
such records are determined by the U.S. Trustee to be arguably relevant 
to the litigation.
    Release of Information to Members of Congress:
    Information contained in systems of records maintained by the 
Department of Justice, not otherwise required to be released pursuant 
to 5 U.S.C. 552, may be made available to a Member of Congress or staff 
acting upon the Member's behalf when the Member or staff requests the 
information on behalf of and at the request of the individual who is 
the subject of the record.
    Release of Information to the National Archives and Records 
Administration (NARA) and the General Services Administration (GSA):
    A record from the system of records may be disclosed to the NARA 
and GSA for records management inspections conducted under the 
authority of 44 U.S.C. 2904 and 2906.
    Release of Information to Law Enforcement or Regulatory Agencies:
    Information obtained by the U.S. Trustees may be disclosed to any 
civil or criminal law enforcement authorities, whether Federal, State, 
local, or foreign, which require information relevant to a civil or 
criminal investigation.
    Release of Information To Federal State, and Local Licensing 
Agencies:
    Information obtained by the U.S. Trustees may be disclosed to 
Federal, State, and local licensing agencies or associations which 
require information concerning the eligibility or suitability of an 
individual for a license or permit.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    These records are filed in paper folders in metal filing cabinets 
and stored on computer disks.

RETRIEVABILITY:
    In the field offices, folders are filed alphabetically by the 
trustee's or applicant's name. In the Executive Office, duplicate 
records are maintained alphabetically, organized by region. Automated 
information is retrieved by a variety of key words, including names of 
individuals.

SAFEGUARDS:
    Information contained in the system is unclassified. It is 
safeguarded and protected in accordance with Departmental rules and 
procedures governing the handling of official records. During duty 
hours access to this system is monitored and controlled by U.S. Trustee 
and Executive Office personnel. During nonduty hours offices are 
locked.

RETENTION AND DISPOSAL:
    Trustee files may be destroyed after ten years except in the 
following circumstances. If the trustee dies, the files may be 
destroyed after one year. If the trustee resigns the appointment, the 
files may be destroyed seven years after all cases administered by that 
trustee are closed. To prevent unauthorized disclosure, records are 
destroyed by shredding or burning.

SYSTEM MANAGER(S) AND ADDRESS:
    System Manager for the System in each office, is the U.S. Trustee 
and in the Executive Office, the Assistant Director, Office of Review 
and Oversight. (Field offices can be located on the Internet at http://
www.usdoj.gov/ust.)

NOTIFICATION PROCEDURE:
    Address inquiries to the System Manager.

RECORD ACCESS PROCEDURE:
    A request for access to a record from this system shall be made in 
writing with the envelope and letter clearly marked ``Privacy Access 
Request''.

CONTESTING RECORD PROCEDURES:
    Individuals desiring to contest or amend information maintained in 
the system should direct their request to the System Manager stating 
clearly and concisely what information is being contested, the reasons 
for contesting it, and the proposed amendment(s) to the information.

RECORD SOURCE CATEGORIES:
    Information contained in the system is provided by the applicant, 
the applicant's references, and interested third parties.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.
JUSTICE/UST-004

SYSTEM NAME:
    United States Trustee Program Case Referral System, JUSTICE/UST-
004.

SYSTEM LOCATION:
    Executive Office for United States Trustees (EOUST), United States 
Department of Justice, Room 780, 901 E St. NW., Washington, DC 20530.

[[Page 51560]]

Records may also be located in the various field offices. (Field 
offices can be located on the Internet at http://www.usdoj.gov/ust.)

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system encompasses entities and individuals involved in the 
bankruptcy process who are suspected of having engaged in criminal 
conduct or of having violated other Federal laws, and whose activities 
have been reported by the U.S. Trustees or EOUST to a U.S. Attorney 
pursuant to 28 U.S.C. 586 and 18 U.S.C. 3057, or to other law 
enforcement authorities for investigation.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records consist of any information about a case filed under Title 
11 of the U.S. Code which is the subject of, or is associated with, a 
referral to law enforcement authorities. Records will consist of any 
information pertaining to the subject of the referral who may be the 
debtor himself, or any other individual associated with the bankruptcy 
case who is suspected of having engaged in criminal conduct or having 
violated other Federal laws. The information may include the subject's 
name, address, date of birth, or social security number; a 
chronological account of the incident(s); the source of the 
information; names and addresses of witnesses; the law enforcement 
agency to whom the referral is made; and the status or final 
disposition of the referral. The system may also contain information 
about the bankruptcy case with which the subject of the referral is 
associated. Such information may include the debtor's name, address, 
social security number; case number and case chapter; the trustee's 
name, address and phone number; the judge assigned to the case; and 
such other case data as may be filed in the records of the court or of 
the U.S. Trustee.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    28 U.S.C. 586, 18 U.S.C. 3057.

PURPOSE(S):
    The purposes of this system are to assist the U.S. Trustees: (1) In 
supervising the administration of cases and trustees in cases filed 
under Chapters 7, 11, 12 and 13 of Title 11, U.S. Code, as codified by 
title I of the Bankruptcy Reform Act of 1978 (11 U.S.C. 101, et seq.); 
(2) in carrying out their congressional mandate ``to serve as 
bankruptcy watch-dogs to prevent fraud, dishonesty, and overreaching in 
the bankruptcy arena'' (H.R. Rep. No. 595, 95th Cong., 2d Sess. 88 
(1978)); and (3) in complying with 18 U.S.C. 3057 which directs 
trustees to report for investigation any instance where there are 
reasonable grounds for believing that there has been a violation of 
Federal laws relating to insolvent debtors or reorganization plans. The 
U.S. Trustees and EOUST will inform the appropriate law enforcement 
authorities when fraud or other violations of Federal law are suspected 
or discovered in a bankruptcy case and will maintain records thereof 
described under ``Categories of Records in the System.'' The data will 
be used for program-wide evaluation purposes, for statistical purposes, 
and to track the number, type, and outcome of cases referred for 
investigation.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    These records may be disclosed to the news media and the public 
pursuant to 28 CFR 50.2 unless it is determined that release of the 
specific information in the context of a particular case would 
constitute an unwarranted invasion of privacy or would impede an 
ongoing law enforcement procedding.
    These records may be disclosed to a Member of Congress or staff 
acting on the Member's behalf when the Member or staff requests the 
information on behalf of, and at the request of, the individual to whom 
the records pertain.
    These records may be disclosed to members of the judicial branch of 
the Federal Government where disclosure appears relevant to the 
authorized function of the recipient judicial office or court system.
    These records may be disclosed to any Federal, State, and local 
licensing agencies or associations when it concerns the eligibility or 
suitability of an individual for a license or permit.
    These records may be disclosed to any civil or criminal law 
enforcement authorities, whether Federal, State, local or foreign, for 
investigation of suspected violations of Federal or State laws. Records 
may also be disclosed to these law enforcement authorities to assist in 
ongoing investigations.
    These records may be disclosed to the National Archives and Records 
Administration (NARA) and the General Services Administration (GSA) in 
records management inspections conducted under the authority of Title 
44 of the U.S. Code.
    These records may be disclosed to a trustee in a case filed under 
Chapter 7, 11, 12 or 13 of Title, 11, U.S. Code, when the U.S. Trustee 
determines that the release of information is necessary to enable the 
trustee to properly administer the case and to perform the duties and 
responsibilities of a case trustee set forth in Title 11 and in 18 
U.S.C. 3057.
    These records may be disclosed, except when the bankructy court has 
moved to protect an entity as provided in 11 U.S.C. 107, in a 
proceeding before a court or adjudicative body or any proceeding 
relevant to the administration of a case filed under Title 11 in which 
the U.S. Trustee is authorized to appear when (a) the U.S. Trustee, or 
(b) any employee of the U.S. Trustee in his or her official capacity, 
or (c) any employee of the U.S. Trustee in his or her individual 
capacity, where the Department of Justice has agreed to represent the 
employee, or (d) the United States, or any agency or subdivision 
thereof, is a party to litigation or has an interest in litigation and 
such records are determined by the U.S. Trustee to be arguably relevant 
to the litigation.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    All records are stored in paper folders in cabinets. All records 
are also stored on computer disks.

RETRIEVABILITY:
    Computerized records will be retrievable by using any one or 
various combinations of the assigned case referral number, the judicial 
district or U.S. Trustee's field office from which the referral is 
generated, the date of the referral, the doctor's name, the case 
chapter, the name, social security or employer identification number 
and date of birth of the individual who is the subject of the referral, 
the subject's relationship to the debtor, the general nature of the 
charges and/or the status of the referral. Records stored in paper 
folders will be filed chronologically by the case referral number.

SAFEGUARDS:
    Paper folders are stored in a file cabinet which is located inside 
a room with a bolt lock. The computer disks are located in the same 
room. Only those persons with a need to know have access to the 
records.

RETENTION AND DISPOSAL:
    Criminal referral files may be destroyed by shredding or burning 
five years from the date of the finding of insufficient evidence, 
declination of prosecution, or the voting of a No True Bill by a Grand 
Jury.

SYSTEM MANAGER(S) AND ADDRESS:
    General Counsel, Executive Office for United States Trustees, 
United States

[[Page 51561]]

Department of Justice, Room 780, 901 E Street NW., Washington, DC 
20530.

NOTIFICATION PROCEDURE:
    Address all inquiries to the system manager.

RECORDS ACCESS PROCEDURE:
    Make all requests for access to records from this system in writing 
to the system manager and clearly mark both the letter and the envelope 
``Privacy Act Request.'' Provide the full name and notarized signature 
of the individual who is the subject of the request, and a return 
address.

CONTESTING RECORD PROCEDURES:
    Make all requests to correct a record in writing to the system 
manager. The request must identify the particular record in question, 
state the correction sought and set forth the justification for 
correcting or contesting it. These procedures are in accordance with 
Department regulations (28 CFR 16.46 Requests For Amendment or 
Correction of Records) Federal Register, June 1, 1998, Volume 63, page 
29603.

RECORD SOURCE CATEGORIES:
    The records will contain information obtained by or furnished to 
the U.S. Trustee or EQUST (1) from Federal or State court records; (2) 
from debtors or debtors' principals, agents or representatives; and (3) 
from informants and interested third parties.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    The Attorney General has exempted this system from subsections 
(c)(3) and (4); (d); (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5) and 
(8); (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2) 
and (k)(2). Rules have been promulgated in accordance with the 
requirements of 5 U.S.C. 553(b), (c) and (e) and have been published in 
the Federal Register.

[FR Doc. 99-24759 Filed 9-22-99; 8:45 am]
BILLING CODE 4410-CJ-M