[Federal Register Volume 67, Number 175 (Tuesday, September 10, 2002)]
[Notices]
[Pages 57472-57477]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-22933]


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SMALL BUSINESS ADMINISTRATION


Privacy Act of 1974; Revision of Privacy Act System of Records

AGENCY: Small Business Administration.

ACTION: Notice of revision of Privacy Act System of Records.

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SUMMARY: The Small Business Administration (SBA) Office of Inspector 
General (OIG) is revising its Privacy Act System of Records, SBA 120, 
Security and Investigations Files, and SBA 130, Investigations Division 
Management Information System, to include as routine uses the 
disclosure of information to the public when: (1) An investigation has 
become public knowledge; (2) it is necessary to preserve confidence in 
the integrity of the investigative process; (3) it is necessary to 
demonstrate the accountability of individuals covered by this system; 
(4) a legitimate public interest exists; or (5) it is necessary for the 
protection from imminent threat to life or property.
    In addition, the revision includes a routine use to allow the 
disclosure of information to members of the President's Council on 
Integrity and Efficiency (PCIE) for the purpose of accurate reporting 
to the President and Congress on the activities of the Inspectors 
General. The revision further includes a routine use to allow 
disclosures to members of the PCIE, the Department of Justice, the 
Federal Bureau of Investigation, or the U.S. Marshals Service, as 
necessary, for investigative qualitative assessment review. The PCIE is 
establishing a peer review process to ensure that adequate internal 
safeguards and management procedures continue to exist. The objectives 
of the review are to assess whether adequate internal safeguards and 
management procedures are met, foster high-quality investigations and 
investigative processes, ensure that the highest levels of 
professionalism are maintained, and promote consistency in 
investigative standards and practices within the Inspector General 
investigative community.

DATES: The changes to this System of Records are effective without 
further notice October 10, 2002, unless comments are received that 
result in further modifications.

ADDRESSES: Address comments to David R. Gray, Counsel to the Inspector 
General, Office of Inspector General, Small Business Administration, 
409 Third Street SW., 5th Floor, Washington, DC 20416.

FOR FURTHER INFORMATION CONTACT: David R. Gray, Counsel to the 
Inspector General, Office of Inspector General, Small Business 
Administration, 409 Third Street SW., 5th Floor, Washington, DC 20416, 
(202) 205-7200.

SUPPLEMENTARY INFORMATION: This publication is in accordance with the 
Privacy Act requirement that Agencies publish their amended Systems in 
the Federal Register when there is a revision, change, or addition. SBA 
is amending the Routine Uses of System of Records, SBA 120 Security and 
Investigations Files, and SBA 130 Investigations Division Management 
Information System previously published at 56 FR 8030 (Feb. 26, 1991) 
and 56 FR 8034 (Feb. 26, 1991). The Routine Use Notices of System 120, 
Security and Investigation Files, and

[[Page 57473]]

System 130, Investigations Division Management Information System, are 
being amended to specifically allow the disclosure of names of indicted 
or convicted individuals in the Office of Inspector General (OIG) 
Semiannual Report, monthly reports, and press releases or other forms 
of communication with the media. SBA's objective in allowing disclosure 
of names is to enhance the deterrence of similar crimes against the 
Agency. In addition, the amended routine uses would allow the 
disclosure of information to the PCIE for the preparation of reports to 
the President and Congress on the activities of the Inspectors General. 
Finally, the amendments would allow the disclosure of information to 
members of the PCIE, the Department of Justice, the Federal Bureau of 
Investigation, or the U.S. Marshals Service, as necessary, for the 
purpose of investigative qualitative assessment reviews to ensure 
adequate internal safeguards and management procedures are maintained.
    These notices contain minor typographical changes. Several data 
elements have also been updated and clarified: (1) SBA 120, Security 
and Investigations Files--safeguards, retention and disposal, system 
manager(s) and address, and record source categories, and (2) SBA 130, 
Investigations Division Management Information System--retention and 
disposal, system manager(s) and address, and record source categories.

System Name:

    Security and Investigations Files--SBA 120.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:

    These records may be disclosed, as a routine use, to the public 
when: (1) The matter under investigation has become public knowledge, 
or (2) when the Inspector General determines that such disclosure is 
necessary (a) to preserve confidence in the integrity of the OIG 
investigative process, or (b) to demonstrate the accountability of SBA 
officers, or employees, or other individuals covered by this system; 
unless the Inspector General determines that disclosure of the specific 
information in the context of a particular case would constitute an 
unwarranted invasion of personal privacy.
    These records may be disclosed, as a routine use, to the news media 
and public when there exists a legitimate public interest (e.g., to 
provide information on events in the criminal process, such as 
indictments), or when necessary for protection from imminent threat to 
life or property.
    These records may be disclosed, as a routine use, to members of the 
President's Council on Integrity and Efficiency, for the preparation of 
reports to the President and Congress on the activities of the 
Inspectors General.
    These records may be disclosed, as a routine use, to members of the 
President's Council on Integrity and Efficiency, the Department of 
Justice, the Federal Bureau of Investigation, or the U.S. Marshals 
Service, as necessary, for the purpose of conducting qualitative 
assessment reviews of the investigative operations of SBA OIG to ensure 
that adequate internal safeguards and management procedures are 
maintained.

System Name:

     Investigations Division Management Information System--SBA 130.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:

    These records may be disclosed, as a routine use, to the public 
when: (1) The matter under investigation has become public knowledge, 
or (2) when the Inspector General determines that such disclosure is 
necessary (a) to preserve confidence in the integrity of the OIG 
investigative process, or (b) to demonstrate the accountability of SBA 
officers, or employees, or other individuals covered by this system; 
unless the Inspector General determines that disclosure of the specific 
information in the context of a particular case would constitute an 
unwarranted invasion of personal privacy.
    These records may be disclosed, as a routine use, to the news media 
and public when there exists a legitimate public interest (e.g., to 
provide information on events in the criminal process, such as 
indictments), or when necessary for protection from imminent threat to 
life or property.
    These records may be disclosed, as a routine use, to members of the 
President's Council on Integrity and Efficiency, for the preparation of 
reports to the President and Congress on the activities of the 
Inspectors General.
    These records may be disclosed, as a routine use, to members of the 
President's Council on Integrity and Efficiency, the Department of 
Justice, the Federal Bureau of Investigation, or the U.S. Marshals 
Service, as necessary, for the purpose of conducting qualitative 
assessment reviews of the investigative operations of SBA OIG to ensure 
that adequate internal safeguards and management procedures are 
maintained.

    Dated: August 28, 2002.
Gloria E. Blazsik,
Acting Senior Privacy Act Official.
SBA 120

System Name:
    Security and Investigations Files--SBA 120.

System Location:
    Office of Inspector General (OIG), Investigations Division, Central 
Office duty stations in the field, and Federal Records Centers. See 
Appendices A and B for addresses.

Categories of Individuals Covered by the System:
    Applicants for, recipients of, and other parties in interest (e.g., 
guarantors) to SBA disaster loans. Principals and representatives of 
applicant and recipient businesses and other parties in interest to, as 
well as governmental entities, participating in the various SBA 
programs, including but not limited to all types of direct and 
guaranteed loans and other guarantee programs, the Small Business 
Investment Company (SBIC) program, the state, local, and Certified 
Development Company programs, the section 7(j) assistance program and 
section 8(a) business development program, as well as other 
contractors, grantees, and participants in cooperative agreements with 
SBA. Records are also maintained on the principal SBIC directors and 
stockholders. In addition, records are maintained on persons who supply 
information and the information supplied on SBA employees against whom 
allegations have been made and investigations conducted; and on members 
of Advisory Councils, the Service Corps of Retired Executives, and the 
Active Corps of Executives volunteers.

Categories of the Records in the System:
    This system of records contains material gathered or created during 
the 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 and include personal history 
statements, background character checks, field

[[Page 57474]]

investigations, arrest and conviction records, parole and probation 
data, recommendations and related correspondence.

Authority for Maintenance of the System:
    5 U.S.C. app.; 15 U.S.C. chs. 14A and 14B; 44 U.S.C. 3101.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    In the event that a system of records maintained by this Agency to 
carry out its functions indicates a violation or potential violation of 
law, whether civil, criminal or administrative in nature, and whether 
arising by general statute or particular program statute, or by 
regulation, rule or order issued pursuant thereto, the relevant records 
in the system of records may be referred, as a routine use, to the 
appropriate agency, whether Federal, state, local, foreign, 
international, private agency or organization involved in investigation 
or prosecution of such violations or charged with enforcing or 
implementing the statute or rule, regulation or order issued pursuant 
thereto.
    A record from this system of records may be disclosed, as a routine 
use, in the course of presenting evidence in or to a court, magistrate, 
administrative tribunal, or grand jury, including disclosures to 
opposing counsel in the course of such proceedings or in settlement 
negotiations.
    A record from this system of records which indicates either by 
itself or in combination with other information within the agency's 
possession, a violation or potential violation of law, whether civil, 
criminal or regulatory and whether arising by general statute or 
particular program statute, or by regulation, rule or order issued 
pursuant thereto, may be disclosed, as a routine use, to the 
appropriate Federal, state, local, foreign, international, private 
agency or organization charged with the responsibility of investigating 
or prosecuting such violation or charged with enforcing or implementing 
or investigating or prosecuting such violation or charged with 
enforcing or implementing the statute or rule, regulation or order 
issued pursuant thereto.
    These records may be disclosed, as a routine use, to any source or 
person, either private or governmental, to the extent necessary to 
secure from such source information relevant to, and sought in 
furtherance of, a legitimate investigation concerning a violation of 
any Federal, state, local or foreign law, rule, regulation or order or 
the commission of an offense.
    These records may routinely be disclosed to other Federal agencies, 
in response to their requests in connection with the conduct of 
background checks. Disclosure will be made only to the extent that the 
information is relevant and necessary to the requesting agencies' 
function.
    These records may be disclosed, as a routine use, to any Federal, 
state, local, foreign, international, private agency or organization in 
connection with such entity's 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 that the information is 
relevant and necessary to such agency's decision on the matter.
    These records may be disclosed as a routine use, to a domestic, 
foreign, or international governmental agency maintaining civil, 
criminal or other relevant enforcement information, or other pertinent 
information, in order to obtain information relevant to an agency 
decision concerning 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.
    These records may be disclosed to Federal, state or local bar 
associations and other professional regulatory or disciplinary bodies 
for use in disciplinary proceedings and inquiries preparatory thereto.
    These records may be disclosed, as a routine use, to a Member of 
Congress who submits an inquiry on behalf of an individual when the 
Member of Congress informs the appropriate agency official that the 
individual to whom the record pertains has authorized the Member of 
Congress to have access. In such cases, the member has no greater right 
to the record than does the individual. These records may be used to 
provide data to the General Accounting Office for periodic reviews of 
this Agency.
    These records may be disclosed, as a routine use, to the Office of 
Government Ethics for any purpose consistent with that office's 
mission, including the compilation of statistical data.
    These records may be disclosed, as a routine use, to the General 
Accounting Office and to the General Services Administration's Board of 
Contract Appeals in bid protest cases involving an agency procurement.
    These records may be disclosed, as a routine use, to any Federal 
agency which has the authority to subpoena other Federal agencies' 
records and which has issued a facially valid subpoena for the record.
    These records may be disclosed, as a routine use, to the Department 
of the Treasury and the Department of Justice when an agency is seeking 
an ex parte court order to obtain taxpayer information from the 
Internal Revenue Service.
    These records may be disclosed, as a routine use, to debt 
collection contractors for the purpose of collecting delinquent debts 
as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
    These records may be disclosed, as a routine use, to a ``consumer 
reporting agency'' as that term is defined in the Fair Credit Reporting 
Act (15 U.S.C. 1681a(f)) and the Federal Claims Collection Act of 1966 
(31 U.S.C. 3701(a)(3)), for the purposes of obtaining information in 
the course of an investigation.
    These records may be disclosed, as a routine use, to agency 
personnel responsible for bringing Program Fraud Civil Remedies Act 
litigation, to the persons constituting the tribunal hearing such 
litigation or any appeals therefrom, and to counsel for the defendant 
party in any such litigation.
    These records may be disclosed, as a routine use, to a grand jury 
agent pursuant either to a Federal or state grand jury subpoena or to a 
prosecution request that such record be released for the purpose of its 
introduction to a grand jury.
    These records may be disclosed, as a routine use, to members of the 
public under the Freedom of Information Act, 5 U.S.C. 552.
    These records may be disclosed, as a routine use, to the U.S. 
Department of Justice in order to obtain that department's advice 
regarding an agency's disclosure obligations under the Freedom of 
Information Act.
    These records may be disclosed, as a routine use, to the Office of 
Management and Budget in order to obtain that office's advice regarding 
an agency's obligations under the Privacy Act.
    It shall be routine use of the records in this system of records to 
disclose them to the Department of Justice when:
    (a) SBA, or any component thereof; or
    (b) Any employee of SBA in his or her official capacity; or
    (c) Any employee of SBA in his or her individual capacity where the 
Department of Justice has agreed to represent the employee; or
    (d) The United States, where SBA determines that litigation is 
likely to affect SBA or any of its components, is a party to litigation 
or has an interest in such litigation, and the use of such records by 
the Department of Justice is

[[Page 57475]]

deemed by SBA to be relevant and necessary to the litigation, provided, 
however, that in each case, the Agency determines that disclosures of 
the records to the Department of Justice is a use of the information 
contained in the records that is compatible with the purpose for which 
the records were collected.
    These records may be disclosed, as a routine use, to the Agency's 
legal representative, to include the Department of Justice and other 
outside counsel, where the Agency is a party in litigation or has an 
interest in litigation when:
    (a) SBA, or any component thereof; or
    (b) Any employee of SBA in his or her official capacity; or
    (c) Any employee of SBA in her or her individual capacity, where 
the Department of Justice has agreed or is considering a request to 
represent the employee; or
    (d) The United States, where SBA determines that litigation is 
likely to affect SBA or any of its components, is a party to litigation 
or has an interest in such litigation, and SBA determines that the use 
of such records by the Department of Justice is relevant and necessary 
to litigation; provided however, that in each case, SBA determines that 
disclosures to the records to the Department of Justice is a use of the 
information contained in the records that is compatible with the 
purpose for which the records were collected.
    It shall be a routine use of records maintained by SBA to disclose 
them in a proceeding before a court, grand jury or adjudicative body 
before which SBA is authorized to appear, when:
    (a) SBA or any component thereof; or
    (b) Any employee of SBA in his or her official capacity; or
    (c) Any employee of SBA in his or her individual capacity where SBA 
has agreed to represent the employee; or
    (d) The United States, where SBA determines that litigation is 
likely to affect SBA or any of its components, is a party to litigation 
or has an interest in such litigation, and the SBA determines that the 
use of such record is relevant and necessary to the litigation; 
provided, however, that in each case SBA determines that disclosure of 
the records is a use of the information contained in the records that 
is compatible with the purpose for which the records were collected.
    These records may be disclosed, as a routine use, to the public 
when: (1) The matter under investigation has become public knowledge, 
or (2) when the Inspector General determines that such disclosure is 
necessary (a) to preserve confidence in the integrity of the OIG 
investigative process, or (b) to demonstrate the accountability of SBA 
officers, or employees, or other individuals covered by this system; 
unless the Inspector General determines that disclosure of the specific 
information in the context of a particular case would constitute an 
unwarranted invasion of personal privacy.
    These records may be disclosed, as a routine use, to the news media 
and public when there exists a legitimate public interest (e.g., to 
provide information on events in the criminal process, such as 
indictments), or when necessary for protection from imminent threat to 
life or property.
    These records may be disclosed, as a routine use, to members of the 
President's Council on Integrity and Efficiency, for the preparation of 
reports to the President and Congress on the activities of the 
Inspectors General.
    These records may be disclosed, as a routine use, to members of the 
President's Council on Integrity and Efficiency, the Department of 
Justice, the Federal Bureau of Investigation, or the U.S. Marshals 
Service, as necessary, for the purpose of conducting qualitative 
assessment reviews of the investigative operations of SBA OIG to ensure 
that adequate internal safeguards and management procedures are 
maintained.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    These records are currently maintained in rotary diebold power 
files, filing cabinets, file folders and computer databases.

Retrievability:
    These records are indexed by name and cross-referenced to OIG files 
containing related material.

Safeguards:
    Information is released only to authorized persons. Files are 
maintained in secure, controlled access rooms.

Retention and Disposal:
    Following final agency action as the result of an investigation, 
field investigation records are transferred to the Central Office. In 
accordance with established record retention schedules, records are 
maintained in the Investigations Division's file room for six years and 
then transferred to the Federal Records Center, which destroys them 
after fifteen years. An electronic alphabetical index is maintained on 
all investigations for an indefinite period of time.

System Manager(s) and Address:
    Assistant Inspector General for Investigations or Designee. See 
Appendix A for Central Office address.

Notification Procedure:
    An individual may inquire as to whether the system contains a 
record pertaining to him or her by addressing a request in writing to 
the Inspector General. The address of OIG is contained in Appendix A.

Record Access Procedures:
    In response to a request by an individual to determine whether the 
system contains a record pertaining to him or her, the Inspector 
General will set forth the procedures for gaining access to these 
records. If there is no record of the individual, he or she will be so 
advised.

Contesting Record Procedures:
    Individuals desiring to contest or amend information maintained in 
the system should direct their request to the official listed in the 
above paragraph, stating the reasons for contesting it and the proposed 
amendment.

Record Source Categories:
    Individuals to whom the records pertain, Agency personnel, third 
party informants, the Department of Justice, the Federal Bureau of 
Investigation, the U.S. Marshals Service, and other investigative 
Government agencies.

Exemptions Claimed for the System:
    (1) Pursuant to 5 U.S.C. 522a(j)(2), this system of records is 
exempt from the application of all provisions of section 522a except 
sections (b), (c)(1) and (2), (e)(4)(A) thorough (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.

[[Page 57476]]

    (2) Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), except as otherwise 
provided therein, all investigatory material compiled for law 
enforcement purposes or for the purpose of determining suitability, 
eligibility, or qualifications for Federal civilian employment, 
military service, Federal contracts, or access to classified 
information contained in this system to records is exempt from sections 
(c)(3), (d), (e)(1), (e)(4)(G) through (I), and (f) of the Privacy Act. 
This exemption is necessary in order to protect the confidentiality of 
sources of information and to maintain access to sources necessary in 
making determinations of suitability for employment.
SBA 130

System Name:
    Investigations Division Management Information System--SBA 130

System Location:
    Office of Inspector General (OIG), Investigations Division.

Categories of Individuals Covered by the System:
    Principals and representatives of applicants, participants, 
contractors, grantees, participants in cooperative agreements, and 
other parties in interest to, as well as governmental entities 
participating in, SBA programs. Records are also maintained on SBA 
employees against whom allegations have been made and investigations 
conducted; members of Advisory Councils; the Service Corps of Retired 
Executives; and the Active Corps of Executives volunteers.

Categories of Records in the System:
    This system of records contains 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. This 
system of records contains alphabetical indices of names and case 
numbers. These records include FBI and other Federal, state, local and 
foreign regulatory or law enforcement investigative reports and 
referrals and include arrest, indictment, and conviction records, 
parole and probation data and related information.

Authority for Maintenance of the System:
    5 U.S.C. app.; 15 U.S.C. chs. 14A and 14B; 44 U.S.C. 3101.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purpose of Such Uses:
    In the event that a system of records maintained by this Agency to 
carry out its functions indicates a violation or potential violation of 
law, whether civil, criminal, or administrative in nature, and whether 
arising by general statute or particular program statute, or by 
regulation, rule or order issued pursuant thereto, the relevant records 
in the system of records may be referred, as a routine use, to the 
appropriate agency, whether Federal, state, local or foreign, charged 
with responsibility for, or otherwise involved in, investigation or 
prosecution of such violations or charged with enforcing or 
implementing the statute or rule, regulation or order issued pursuant 
thereto.
    A record from this system of records may be disclosed, as a routine 
use, in the course of presenting evidence in or to a court, magistrate, 
administrative tribunal or grand jury including disclosures to opposing 
counsel in the course of such proceedings or in settlement 
negotiations.
    A record from this system of records, which indicates either by 
itself or in combination with other information within the agency's 
possession, a violation or potential violation of law, whether civil, 
criminal or regulatory and whether arising by general statute or 
particular program statute, or by regulation, rule or order issued 
pursuant thereto, may be disclosed, as a routine use, to the 
appropriate Federal, foreign, state, or local agency or professional 
organization charged with the responsibility of investigating or 
prosecuting such violation or charged with enforcing or implementing or 
investigating or prosecuting such violation or charged with enforcing 
or implementing the statute or rule, regulation or order issued 
pursuant thereto.
    These records may be disclosed, as a routine use, to provide data 
to the General Accounting Office for periodic reviews of this Agency.
    These records may be disclosed, as a routine use, to the Office of 
Government Ethics for any purpose consistent with that office's 
mission, including the compilation of statistical data.
    It shall be a routine use of the records in this system of records 
to disclose them to the Department of Justice when:
    (a) SBA, or any component thereof; or
    (b) Any employee of SBA in his or her official capacity; or
    (c) Any employee of SBA in his or her individual capacity where the 
Department of Justice has agreed to represent the employee; or
    (d) The United States, where SBA determines that litigation is 
likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed by SBA to be relevant 
and necessary to the litigation, provided, however, that in each case, 
the agency determines that disclosure of the records to the Department 
of Justice is a use of the information contained in the records that is 
compatible with the purpose for which the records were collected.
    It shall be a routine use of records maintained by this agency to 
disclose them in a proceeding before a court, grand jury or 
adjudicative body before which SBA is authorized to appear, when:
    (a) SBA, or any component thereof; or
    (b) Any employee of SBA in his or her official capacity; or
    (c) Any employee of SBA in his or her individual capacity where the 
Department of Justice has agreed to represent the employee; or
    (d) The United States, where SBA determines that litigation is 
likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and SBA determines 
that use of such records is relevant and necessary to the litigation, 
provided, however, that in each case, SBA determines that disclosure of 
the records to a court, grand jury or other adjudicative body is a use 
of the information contained in the records that is compatible with the 
purpose for which the records were collected.
    These records may be disclosed, as a routine use, to the public 
when: (1) The matter under investigation has become public knowledge, 
or (2) when the Inspector General determines that such disclosure is 
necessary (a) to preserve confidence in the integrity of the OIG 
investigative process, or (b) to demonstrate the accountability of SBA 
officers, or employees, or other individuals covered by this system; 
unless the Inspector General determines that disclosure of the specific 
information in the context of a particular case would constitute an 
unwarranted invasion of personal privacy.
    These records may be disclosed, as a routine use, to the news media 
and public when there exists a legitimate public interest (e.g., to 
provide information on events in the criminal process, such as 
indictments), or when necessary for protection from imminent threat to 
life or property.

[[Page 57477]]

    These records may be disclosed, as a routine use, to members of the 
President's Council on Integrity and Efficiency, for the preparation of 
reports to the President and Congress on the activities of the 
Inspectors General.
    These records may be disclosed, as a routine use, to members of the 
President's Council on Integrity and Efficiency, the Department of 
Justice, the Federal Bureau of Investigation, or the U.S. Marshals 
Service, as necessary, for the purpose of conducting qualitative 
assessment reviews of the investigative operations of SBA OIG to ensure 
that adequate internal safeguards and management procedures are 
maintained.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    These records are maintained in a secured electronic database 
system and on computer disks.

Retrievability:
    These records are indexed by the subject's name, subject's Social 
Security Number, company name, case number, agent's name, or agent's 
identification number.

Safeguards:
    Access to and use of these records is limited to those persons 
whose official duties require such access. Personnel screening is 
employed to prevent unauthorized disclosure.

Retention and Disposal:
    These records are retained on computer disks and deleted when the 
investigative case file is destroyed. In accordance with established 
record retention schedules, investigative case files are maintained in 
the Investigations Division's file room for six years and then 
transferred to the Federal Records Center, which destroys them after 
fifteen years.

System Manager(s) and Address:
    Assistant Inspector General for Investigations or Designee. See 
Appendix A for address.

Notification Procedure:
    An individual may inquire as to whether the system contains a 
record pertaining to them by addressing a request in person or in 
writing to the Inspector General. The address of OIG is contained in 
Appendix A.

Record Access Procedures:
    In response to a request by an individual to determine whether the 
system contains a record pertaining to him or her, the Inspector 
General will set forth the procedures for gaining access to these 
records. If there is no record of the individual, he or she will be so 
advised.

Contesting Record Procedures:
    Individuals desiring to contest or amend information maintained in 
the system should direct their request to the official listed in the 
paragraph above, stating the reasons for contesting it and the proposed 
amendment.

Record Source Categories:
    Individuals to whom the records pertain, Agency personnel, third 
party informants, the Department of Justice, the Federal Bureau of 
Investigation, the U.S. Marshals Service, and other investigative 
Government agencies.

Exemptions Claimed for the System:
    (1) Pursuant to 5 U.S.C. 522a(j)(2), this system of records is 
exempt from the application of all provisions of section 522a except 
sections (b), (c)(1) and (2), (e)(4)(A) thorough (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.
    (2) Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), except as otherwise 
provided therein, all investigatory material compiled for law 
enforcement purposes or for the purpose of determining suitability, 
eligibility, or qualifications for Federal civilian employment, 
military service, Federal contracts, or access to classified 
information contained in this system to records is exempt from sections 
(c)(3), (d), (e)(1), (e)(4) (G) through (I), and (f) of the Privacy 
Act. This exemption is necessary in order to protect the 
confidentiality of sources of information and to maintain access to 
sources necessary in making determinations of suitability for 
employment.

[FR Doc. 02-22933 Filed 9-9-02; 8:45 am]
BILLING CODE 8025-01-P