[Federal Register Volume 69, Number 43 (Thursday, March 4, 2004)]
[Notices]
[Pages 10255-10262]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-4828]


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DEPARTMENT OF JUSTICE

[AAG/A Order No. 002-2004]


Privacy Act of 1974; Systems of Records

AGENCY: United States Trustee Program, Department of Justice.

[[Page 10256]]


ACTION: Notice of modifications to systems of records.

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SUMMARY: Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a) and Office 
of Management and Budget Circular No. A-130, the United States Trustee 
Program (``USTP''), Department of Justice, proposes to modify the 
following existing Privacy Act systems of record:

JUSTICE/UST-001, Bankruptcy Case Files and Associated Records (last 
substantively revised on Sept. 23, 1999 at 64 FR 51557);
JUSTICE/UST-002, Bankruptcy Trustee Oversight Records (last 
substantively revised on Sept. 23, 1999 at 64 FR 51557);
JUSTICE/UST-003, U.S. Trustee Program Timekeeping Records (last 
substantively revised on July 26, 1999 at 64 FR 40392); and
JUSTICE/UST-004, U.S. Trustee Program Case Referral System (last 
substantively revised on Sept. 23, 1999 at 64 FR 51557).

    By notice published on November 10, 2003, a routine use for 
contractors was added to each of these systems of records. See 68 FR 
63819 (effective Dec. 15, 2003). Additional revisions are detailed 
below, and the modified systems are published, in their entirety, in 
this notice.

DATES: These actions will be effective April 13, 2004.

FOR FURTHER INFORMATION CONTACT: For information regarding these 
changes, and for general information regarding USTP's Privacy Act 
systems, contact Anthony J. Ciccone, FOIA/Privacy Counsel, Executive 
Office for United States Trustees, at (202) 307-1399.

SUPPLEMENTARY INFORMATION: USTP has made minor changes and 
clarifications in its existing systems of record, such as to correct 
typographical errors, update certain statutory references, reflect 
miscellaneous nomenclature changes, and update storage, safeguards, 
access, and related issues. In addition, these revisions add several 
routine uses to facilitate civil and criminal enforcement efforts, 
including a routine use to share data with bankruptcy case trustees for 
law enforcement and other agency purposes under the Bankruptcy Code and 
related authority.
    In accordance with 5 U.S.C. 552a(e)(4) and (11), the public is 
given a 30-day period in which to comment; and the Office of Management 
and Budget (OMB), which has oversight responsibility of the Act, 
requires a 40-day period in which to conclude its review of the system. 
Therefore, please submit any comments April 5, 2004. The public, OMB, 
and Congress are invited to submit comments to: Mary Cahill, Management 
and Planning Staff, Justice Management Division, Department of Justice, 
1331 Pennsylvania Ave., NW., Washington, DC 20530 (1400 National Place 
Building).
    In accordance with 5 U.S.C. 552a(r), the Department has provided a 
report to OMB and Congress.

    Dated: February 25, 2004.
Paul R. Corts,
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 other 
offices of the United States Trustee Program (USTP) depending upon the 
judicial district where a bankruptcy case or proceeding is pending or 
was administered. (Office addresses can be located on the Internet at 
http://www.usdoj.gov/ust.)

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals and entities involved in cases or proceedings under the 
Bankruptcy Code (11 U.S.C. 101, et seq.), including but not limited to: 
Debtors; creditors; bankruptcy trustees; other parties in interest; and 
professionals, attorneys, and agents representing debtors, creditors, 
and trustees or otherwise involved in bankruptcy cases or proceedings.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records in this system may include: (a) Petitions/orders for 
relief; (b) schedules of assets and liabilities of debtors; (c) lists 
of creditors; (d) statements of financial affairs; (e) operating or 
status reports; (f) alphabetical cross-reference index cards; (g) 
general correspondence regarding bankruptcy cases and proceedings; (h) 
miscellaneous investigative records; (i) copies of certain pleadings or 
other papers filed in court, including those filed by the United States 
Trustee Program; (j) appraisal reports; (k) names of bank depositories 
and amounts of funds deposited therein; (l) names of sureties and 
amounts of trustees' bonds; (m) tape or other recordings of creditors 
meetings conducted under 11 U.S.C. 341 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, 
professionals, or other functionaries in bankruptcy cases and 
proceedings, including compensation earned or sought by each; and (p) 
other case-related information, such as case number, case status, case 
type, parties' names and other personal identifiers, social security 
numbers and financial account numbers, estate assets/liabilities, case 
filings/reports, trustee bonds, calendars of meetings and hearings, due 
dates of plan, schedules and other filings, creditors' committee 
status, attorneys/professionals' data, and trustees/examiners' data.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    This system is established and maintained pursuant to the 
bankruptcy oversight and related responsibilities of the United States 
Trustee Program under, e.g., 28 U.S.C. 581, et seq., and 11 U.S.C. 101, 
et seq.

PURPOSES:
    The records in this system are used by USTP personnel to determine 
the existence of a case, to ascertain the status of actions with 
respect to a case, to ensure that timely action is taken as 
appropriate, to determine the involvement by agents or other 
representatives of parties in such cases, and to facilitate the 
performance of U.S. Trustee Program duties under, e.g., 28 U.S.C. 581, 
et seq., 11 U.S.C. 101, et seq., and other legal authority.
    As provided in 11 U.S.C. 107, a document filed in a case and the 
dockets of the bankruptcy court are public records and open to 
examination except when the court enters a protective order or 
otherwise acts to seal a docket entry.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (A) Release of Information to Former Employees: The Department of 
Justice may disclose relevant and necessary information to a former 
employee of the Department for purposes of: responding to an official 
inquiry by a Federal, state, or local government entity or professional 
licensing authority, in accordance with applicable Department 
regulations; or facilitating communications with a former employee that 
may be necessary for personnel-related or other official purposes where 
the Department requires information and/or consultation assistance from 
the former employee regarding a matter within that person's former area 
of responsibility.
    (B) Release of Information to Contractors: Information from these 
records may be disclosed to contractors,

[[Page 10257]]

grantees, experts, consultants, students, and others performing or 
working on a contract, service, grant, cooperative agreement, or other 
assignment for the federal government, when necessary to accomplish an 
agency function related to this system of records.
    (C) Release of Information in Proceedings: Information from these 
records may be disclosed in an appropriate proceeding before a court, 
or administrative or adjudicative body, when the Department of Justice 
determines that the records are arguably relevant to the proceeding; or 
in an appropriate proceeding before an administrative or adjudicative 
body when the adjudicator holds the records to be relevant to the 
proceeding.
    (D) Release of Information for Litigation-related Discussions: 
Information from these records may be disclosed to an actual or 
potential party to litigation or the party's authorized representative 
for the purpose of negotiation or discussion on such matters as 
settlement, plea bargaining, or in informal discovery proceedings.
    (E) Release of Information to Bankruptcy Trustees: Information from 
these records may be disclosed to a trustee under Chapters 7, 11, 12 or 
13 of Title 11, U.S. Code, when the United States Trustee determines 
that the release of such information is necessary to enable the trustee 
to properly administer a case or to perform the duties and 
responsibilities of a case trustee under 28 U.S.C. 586, 18 U.S.C. 3057, 
or 11 U.S.C. 101, et seq.
    (F) Release of Information to Complainants and Victims: Information 
from these records may be disclosed to complainants and/or victims to 
the extent necessary to provide such persons with information and 
explanations concerning the progress and/or results of the 
investigation or case arising from the matters of which they complained 
and/or of which they were a victim.
    (G) Release of Information to the News Media: Information from 
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 personal privacy.
    (H) Release of Information to Members of Congress: Information from 
these records may be disclosed 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.
    (I) Release of Information to NARA and GSA: A record from this 
system of records may be disclosed to the National Archives and Records 
Administration (NARA) and the General Services Administration (GSA) for 
records management inspections conducted under the authority of 44 
U.S.C. 2904 and 2906, et seq.
    (J) Release of Information to Law Enforcement or Regulatory 
Agencies: Where a record, either on its face or in conjunction with 
other information, indicates a violation or potential violation of 
law--criminal, civil, or regulatory in nature--the relevant records may 
be referred to the appropriate federal, state, local, tribal, or 
foreign law enforcement authority or other appropriate agency charged 
with the responsibility of investigating or prosecuting such a 
violation or enforcing or implementing such law.
    (K) Release of Information to Licensing Agencies: Information from 
these records may be disclosed to federal, state, local, tribal, or 
foreign licensing agencies or associations which require information 
concerning the suitability or eligibility of an individual for a 
license or permit.
    (L) Release of Information for Employment, Clearance, Contract, or 
Grant Purposes: Information from these records may be disclosed to 
appropriate officials and employees of a federal agency or entity which 
requires information relevant to a decision concerning the hiring, 
appointment, or retention of an employee; the issuance, renewal, 
suspension, or revocation of a security clearance; the execution of a 
security or suitability investigation; the letting of a contract, or 
the issuance of a grant or benefit.
    (M) Release of Information to Credit/Consumer Reporting Agencies: 
Information from these records may be disclosed to a credit or consumer 
reporting agency, as such terms are used in the Fair Credit Reporting 
Act (15 U.S.C. 1681, et seq.) and the Debt Collection Act (31 U.S.C. 
3701, et seq.), when such information is necessary or appropriate to 
ensure that bankruptcy-related credit information is correct and 
accurate.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records in this system, except as specified below, are recorded on 
paper/cardboard material and maintained in file cabinets, storage 
containers, electric file/card retrievers, or safes. Certain records in 
this system are entered into automated information systems and stored 
on magnetic disks for use or reproduction in report form at various 
times.

RETRIEVABILITY:
    In USTP field offices, bankruptcy case records are retrieved by 
bankruptcy court case numbers, cross-referenced alphabetically by names 
of debtors. Bankruptcy case records pertaining to case trustees, 
sureties, depository banks and to agents representing parties are 
maintained and retrieved alphabetically. Bankruptcy case records 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:
    Records contained in this system are unclassified. They are 
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 Program personnel. During nonduty hours, 
offices are locked.

RETENTION AND DISPOSAL:
    Chapter 7 no-asset case records 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 case records 
may be destroyed three years after the case is closed. Chapter 11 case 
records may be destroyed three years after the case is dismissed or 
closed. Chapter 12 and chapter 13 case records may be destroyed six 
months after the case is dismissed or closed. To prevent unauthorized 
disclosure, records are destroyed by shredding, burning, or similar 
methods.

SYSTEM MANAGER(S) AND ADDRESS:
    The system managers for this system of records are: (a) The U.S. 
Trustee or Assistant U.S. Trustee, to the extent these records are 
maintained in their offices; and (b) the General Counsel, to the extent 
these records are maintained in the Executive Office. (Office addresses 
can be located on the Internet at http://www.usdoj.gov/ust.)

NOTIFICATION PROCEDURE:
    Address such inquiries to the Office of General Counsel (FOIA/
Privacy Counsel) at the address listed on the U.S. Trustee Program 
FOIA/Privacy Act Web site (http://www.usdoj.gov/ust).
    The envelope and letter should be clearly marked ``Privacy Act 
Request'' and comply with 28 CFR 16.40 et seq.

[[Page 10258]]

RECORD ACCESS PROCEDURES:
    Address such inquiries to the Office of General Counsel (FOIA/
Privacy Counsel) at the address listed on the U.S. Trustee Program 
FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). The envelope and 
letter should be clearly marked ``Privacy Act Request'' and comply with 
28 CFR 16.40 et seq.

CONTESTING RECORD PROCEDURES:
    Individuals desiring to contest or amend information maintained in 
the system should clearly and concisely state what information is being 
contested, the reasons for contesting it, and the proposed amendment to 
the information. Address such inquiries to the Office of General 
Counsel (FOIA/Privacy Counsel) at the address listed on the U.S. 
Trustee Program FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). 
The envelope and letter should be clearly marked ``Privacy Act 
Request'' and comply with 28 CFR 16.40 et seq.

RECORD SOURCE CATEGORIES:
    Sources of information contained in this system generally consist 
of debtors, creditors, trustees, examiners, attorneys, and other agents 
participating in the administration of a case, judges of the bankruptcy 
courts and other judicial officers, parties in interest, and employees 
of the U.S. Trustee Program.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
JUSTICE/UST-002

SYSTEM NAME:
    Bankruptcy Trustee Oversight Records

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Persons serving, or applying to, serve as estate trustees in 
bankruptcy cases filed under Chapters 7, 11, 12, or 13 of the 
Bankruptcy Code (11 U.S.C. 101 et seq.) and/or subject to USTP 
oversight pursuant to 28 U.S.C. 586.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records in this system may include: resumes, applications, 
references, recommendations, and related materials; notes, 
correspondence, memoranda, messages, and agreements; audits, reviews, 
evaluations, financial records, transcripts, and security clearance 
information; social security numbers, financial account numbers, and 
other personal identifiers; and other information provided to USTP by 
trustees, applicants, and third parties or developed by U.S. Trustee 
Program personnel.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    This system is established and maintained pursuant to the 
bankruptcy oversight and related responsibilities of the United States 
Trustee Program under, e.g., 28 U.S.C. 581, et seq., and 11 U.S.C. 101, 
et seq.

PURPOSE:
    These records are used by U.S. Trustee Program personnel for 
determining and reassessing the qualifications and eligibility of 
persons serving or applying to serve as trustees in bankruptcy cases.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (A) Release of Information to Former Employees: The Department of 
Justice may disclose relevant and necessary information to a former 
employee of the Department for purposes of: Responding to an official 
inquiry by a federal, state, or local government entity or professional 
licensing authority, in accordance with applicable Department 
regulations; or facilitating communications with a former employee that 
may be necessary for personnel-related or other official purposes where 
the Department requires information and/or consultation assistance from 
the former employee regarding a matter within that person's former area 
of responsibility.
    (B) Release of Information to Contractors: Information from these 
records may be disclosed to contractors, grantees, experts, 
consultants, students, and others performing or working on a contract, 
service, grant, cooperative agreement, or other assignment for the 
federal government, when necessary to accomplish an agency function 
related to this system of records.
    (C) Release of Information in Proceedings: Information from these 
records may be disclosed in an appropriate proceeding before a court, 
or administrative or adjudicative body, when the Department of Justice 
determines that the records are arguably relevant to the proceeding; or 
in an appropriate proceeding before an administrative or adjudicative 
body when the adjudicator holds the records to be relevant to the 
proceeding.
    (D) Release of Information for Litigation-related Discussions: 
Information from these records may be disclosed to an actual or 
potential party to litigation or the party's authorized representative 
for the purpose of negotiation or discussion on such matters as 
settlement, plea bargaining, or in informal discovery proceedings.
    (E) Release of Information to Bankruptcy Trustees: Information from 
these records may be disclosed to a trustee under Chapters 7, 11, 12 or 
13 of Title 11, U.S. Code, when the United States Trustee determines 
that the release of such information is necessary to enable the trustee 
to properly administer a case or to perform the duties and 
responsibilities of a case trustee under 28 U.S.C. 586, 18 U.S.C. 3057, 
or 11 U.S.C. 101, et seq.
    (F) Release of Information to Complainants and Victims: Information 
from these records may be disclosed to complainants and/or victims to 
the extent necessary to provide such persons with information and 
explanations concerning the progress and/or results of the 
investigation or case arising from the matters of which they complained 
and/or of which they were a victim.
    (G) Release of Information to the News Media: Information from 
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 personal privacy.
    (H) Release of Information to Members of Congress: Information from 
these records may be disclosed 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.
    (I) Release of Information to NARA and GSA: A record from this 
system of records may be disclosed to the National Archives and Records 
Administration (NARA) and the General Services Administration (GSA) for 
records management inspections conducted under the authority of 44 
U.S.C. 2904 and 2906, et seq.
    (J) Release of Information to Law Enforcement or Regulatory 
Agencies: Where a record, either on its face or in conjunction with 
other information, indicates a violation or potential violation of 
law--criminal, civil, or regulatory in nature--the relevant records may 
be referred to the appropriate federal, state, local, tribal, or 
foreign law enforcement authority or

[[Page 10259]]

other appropriate agency charged with the responsibility of 
investigating or prosecuting such a violation or enforcing or 
implementing such law.
    (K) Release of Information to Licensing Agencies: Information from 
these records may be disclosed to federal, state, local, tribal, or 
foreign licensing agencies or associations which require information 
concerning the suitability or eligibility of an individual for a 
license or permit.
    (L) Release of Information to Credit/Consumer Reporting Agencies: 
Information from these records may be disclosed to a credit or consumer 
reporting agency, as such terms are used in the Fair Credit Reporting 
Act (15 U.S.C. 1681, et seq.) and the Debt Collection Act (31 U.S.C. 
3701, et seq.), when such information is necessary or appropriate to 
ensure that bankruptcy-related credit information is correct and 
accurate.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records in this system, except as specified below, are recorded on 
paper/cardboard material and maintained in file cabinets, storage 
containers, electric file/card retrievers, or safes. Certain records in 
this system are entered into automated information systems and stored 
on magnetic disks for use or reproduction in report form at various 
times.

RETRIEVABILITY:
    In USTP field offices, bankruptcy trustee oversight records are 
filed alphabetically by the trustee's or applicant's name. In EOUST, 
similar records are maintained alphabetically, organized by region. 
Automated information is retrieved by a variety of key words, including 
names of individuals.

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

RETENTION AND DISPOSAL:
    Bankruptcy trustee oversight records may be destroyed after three 
years except in the following circumstances. If the trustee dies, his/
her trustee oversight records may be destroyed after one year. Case 
Trustee Interim Reports may be destroyed after five years. To prevent 
unauthorized disclosure, records are destroyed by shredding, burning, 
or similar methods.

SYSTEM MANAGER(S) AND ADDRESS:
    The system managers for this system of records are: (a) The U.S. 
Trustee or Assistant U.S. Trustee, to the extent these records are 
maintained in their offices; and (b) the Assistant Director, Office of 
Review and Oversight, to the extent these records are maintained in the 
Executive Office. (Office addresses can be located on the Internet at 
http://www.usdoj.gov/ust.)

NOTIFICATION PROCEDURE:
    Address such inquiries to the Office of General Counsel (FOIA/
Privacy Counsel) at the address listed on the U.S. Trustee Program 
FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). The envelope and 
letter should be clearly marked ``Privacy Act Request'' and comply with 
28 CFR 16.40 et seq.

RECORD ACCESS PROCEDURES:
    Address such inquiries to the Office of General Counsel (FOIA/
Privacy Counsel) at the address listed on the U.S. Trustee Program 
FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). The envelope and 
letter should be clearly marked ``Privacy Act Request'' and comply with 
28 CFR 16.40 et seq.

CONTESTING RECORD PROCEDURES:
    Individuals desiring to contest or amend information maintained in 
the system should clearly and concisely state what information is being 
contested, the reasons for contesting it, and the proposed amendment to 
the information. Address such inquiries to the Office of General 
Counsel (FOIA/Privacy Counsel) at the address listed on the U.S. 
Trustee Program FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). 
The envelope and letter should be clearly marked ``Privacy Act 
Request'' and comply with 28 CFR 16.40 et seq.

RECORD SOURCE CATEGORIES:
    Sources of information contained in this system generally consist 
of the applicant, the applicant's references, interested third parties, 
and/or U.S. Trustee Program personnel.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
JUSTICE/UST-003

SYSTEM NAME:
    U.S. Trustee Program Timekeeping Records

SYSTEM LOCATION:
    The Executive Office for United States Trustees (EOUST) and other 
offices of the United States Trustee Program (USTP) depending upon 
where an employee has been assigned for duty. (Office addresses can be 
located on the Internet at http://www.usdoj.gov/ust.)

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Nonclerical employees of the U.S. Trustee Program.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records in this system may include USTP employees' names, personal 
identifiers, and a record of their work time.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    This system is established and maintained pursuant to the 
responsibilities of the United States Trustee Program under, e.g., 28 
U.S.C. 581, et seq., and 11 U.S.C. 101, et seq.

PURPOSE:
    This system consists of records of the work time of nonclerical 
employees of the U.S. Trustee program, and is used, e.g., to analyze 
workload as a basis for requesting and allocating personnel and other 
resources.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (A) Release of Information to Former Employees: The Department of 
Justice may disclose relevant and necessary information to a former 
employee of the Department for purposes of: responding to an official 
inquiry by a federal, state, or local government entity or professional 
licensing authority, in accordance with applicable Department 
regulations; or facilitating communications with a former employee that 
may be necessary for personnel-related or other official purposes where 
the Department requires information and/or consultation assistance from 
the former employee regarding a matter within that person's former area 
of responsibility.
    (B) Release of Information to Contractors: Information from these 
records may be disclosed to contractors, grantees, experts, 
consultants, students, and others performing or working on a contract, 
service, grant, cooperative agreement, or other assignment for the 
federal government, when necessary to accomplish an agency function 
related to this system of records.
    (C) Release of Information to Members of Congress: Information from 
these records may be disclosed to a Member of Congress, or staff acting 
upon the

[[Page 10260]]

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.
    (D) Release of Information to NARA and GSA: A record from this 
system of records may be disclosed to the National Archives and Records 
Administration (NARA) and the General Services Administration (GSA) for 
records management inspections conducted under the authority of 44 
U.S.C. 2904 and 2906, et seq.
    (E) Release of Information in Proceedings: Information from these 
records may be disclosed in an appropriate proceeding before a court, 
or administrative or adjudicative body, when the Department of Justice 
determines that the records are arguably relevant to the proceeding; or 
in an appropriate proceeding before an administrative or adjudicative 
body when the adjudicator holds the records to be relevant to the 
proceeding.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records in this system, except as specified below, are recorded on 
paper/cardboard material and maintained in file cabinets, storage 
containers, electric file/card retrievers, or safes. Certain records in 
this system are entered into automated information systems and stored 
on magnetic disks for use or reproduction in report form at various 
times.

RETRIEVABILITY:
    In USTP field offices, U.S. Trustee Program timekeeping records are 
maintained by the name of the employee. In EOUST, such records are 
maintained and organized by the name of the employee. Automated 
information is retrieved by a variety of key words.

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

RETENTION AND DISPOSAL:
    These records may be destroyed by shredding, burning, or similar 
methods after being audited or when three years old.

SYSTEM MANAGER(S) AND ADDRESS:
    The system managers for this system of records are: (a) The U.S. 
Trustee or Assistant U.S. Trustee, to the extent these records are 
maintained in their offices; and (b) the Office of the Director, to the 
extent these records are maintained in the Executive Office. (Office 
addresses can be located on the Internet at http://www.usdoj.gov/ust.)

NOTIFICATION PROCEDURE:
    Address such inquiries to the Office of General Counsel (FOIA/
Privacy Counsel) at the address listed on the U.S. Trustee Program 
FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). The envelope and 
letter should be clearly marked ``Privacy Act Request'' and comply with 
28 CFR 16.40 et seq.

RECORD ACCESS PROCEDURES:
    Address such inquiries to the Office of General Counsel (FOIA/
Privacy Counsel) at the address listed on the U.S. Trustee Program 
FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). The envelope and 
letter should be clearly marked ``Privacy Act Request'' and comply with 
28 CFR 16.40 et seq.

CONTESTING RECORD PROCEDURES:
    Individuals desiring to contest or amend information maintained in 
the system should clearly and concisely state what information is being 
contested, the reasons for contesting it, and the proposed amendment to 
the information. Address such inquiries to the Office of General 
Counsel (FOIA/Privacy Counsel) at the address listed on the U.S. 
Trustee Program FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). 
The envelope and letter should be clearly marked ``Privacy Act 
Request'' and comply with 28 CFR 16.40 et seq.

RECORD SOURCE CATEGORIES:
    Sources of information contained in this system generally consist 
of U.S. Trustee Program personnel.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
JUSTICE/UST-004

SYSTEM NAME:
    U.S. Trustee Program Case Referral System

SYSTEM LOCATION:
    The Executive Office for United States Trustees (EOUST) and other 
offices of the United States Trustee Program (USTP), depending on where 
the acts under investigation occurred. (Office addresses can be located 
on the Internet at http://www.usdoj.gov/ust.)

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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 or may be 
investigated or reported by the U.S. Trustee Program to a U.S. Attorney 
to other law enforcement authorities for investigation, prosecution, or 
other action pursuant to 28 U.S.C. 586, 18 U.S.C. 3057, or other legal 
authority.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records in this system may include information associated with a 
referral to law enforcement authorities in connection with bankruptcy 
proceedings or related matters arising under 11 U.S.C. 101 et seq. or 
28 U.S.C. 581, et seq. This system may contain information pertaining 
to the subject of the referral, who may be a debtor, creditor, party in 
interest, or any other entity associated with the bankruptcy or other 
proceedings. This system may also contain information about the 
proceedings with which the subject of the referral is associated. Such 
information may include the subject's name, address, date of birth, 
social security number, financial account numbers, or other personal 
identifiers; a chronological account of the incident(s); the source of 
the information, including confidential sources, if any; witnesses' 
names, addresses, and other personal identifiers; the law enforcement 
agency to which the referral is made; the status or final disposition 
of the referral; the case number, chapter, and status of any related 
proceedings; the bankruptcy trustee/examiner's name, address, phone 
number, and other personal identifiers; the judge assigned to the case; 
and such other case data as may be furnished to or available in the 
records of the court or of the U.S. Trustee Program.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    This system is established and maintained pursuant to the 
responsibilities of the United States Trustee Program under, e.g., 28 
U.S.C. 581, et seq., 11 U.S.C. 101, et seq., and 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 and 
proceedings filed under the Bankruptcy Code (11 U.S.C. 101, et seq.); 
(2) in carrying out their congressional mandate ``to serve as 
bankruptcy watch-dogs to prevent fraud,

[[Page 10261]]

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. Trustee Program may 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'' (above). 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:
    (A) Release of Information to Former Employees: The Department of 
Justice may disclose relevant and necessary information to a former 
employee of the Department for purposes of: Responding to an official 
inquiry by a federal, state, or local government entity or professional 
licensing authority, in accordance with applicable Department 
regulations; or facilitating communications with a former employee that 
may be necessary for personnel-related or other official purposes where 
the Department requires information and/or consultation assistance from 
the former employee regarding a matter within that person's former area 
of responsibility.
    (B) Release of Information to Contractors: Information from these 
records may be disclosed to contractors, grantees, experts, 
consultants, students, and others performing or working on a contract, 
service, grant, cooperative agreement, or other assignment for the 
federal government, when necessary to accomplish an agency function 
related to this system of records.
    (C) Release of Information in Proceedings: Information from these 
records may be disclosed in an appropriate proceeding before a court, 
or administrative or adjudicative body, when the Department of Justice 
determines that the records are arguably relevant to the proceeding; or 
in an appropriate proceeding before an administrative or adjudicative 
body when the adjudicator holds the records to be relevant to the 
proceeding.
    (D) Release of Information for Litigation-related Discussions: 
Information from these records may be disclosed to an actual or 
potential party to litigation or the party's authorized representative 
for the purpose of negotiation or discussion on such matters as 
settlement, plea bargaining, or in informal discovery proceedings.
    (E) Release of Information to Bankruptcy Trustees: Information from 
these records may be disclosed to a trustee under Chapters 7, 11, 12 or 
13 of Title 11, U.S. Code, when the United States Trustee determines 
that the release of such information is necessary to enable the trustee 
to properly administer a case or to perform the duties and 
responsibilities of a case trustee under 28 U.S.C. 586, 18 U.S.C. 3057, 
or 11 U.S.C. 101, et seq.
    (F) Release of Information to Complainants and Victims: Information 
from these records may be disclosed to complainants and/or victims to 
the extent necessary to provide such persons with information and 
explanations concerning the progress and/or results of the 
investigation or case arising from the matters of which they complained 
and/or of which they were a victim.
    (G) Release of Information to the News Media: Information from 
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.
    (H) Release of Information to Members of Congress: Information from 
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.
    (I) Release of Information to NARA and GSA: 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 44 U.S.C. 2904 and 2906, 
et seq.
    (J) Release of Information to Law Enforcement or Regulatory 
Agencies: Where a record, either on its face or in conjunction with 
other information, indicates a violation or potential violation of 
law--criminal, civil, or regulatory in nature--the relevant records may 
be referred to the appropriate federal, state, local, tribal, or 
foreign law enforcement authority or other appropriate agency charged 
with the responsibility of investigating or prosecuting such a 
violation or enforcing or implementing such law.
    (K) Release of Information to Licensing Agencies: Information from 
these records may be disclosed to federal, state, local, tribal, or 
foreign licensing agencies or associations which require information 
concerning the suitability or eligibility of an individual for a 
license or permit.
    (L) Release of Information to Judicial Branch: 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 under 18 U.S.C. 3057.
    (M) Release of Information to Credit/Consumer Reporting Agencies: 
Information from these records may be disclosed to a credit or consumer 
reporting agency, as such terms are used in the Fair Credit Reporting 
Act (15 U.S.C. 1681, et seq.) and the Debt Collection Act (31 U.S.C. 
3701, et seq.), when such information is necessary or appropriate to 
ensure that bankruptcy-related credit information is correct and 
accurate.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records in this system, except as specified below, are recorded on 
paper/cardboard material and maintained in file cabinets, storage 
containers, electric file/card retrievers, or safes. Certain records in 
this system are entered into automated information systems and stored 
on magnetic disks for use or reproduction in report form at various 
times.

RETRIEVABILITY:
    In EOUST and in USTP field offices, case referral records are filed 
alphanumerically or chronologically. Automated information is retrieved 
by a variety of key words, including names of individuals or other 
personal identifiers.

SAFEGUARDS:
    Records contained in this system are unclassified but highly 
sensitive. They are safeguarded and protected in accordance with 
Departmental rules and procedures governing the handling of official 
records and computerized information. During duty hours, access to this 
system is monitored and controlled by U.S. Trustee Program office 
personnel. During nonduty hours, offices are locked. Only those persons 
with a need to know have access to the records.

RETENTION AND DISPOSAL:
    Criminal referral records may be destroyed by shredding, burning, 
or similar methods five years from the date

[[Page 10262]]

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:
    The system managers for this system of records are: (a) The U.S. 
Trustee or Assistant U.S. Trustee, to the extent these records are 
maintained in their offices; and (b) Office of General Counsel and/or 
Chief of Criminal Enforcement, to the extent these records are 
maintained in the Executive Office. (Office addresses can be located on 
the Internet at http://www.usdoj.gov/ust.)

NOTIFICATION PROCEDURE:
    Address such inquiries to the Office of General Counsel (FOIA/
Privacy Counsel) at the address listed on the U.S. Trustee Program 
FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). The envelope and 
letter should be clearly marked ``Privacy Act Request'' and comply with 
28 CFR 16.40 et seq.

RECORD ACCESS PROCEDURES:
    Address such inquiries to the Office of General Counsel (FOIA/
Privacy Counsel) at the address listed on the U.S. Trustee Program 
FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). The envelope and 
letter should be clearly marked ``Privacy Act Request'' and comply with 
28 CFR 16.40 et seq.

CONTESTING RECORD PROCEDURES:
    Individuals desiring to contest or amend information maintained in 
the system should clearly and concisely state what information is being 
contested, the reasons for contesting it, and the proposed amendment to 
the information. Address such inquiries to the Office of General 
Counsel (FOIA/Privacy Counsel) at the address listed on the U.S. 
Trustee Program FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). 
The envelope and letter should be clearly marked ``Privacy Act 
Request'' and comply with 28 CFR 16.40 et seq.

RECORD SOURCE CATEGORIES:
    The records generally contain information obtained by or furnished 
to the U.S. Trustee Program from: (1) Federal or State court records; 
(2) debtors or debtors' principals, agents or representatives; (3) 
informants and interested third parties; and (4) other law enforcement 
sources.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    The Attorney General has exempted this system of records 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. See 28 CFR 16.77.

[FR Doc. 04-4828 Filed 3-3-04; 8:45 am]
BILLING CODE 4410-40-P