[Federal Register Volume 69, Number 189 (Thursday, September 30, 2004)]
[Notices]
[Pages 58598-58628]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-21670]
[[Page 58597]]
-----------------------------------------------------------------------
Part II
Small Business Administration
-----------------------------------------------------------------------
Revision of Privacy Act System of Records; Notice
Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 /
Notices
[[Page 58598]]
-----------------------------------------------------------------------
SMALL BUSINESS ADMINISTRATION
Revision of Privacy Act System of Records
AGENCY: Small Business Administration.
ACTION: Notice of revision of Agency's System of Records pursuant to
the provisions of the Privacy Act and to open comment period.
-----------------------------------------------------------------------
SUMMARY: This notice provides for review and comment on a major
revision of the Agency's Privacy Act Systems of Records. Four of the
former Systems have been eliminated and four new Systems have been
developed. The numbers of all of the Systems have also been changed.
All Systems now include electronic formats and access and a new routine
use which allows for disclosure to Agency volunteers, interns, experts
and contractors when necessary for their official duties. The title of
System 8 has been changed to Correspondence and Inquires, and there is
a new category of records for System 14, Freedom of Information and
Privacy Act Records. The title of System 21 has been changed to the
Loan System and a new routine use, (j), for the system is included.
DATES: Written comments on the System of Records must be received on or
before October 29, 2004. The notice shall be effective as proposed with
or without further publication at the end of the comment period, unless
comments are received which would require contrary determination.
ADDRESSES: Written comments on the System of Records should be directed
to Lisa J. Babcock, Chief, Freedom of Information/Privacy Acts Office,
U. S. Small Business Administration, 409 3rd Street, SW., Washington,
DC 20416.
FOR FURTHER INFORMATION CONTACT: Lisa J. Babcock, Chief, Freedom of
Information/Privacy Acts Office, (202) 401-8203.
SUPPLEMENTARY INFORMATION: This publication is in accordance with the
Privacy Act stipulation that Agencies publish their Systems of Records
in the Federal Register when there is a revision, change or addition.
Altered Systems of Records; Narrative Statement; U.S. Small Business
Administration, Privacy Act System of Records SBA 14, Freedom of
Information and Privacy Act Records; Addition of a New Category of
Records
A. Narrative Statement
1. The purpose of adding a new category of records to Privacy Act
System of Records 14 is to include the Agency's FOI/PA Tracking System
that will be used to record and monitor all FOI/PA requests, appeals
and inquiries. The Tracking System will be accessed by the FOI/PA
Office and their designated contacts in each SBA program and field
office. The FOI/PA contacts will have access only to data pertaining to
the FOI/PA cases assigned to their office. The FOI/PA Office will have
access to all data in the Tracking System.
2. Refer to the following citations: 5 U.S.C. 301, 44 U.S.C. 3101,
15 U.S.C. 634(b)6.
3. The effect on the individual FOI/PA requester and appellant will
be minimal. The information contained in the FOI/PA files will be
viewed only by Agency personnel, contractors, experts, consultants or
volunteers in the line of their official duties. These individuals must
comply with the requirements of the PA of 1974, as amended, pursuant to
5 U.S.C. 552a(m).
4. Access and use of FOI/PA files is limited to specified
individuals who have a need to know to accomplish their duties. The
FOI/PA Tracking System will be accessed via restricted passwords and
user identifications.
5. The new proposed category of records use satisfies the
compatibility requirement of subsection (a)(4) of the Act as the FOI/PA
Tracking System is a ``collection, or grouping of information about an
individual that is maintained by an agency'' and ``contains his name,
or the identifying number, symbol, or other identifying particular
assigned to the individual.''
6. This is an internal information collection. The Agency deems the
OMB approved information collection requirements unnecessary.
Altered Systems of Records; Narrative Statement; U.S. Small Business
Administration, Privacy Act System of Records SBA 21, Loan System;
Change of System Name and the Addition of a New Routine Use
B. Narrative Statement
1. The name of the former Privacy Act System of Records 21, Loan
Monitoring System is changed to the Loan System. The purpose of adding
a new routine use to Privacy Act System of Records 21 is to allow for
the disclosure of records from this System to 7(a) and 504 lenders and/
or participating contractors for purposes of the Agency's Loan and
Lender Monitoring System.
2. Refer to the following citations: Public Law 85-536, 15 U.S.C.
631 et seq. (Small Business Act, all provisions relating to loan
programs); 44 U.S.C. 3101 (Records Management by Federal Agencies); and
Public Law 103-62 (Government Performance and Results Act).
3. The effect on the individual is minimal because the information
collected is already being collected by the Department of Treasury
Financial Management Service, by the SBA under previously approved
manual form and by the SBA's previously established and published
Privacy Act System or Records 170, Loan Monitoring System. The
information contained in the System will be viewed only by Agency
personnel, participating contractors and lenders in the line of their
official duties. All of these individuals must comply with the
requirements of the PA of 1974, as amended, pursuant to 5 U.S.C.
552a(m).
4. Access and use of Lender System records is limited to Agency
officials acting in their official capacities, with a need-to-know, and
to SBA Resource Partners and participating contractors. Access and use
by SBA Resource Partners and participating contractors will generally
be via the Internet, with restricted password(s)/passcode(s).
5. The new proposed routine use satisfies the compatibility
requirement of subsection (a)(7) of the Act as follows:
The proposed routine use allows disclosure to 7(a) and 504 lenders
and/or participating contractors for purposes of the Loan and Lender
Monitoring system (L/LMS). SBA needs to share relevant information with
SBA lenders and contractors so that those entities can assist SBA in
decisions regarding the making and servicing of business (non-disaster)
loans. The information is collected by SBA to assist in its decisions
regarding the making and servicing of loans.
6. OMB approved SBA 3245-0016--Application for Business Loans (SBA
Form 4, Schedule A, Form 4-1, Form 4L) on 11/7/2001.
Appendix A
Headquarters: 409 Third St., SW., Washington, DC 20416.
Boston Regional Office: 10 Causeway St., Suite 812, Boston, MA
02222-1093.
New York Regional Office: 26 Federal Plaza, Suite 3108, New
York, NY 10278.
Philadelphia Regional Office: 900 Market St., 5th Floor,
Philadelphia, PA 19107.
Atlanta Regional Office: 233 Peachtree St., NE., South Tower,
Suite 496, Atlanta, GA 30303.
Chicago Regional Officec: 500 West Madison St., Suite 1250,
Chicago, IL 60661-2511.
Dallas Regional Office: 4300 Amon Carter Blvd., Suite 114, Fort
Worth, TX 76155.
Kansas City Regional Office: 323 West 8th St., Suite 307, Kansas
City, MO 64105.
Denver Regional Office: 721 19th St., Suite 101, Denver, CO
80202.
San Francisco Regional Office: 455 Market St., Suite 2200, San
Francisco, CA 94105.
Seattle Regional Office: 1200 Sixth Ave., Suite 1805, Seattle,
WA 98101-1128.
[[Page 58599]]
SBA District Offices
Region I
Maine District Office: 40 Western Ave., Room 512, Augusta, ME
04330.
Massachusetts District Office: 10 Causeway St., Suite 265,
Boston, MA 02222-1093.
New Hampshire District Office: 55 Pleasant St., Suite 3101,
Concord, NH 03301.
Connecticut District Office: 330 Main St., 2nd Floor, Hartford,
CT 06106.
Vermont District Office: 87 State St., Suite 205, Montpelier, VT
05602.
Rhode Island District Office: 380 Westminster Mall, 5th Floor,
Providence, RI 02903.
Springfield Branch Office: 1441 Main St., Suite 410,
Springfield, MA 01103.
Region II
Buffalo District Office: 111 West Huron St., Room 1311, Buffalo,
NY 14202.
Elmira Branch Office: 333 E. Water St., 4th Floor, Elmira, NY
14901.
Melville Branch Office: 35 Pinelawn Road, Suite 207, Melville,
NY 11747.
New Jersey District Office: Two Gateway Center, 15th Floor,
Newark, NJ 07102.
New York District Office: 26 Federal Plaza, Rm. 3108, New York,
NY 10278.
Puerto Rico & Virgin Islands District Office: 252 Ponce De Leon
Blvd., Hato Rey, Puerto Rico 00918.
Rochester Branch Office: 100 State Street, Suite 410, Rochester,
NY 14614.
Syracuse District Office: 401 South Salina St., 5th Floor,
Syracuse, NY 13202.
St. Croix Branch Office: Sunny Isle Professional Building,
Suites 5&6, Christiansted, VI 00820.
St. Thomas Branch Office: 3800 Crown Bay Street, St. Thomas, VI
00802.
Region III
Baltimore District Office: 10 S. Howard St., Suite 6220,
Baltimore, MD 21201-2525.
Charleston Branch Office: 405 Capitol St., Suite 412,
Charleston, WV 25301.
West Virginia District Office: Federal Center, Suite 330, 320
West Pike St., Clarksburg, WV 26301.
Harrisburg Branch Office: 100 Chestnut St., Suite 107,
Harrisburg, PA 17101.
Philadelphia District Office: 900 Market St., 5th Floor,
Philadelphia, PA 19107.
Pittsburgh District Office: Federal Building, Rm. 1128, 1000
Liberty Ave., Pittsburgh, PA 15222-4004.
Richmond District Office: 400 North 8th St., 11th Floor,
Richmond, VA 23240-0126.
Washington District Office: 1110 Vermont Ave., NW., Suite 900,
Washington, DC 20005.
Wilkes-Barre Branch Office: 7 North Wilkes-Barre Blvd, Suite
407, Wilkes-Barre, PA 18702.
Delaware District Office: 1318 North Market, Wilmington, DE
19801-3011.
Region IV
Georgia District Office: 233 Peachtree Rd., NE., Suite 1800,
Atlanta, GA 30303.
Alabama District Office: 801 Tom Martin Dr., Suite 201,
Birmingham, AL 35211.
North Carolina District Office: 6302 Fairview Rd., Suite 300,
Charlotte, NC 28210-2227.
South Carolina District Office: 1835 Assembly St., Rm. 358,
Columbia, SC 29201.
Gulfport Branch Office: 2909 13th St., Suite 203, Gulfport, MS
39501-1949.
Mississippi District Office: 210 E. Capitol St., Suite 210E,
Jackson, MS 39201.
Jacksonville--North Florida District Office: 7825 Baymeadows
Way., Suite 100-B, Jacksonville, FL 32256-7504.
Kentucky District Office: 600 Dr. M.L. King Jr. Place, Rm. 188,
Louisville, KY 40202.
Miami--South Florida District Office: 100 S. Biscayne Blvd, 7th
Floor, Miami, FL 33131.
Tennessee District Office: 50 Vantage Way, Suite 201, Nashville,
TN 37228-1500.
Region V
Illinois District Office: 500 West Madison St., Chicago, IL
60661-2511.
Cincinnati Branch Office: 525 Vine St., Suite 870, Cincinnati,
OH 45202.
Cleveland District Office: 1111 Superior Ave., Suite 630,
Cleveland, OH 44114-2507.
Columbus District Office: 2 Nationwide Plaza, Suite 1400,
Columbus, OH 43215-2542.
Michigan District Office: 477 Michigan Ave., Suite 515, Detroit,
MI 48226.
Indiana District Office: 429 North Pennsylvania St., Suite 100,
Indianapolis, IN 46204-1873.
Wisconsin District Office: 310 West Wisconsin Ave., Suite 400,
Madison, WI 53203.
Minnesota Branch Office: 100 North 6th St., 210-C, Minneapolis,
MI 55403.
Wisconsin Branch Office: 310 West Wisconsin Ave., Milwaukee, WI
53203.
Minnesota District Office: 100 North 6th St., Minneapolis, MN
55403-1563.
Springfield Branch Office: 511 W. Capitol Ave., Suite 302,
Springfield, IL 62704.
Region VI
New Mexico District Office: 625 Silver Ave., SW., Suite 320,
Albuquerque, NM 87102.
Corpus Christi Branch Office: 3649 Leopard St., Suite 411,
Corpus Christi, TX 78408.
Dallas/Ft. Worth District Office: 4300 Amon Carter Blvd., Suite
108, Dallas, TX 76155.
El Paso District Office: 10737 Gateways West, Suite 320, El
Paso, TX 79935.
Houston District Office: 8701 S. Gessner Dr., Suite 1200,
Houston, TX 77074.
Arkansas District Office: 2120 Riverfront Dr., Suite 100, Little
Rock, AR 72202.
Lower Rio Grande Valley District Office: 222 E. Van Buren St.,
Rm. 500, Harlingen, TX 78550-6855.
Lubbock District Office: 1205 Texas Ave., Suite 408, Lubbock, TX
79401-2693.
New Orleans District Office: 365 Canal St., Suite 2820, New
Orleans, LA 70130.
Oklahoma District Office: 301 Northwest 6th St., Suite 116,
Oklahoma City, OK 73102.
San Antonio District Office: 727 E. Durango Blvd., 5th Floor,
San Antonio, TX 78206.
Region VII
Cedar Rapids Branch Office: 215 4th Ave., SE., Suite 200, Cedar
Rapids, IA 52401-1806.
Des Moines District Office: 210 Walnut St., Room 749, Des
Moines, IA 50309-2186.
Kansas City District Office: 323 West 8th Ave., Suite 501,
Kansas City, MO 64105-1500.
Nebraska District Office: 11145 Mill Valley Rd., Omaha, NB
68154.
Springfield Branch Office: 830 East Primrose, Suite 101,
Springfield, MO 65807-52540.
St. Louis District Office: 815 Olive Street, St. Louis, MO
63101.
Wichita District Office: 271 West Third St., Suite 2500,
Wichita, KS 67202-1212.
Region VIII
Wyoming District Office: 100 East B Street, Rm. 4001, Casper, WY
82601.
Denver District Office: 721 19th St., Suite 426, Denver, CO
80202.
North Dakota District Office: 657 Second Ave. North, Room 219,
Fargo, ND 58108.
Montana District Office: 10 West 15th St., Suite 1100, Helena,
MT 59626.
Utah District Office: 125 South State St., Room 2237, Salt Lake
City, UT 84138.
South Dakota District Office: 2329 North Career Ave., Suite 105,
Sioux Falls, SD 57107.
Region IX
Agana Branch Office: 400 Route 8, Suite 302, Hagatna, GU 96910-
2003.
Fresno District Office: 2719 North Air Fresno Dr., Suite 200,
Fresno, CA 93727-1547.
Hawaii District Office: 300 Ala Moana Blvd., Rm. 2-235,
Honolulu, HI 96850-4981.
Nevada District Office: 300 Las Vegas Blvd., Suite 110, Las
Vegas, NV 89101.
Los Angeles District Office: 330 North Brand Blvd., Suite 1200,
Glendale, CA 91203-2304.
Arizona District Office: 2828 North Central Ave., Suite 800,
Phoenix, AZ 85004-1025.
Sacramento District Office: 650 Capital Mall, Suite 7-500,
Sacramento, CA 95814-2413.
San Diego District Office: 550 West C St., Suite 550, San Diego,
CA 92101-3500.
San Francisco District Office: 455 Market St., 6th Floor, San
Francisco, CA 94105-2445.
Santa Ana District Office: 200 West Santa Ana Blvd., Suite 700,
Santa Ana, CA 92701.
Region X
Alaska District Office: 50 L St., Suite 310, Anchorage, AK
99501.
Boise District Office: 380 East Parkcenter Blvd., Boise, ID
83706.
Portland District Office: 1515 S.W. 5th Ave., Suite 1050,
Portland, OR 97201-5494.
Seattle District Office: 1200 6th Ave., Rm. 1700, Seattle, WA
98101-1128.
Spokane Branch Office: 801 West Riverside, Suite 200, Spokane,
WA 99201.
Spokane District Office: 801 West Riverside Ave., Suite 200,
Spokane, WA 99201-0901.
SBA Area Disaster Offices
Disaster Area 1 Office: 360 Rainbow Blvd., South, 3rd Floor,
Niagara Falls, NY 14303.
Disaster Area 2 Office: One Baltimore Place, NE., Suite 300,
Atlanta, GA 30308.
Disaster Area 3 Office: 14925 Kingsport Rd., Fort Worth, TX
76155-2643.
[[Page 58600]]
Disaster Area 4 Office: P.O. Box 419004, Sacramento, CA 95841-
9004, or 6501 Sylvan Rd., Citrus Heights, CA 95610-5017.
SBA Home Loan Servicing Centers
Birmingham Home Loan Servicing Center: 2121 8th Ave. North,
Suite 200, P.O. Box 12247, Birmingham, AL 35202-2247.
New York Home Loan Servicing Center: 201 Varick St., Rm. 628,
New York, NY 10014.
El Paso Home Loan Servicing Center: 10737 Gateway West, Suite
300, El Paso, TX 79935.
Santa Ana Loan Servicing & Liquidation Office: 200 W. Santa Ana
Blvd., Santa Ana, CA 92701.
Commercial Loan Servicing Centers
Fresno Commercial Loan Servicing Center: 2719 N. Fresno Dr.,
Suite 107, Fresno, CA 93727-1547.
Little Rock Commercial Loan Servicing Center: 2120 Riverfront
Dr., Suite 100, Little Rock, AR 72202.
Office of the Inspector General
Office of Inspector General, 409 Third Street, SW., Washington,
DC 20416.
Office of Inspector General Investigation Division, 409 Third
Street, SW., Washington, DC 20416.
Office of Inspector General Auditing Division, 409 Third Street,
SW., Washington, DC 20416.
Atlanta Inspector General Auditing Division, 233 Peachtree St.,
NE., Atlanta, GA 30303.
Dallas/Fort Worth Inspector General Auditing, 4300 Amon Carter
Blvd., Suite 116, Fort Worth, TX 76155-2654.
Los Angeles Inspector General Auditing Division, 330 North Brand
Blvd., Suite 660, Glendale, CA 91203-2304.
Atlanta Inspector General Investigations Division, 233 Peachtree
St., NE., Atlanta, GA 30303.
Chicago Inspector General Investigations Division, 500 West
Madison St., Suite 3370, Chicago, IL 60661.
Dallas/Fort Worth Inspector General Investigations Division,
4300 Amon Carter Blvd., Suite 116, Fort Worth, TX 76155-2653.
Houston Investigations Division Resident Office, 9301 Southwest
Freeway, Suite 550, Houston, TX 77074-1591.
Kansas City Inspector General Investigations Division, 323 W.
8th St., Room 305, Kansas City, MO 64105.
Los Angeles Inspector General Investigation Division, 330 North
Brand Blvd., Suite 1280, Glendale, CA 91203-2304.
New York Inspector General Investigations Division, 26 Federal
Plaza, Rm. 41-100, New York, NY 10278.
Philadelphia Inspector General Investigations Division, 625
Walnut St., Suite 860B-W, Philadelphia, PA 19106.
Seattle Inspector General Investigations Division, 1200 Sixth
Ave., Suite 1807, Seattle, WA 98101-1128.
Syracuse Inspector General Investigations Division, 401 South
Salina St., 5th Floor, Syracuse, NY 13202.
Table of Contents
SBA 1--Administrative Claims
SBA 2--Administrator's Executive Secretariat Files
SBA 3--Advisory Council Files
SBA 4--Office of Inspector General Records Other Than Investigations
Records
SBA 5--Business and Community Initiatives Resource Files
SBA 6--Civil Rights Compliance Files
SBA 7--Combined Federal Campaign
SBA 8--Correspondence and Inquiries
SBA 9--Cost Allocation Data System
SBA 10--Employee Identification Card Files
SBA 11--Entrepreneurial Development--Management Information System
SBA 12--Equal Employment Opportunity Pre-Complaint Counseling
SBA 13--Equal Employment Opportunity Complaint Cases
SBA 14--Freedom of Information/Privacy Act Records
SBA 15--Grievance and Appeals Files
SBA 16--Investigative Files
SBA 17--Investigations Division Management Information System
SBA 18--Legal Work Files on Personnel Cases
SBA 19--Litigation and Claims Files
SBA 20--Disaster Loan Case Files
SBA 21--Loan System
SBA 22--Outside Employment Files
SBA 23--Payroll Files
SBA 24--Personnel Security Files
SBA 25--Portfolio Review Files
SBA 26--Power of Attorney Files
SBA 27--Security and Investigations Files
SBA 28--Small Business Persons and Advocate Awards
SBA 29--Standards of Conduct
SBA 30--Servicing and Contracts System/Minority Enterprise
Development Headquarters Repository
SBA 31--Temporary Disaster Employee Files
SBA 32--Tort Claims
SBA 33--Travel Files
SBA 1
SYSTEM NAME:
Administrative Claims--SBA 1.
SYSTEM LOCATION:
Headquarters (HQ) and Field Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Individuals involved in accidents or other incidents of loss or
damage to government property.
CATEGORIES OF RECORDS IN THE SYSTEM:
Case report and supporting materials compiled in cases that involve
loss or damage to government property. Records of claims up to $5,000
are in District Offices; claims more than $5,000 are in the Office of
General Counsel (OGC).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634 (b)(1), 28 CFR 14.11.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the General Services Administration, the court and other
parties in litigation, when a suit has been initiated.
b. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
[[Page 58601]]
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name of involved individual(s).
SAFEGUARDS:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Records Schedule 6.10.
SYSTEM MANAGER(S) AND ADDRESS:
HQ and Field Systems Managers. See Appendix A.
NOTIFICATION PROCEDURE:
An individual may submit a record inquiry either in person or in
writing to either the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Involved individuals, witnesses and Agency investigation.
SBA 2
SYSTEM NAME:
Administrator's Executive Secretariat Files--SBA 2.
SYSTEM LOCATION:
Headquarters (HQ). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Individuals who correspond with the SBA Administrator.
CATEGORIES OF RECORDS IN THE SYSTEM:
Correspondence in Controlled Documents System from October 1, 1987.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To oversee and maintain Agency correspondence with Government
officials, Members of Congress, and the public.
b. To oversee and maintain memoranda or documents detailing policy
and operational decisions made by the Administrator.
c. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
d. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By document number, can be cross-referenced by name, subject,
keyword, phrase, date, constituent and organizational name.
SAFEGUARDS:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 00:01.
SYSTEM MANAGER(S) AND ADDRESS:
Executive Secretariat, HQ. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Correspondence, memoranda authors, and other sources that could
engender communication by the SBA Administrator.
SBA 3
SYSTEM NAME:
Advisory Council Files--SBA 3.
SYSTEM LOCATION:
Headquarters (HQ) and Field Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Current, former and prospective members of SBA Advisory Councils.
[[Page 58602]]
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Information relating to members of SBA Advisory Councils.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To disclose information about an Advisory Council member to the
public.
b. To respond to requests from the National Archives and Records
Administration (NARA).
c. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
d. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name.
SAFEGUARDS:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 95:01.
SYSTEM MANAGER(S) AND ADDRESS:
Field Office Systems Managers. See Appendix A.
NOTIFICATION PROCEDURE:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager for Field Office Records or PA Officer
for HQ Records.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Record subject, Congressional offices, Agency employees, media,
Advisory Council members, Federal Register.
SBA 4
SYSTEM NAME:
Office of Inspector General Records Other Than Investigations
Records--SBA 4.
SYSTEM LOCATION:
Office of the Inspector General (OIG) Investigations Division,
Audit Division, Headquarters (HQ) duty stations, Agency District and
Field Offices and Federal Records Center (FRC). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Individuals covered by the system include the assigned auditor or
evaluator, other OIG staff, the audit or evaluation requestor, the
interviewee, persons examined by the audit and persons providing
information used by the auditors.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Records consist of materials compiled and/or generated in
connection with audits, evaluations, and other non-audit services
performed by OIG staff. These materials include information regarding
the planning, conduct, and resolution of audits and evaluations of SBA
programs and participants in those programs, information requests,
responses to such requests, reports of findings, etc.
AUTHORITY FOR MAINTENANCE OF THE SYSTEMS:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising by
general or program statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement negotiations
when presenting evidence.
c. To any private or governmental source or person, to secure
information relevant to an investigation or audit.
d. To other Federal agencies conducting background checks, to the
extent that the information is relevant to their function.
e. To any domestic, foreign, international or private agency or
organization, including those which maintain civil, criminal or other
enforcement information, for the assignment, hiring or retention of an
individual, issuance of a security clearance, reporting of an
investigation of an individual, letting of a contract or issuance of a
license, grant or other benefit, to the extent the information is
relevant to the agency's decision on the matter.
f. To Federal, State or local bar associations and other
professional,
[[Page 58603]]
regulatory or disciplinary bodies for use in disciplinary proceedings
and inquiries.
g. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
h. To provide data to the General Accounting Office (GAO) for
periodic reviews of SBA.
i. To the Office of Government Ethics for any purpose consistent
with their mission.
j. To the General Accounting Office and to the General Services
Administration's (GSA) Board of Contract Appeals in bid protest cases
involving an agency procurement.
k. To any Federal agency which has the authority to subpoena other
Federal agencies' records.
l. To the Department of the Treasury and the DOJ when an agency is
seeking an ex parte court order to obtain taxpayer information from the
Internal Revenue Service.
m. To debt collection contractors for collecting delinquent debts
as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
n. To a ``consumer reporting agency'' as defined in the Fair Credit
Reporting Act (15 U.S.C. 1681 a(f)) and the Federal Claims Collection
Act of 1966 (31 U.S.C. 3701(a)(3)), to obtaining information during an
investigation or audit.
o. To personnel responsible for Program Fraud Civil Remedies Act
litigation, the tribunal and defendant's counsel.
p. To a grand jury agent pursuant to a Federal or State grand jury
subpoena or to a prosecution request that records be introduced to a
grand jury.
q. To the public under the Freedom of Information Act (FOIA), 5
U.S.C. 552.
r. To the DOJ to obtain advice regarding FOIA disclosure
obligations.
s. To the Office of Management and Budget to obtain advice
regarding PA obligations.
t. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
u. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
v. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
w. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name and cross-referenced to related IG Audit files.
SAFEGUARDS:
Sensitive reports are kept in locked filing cabinets, while others
are provided lesser levels of security as appropriate.
RETENTION AND DISPOSAL:
Following final agency action as the result of an audit, records
are maintained in the respective field offices for five years and then
transferred to the FRC, which destroys them after 20 years.
Alphabetical indices are maintained on all investigations for an
indefinite period of time.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for Auditing or designee. See Appendix
A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in writing to the Systems
Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individuals, Agency personnel, third parties, the FBI and
other investigative Government agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt
from the application of all provisions of section 552a except sections
(b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10),
(11), and (i), to the extent that it consists of (A) information
compiled for the purpose of identifying individual criminal offenders
and alleged offenders and consisting only of identifying data and
notations of arrests, confinement, release, and parole and probation
status; (B) information compiled for the purpose of criminal
investigation, including reports of informants and investigators, and
associated with an identifiable individual; or (C) reports identifiable
to an individual compiled at any stage of the process of enforcement of
the criminal laws from arrest or indictment through release from
supervision. This system is exempted in order to maintain the efficacy
and integrity of the OIG's criminal law enforcement function.
SBA 5
SYSTEM NAME:
Business and Community Initiatives Resource Files--SBA 5.
SYSTEM LOCATION:
Headquarters (HQ) and Field Offices. See Appendix A.
[[Page 58604]]
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Users of Business and Community Initiatives training materials,
potential speakers, counselors, authors and reviewers.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Information relating to individuals: Biographical sketches,
correspondence, copies of travel vouchers and counseling reports, files
of accomplishments, publications, news releases and clippings.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To provide university coordinators with information about
potential speakers at management training sessions.
b. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act,
as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name.
SAFEGUARDS:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 65:01,
65:02, 65:03, 65:04, 65:05, 65:07 and 65:09.
SYSTEM MANAGER(S) AND ADDRESS:
Field Office Director and PA Officer. See Appendix A.
NOTIFICATION PROCEDURE:
An individual may submit a record inquiry either in person or in
writing to the Systems Managers for Field Office Records or PA Officer
for HQ Records.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Record subject, Agency employees, media, educators, universities,
professional and civic organizations.
SBA 6
SYSTEM NAME:
Civil Rights Compliance Files--SBA 6.
SYSTEM LOCATION:
Headquarters. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
SBA recipients of Federal financial assistance and individuals who
have filed allegations of discrimination against SBA recipients of
Federal financial assistance or against Agency programs or program
offices based on disability.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Reviews, correspondence, supporting documents, interview
statements, program files, information developed in allegation/
complaint investigation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101, Civil Rights Compliance SOP 90 30 3 and 13 CFR
parts 112, 113, and 117.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
b. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
c. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
[[Page 58605]]
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
d. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By complainant's name, address and four digit fiscal year/order in
which received during that fiscal year (four digit number is keyed to
Complaint Log for that fiscal year).
SAFEGUARDS:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Records Schedule 1.25.a and d(2).
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Administrator for Equal Employment Opportunity and Civil
Rights Compliance (EEO/CRC). See Appendix A.
NOTIFICATION PROCEDURE:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
SBA recipient of Federal financial assistance reviewed by EEO/CRC
personnel and complainants.
SBA 7
SYSTEM NAME:
Combined Federal Campaign--SBA 7.
SYSTEM LOCATION:
Headquarters (HQ) Office and Field Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Information pertaining to SBA employees involved with the campaign.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the public, the names and addresses of employees connected
with the drive are released.
b. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name and/or Social Security Number.
SAFEGUARDS:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Record Schedule 2.15.
SYSTEM MANAGER(S) AND ADDRESS:
HQ and Field Office Supervisors. See Appendix A.
NOTIFICATION PROCEDURE:
An individual may submit a record inquiry either in person or in
writing to the Systems Managers or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
[[Page 58606]]
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Subject employee.
SBA 8
SYSTEM NAME:
Correspondence and Inquiries--SBA 8.
SYSTEM LOCATION:
Headquarters (HQ) and Field Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Individuals who have corresponded with the Agency.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To oversee and maintain correspondence to the Agency.
b. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name of correspondent.
SAFEGUARDS:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 00:01.
SYSTEM MANAGER(S) AND ADDRESS:
PA Officer for HQ records and Field Managers for field records. See
Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individual, Agency personnel, case files and Congressional
correspondence.
SBA 9
SYSTEM NAME:
Cost Allocation Data System--9.
SYSTEM LOCATION:
Office of the Chief Financial Officer (CFO), Headquarters.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
All SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Individual information on all SBA employees, i.e., name, social
security number, office code, pay dates, survey results on the
percentage of time spent on administration of various SBA programs and
activities. Also, Agency-wide costs, i.e., rent, postage,
telecommunications, centralized printing, centralized training,
employees' relocation costs, credit report costs, performance
management appraisal system awards, contractors costs, Agency loan
count and SBA employment full time equivalent counts.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101 (Records Management by Federal Agencies), Public Law
101-576 (Chief Financial Officers Act) and Public Law 103-62
(Government Performance and Results Act).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Agency cost contractor for use in the Agency's cost
accounting activity.
b. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be
[[Page 58607]]
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
The electronic form is maintained in a database which is behind the
Agency's firewall.
RETRIEVABILITY:
Employee's Social Security Number and first and last name retrieve
survey result.
SAFEGUARDS:
Access and use of the CADS are accomplished via the use of
restricted password. Access and use are limited to Project Leader and
Group members and only those other Agency employees whose official
duties require such access.
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Records Retention Schedule 8.1, 8.5, 8.6, 8.7 and 8.8.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Financial Officer, HQ. See Appendix A.
NOTIFICATION PROCEDURE:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
SBA employees.
SBA 10
SYSTEM NAME:
Employee Identification Card Files--SBA 10.
SYSTEM LOCATION:
Office of Human Capital Management (Headquarters), Denver Human
Capital Management Operations Division and Disaster Area Offices (DAO).
See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Employee name and their identification card numbers.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
b. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
c. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
d. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name or identification card number.
SAFEGUARDS:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
[[Page 58608]]
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Records Retention Schedule 1.6.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Administrator/Human Capital Management (HQ) and DAO
Directors. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Subject employee, individuals and agency personnel records.
SBA 11
SYSTEM NAME:
Entrepreneurial Development--Management Information System--SBA 11.
SYSTEM LOCATION:
Headquarters.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals using SBA's business counseling and assistance
services.
CATEGORIES OF RECORDS IN THE SYSTEM:
Individual and business information on SBA clients.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Public Law 85-536, 15 U.S.C. 631 (Small Business Act), sec.
7(j)(1), (Business Counseling), 15 U.S.C. 648 sec. 21 (Small Business
Development Centers), 15 U.S.C. 656 sec. 29 (Women's Business Centers),
Public Law 106-50 (Veterans' Entrepreneurship and Small Business
Development Act of 1999), 44 U.S.C. 3101 (Records Management by Federal
Agencies) and Public Law 103-62 (Government Performance and Results
Act).
ROUTINE USES OF RECORDS MAINTAINED BY THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Agency service provider (resource partner) who initially
collected the individual's information.
b. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
c. To the Federal, state, local or foreign agency or organization
which investigates, prosecutes, or enforces violations, statutes,
rules, regulations, or orders issued when an agency identifies a
violation or potential violation of law, arising by general or program
statute, or by regulation, rule or order.
d. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Electronic form in secured database on a dedicated computer.
RETRIEVAL:
By SBA Customer Number and cross-referenced by individual or
business name.
SAFEGUARDS:
Access and use over the Internet with a restricted numerical
password. Access and use is limited to Federal officials with a need-
to-know and to designated resource partners. SBA resource partners will
have access only to those individuals that were collected by that
particular resource partner. Designated program managers in HQ and
district directors will have access to individual records only as
needed for program management.
RETENTION AND DISPOSAL:
In accordance with EDMIS N1-309-03-06.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Deputy Administrator for Entrepreneurial Development and
designee in Headquarters.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Office.
ACCESS PROCEDURES:
The Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individuals or businesses.
SBA 12
SYSTEM NAME:
Equal Employment Opportunity Pre-Complaint Counseling--SBA 12.
SYSTEM LOCATION:
Headquarters and Field Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Current/former SBA employees, members of a group (class complaints)
[[Page 58609]]
who have requested counseling regarding employment discrimination.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Case files may include employee and interview statements. The Equal
Employment Opportunity (EEO) Counselor's Report becomes part of the EEO
Complaint case.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 CFR part 1611.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To report counseling activity to the Office of Equal Employment
Opportunity and Civil Rights Compliance (EEO/CRC).
b. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By employee name.
SAFEGUARDS:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification code.
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Records Schedule 1.25.a.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Administrator for EEO&CRC and Field Office Systems
Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Employee requesting counseling, other employees, EEO Counselor,
personnel and employment records.
SBA 13
SYSTEM NAME:
Equal Employment Opportunity Complaint Cases--SBA 13.
SYSTEM LOCATION:
Headquarters (HQ). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Current/former SBA employees and/or members of a class complaint
who have requested counseling regarding employment discrimination.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Complaint files, Equal Employment Opportunity (EEO) Counselor's
Report, information from investigations, notes, hearing report, Hearing
Examiner's recommendations and Agency action. Closed cases are
included.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 CFR part 1611.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To report to the Equal Employment Opportunity Commission (EEOC).
b. To the EEOC when there is a hearing, these records will be used
in the case.
c. To the EEOC when a complaint is appealed, these records will be
used by the Office of Equal Employment Opportunity and Civil Rights
Compliance (EEO/CRC) in their decision making.
d. To the Office of General Counsel and the Department of Justice
(DOJ) when a complaint results in a suit in a Federal court, these
records will be referred and used to prepare and present the case in
court.
e. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
f. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
g. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
[[Page 58610]]
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
h. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name of complainant.
SAFEGUARDS:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Records Schedule 1.25.a.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Administrator for EEO/CRC and Field Office Systems
Managers and the Office of the Inspector General (OIG). See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer. See Appendix A.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORY:
Complainant, witnesses, hearing transcript, personnel and
employment records, examiner's recommendations and agency
investigation.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
(1) Pursuant to 5 U.S.C. 552a(j)(2), records in this system of
records which belong to the OIG are exempt from the application of all
provisions of section 552a except sections (b), (c)(1) and (2),
(e)(4)(A) through (F),(e)(6), (7), (9), (10), (11), and (i), to the
extent that it consists of (A) information compiled for the purpose of
identifying individual criminal offenders and alleged offenders and
consisting only of identifying data and notations of arrests,
confinement, release, and parole and probation status; (B) information
compiled for the purpose of criminal investigation, including reports
of informants and investigators, and associated with an identifiable
individual; or (C) reports identifiable to an individual compiled at
any stage of the process of enforcement of the criminal laws from
arrest or indictment through release from supervision. This system is
exempted in order to maintain the efficacy and integrity of the Office
of the Inspector General's criminal law enforcement function.
(2) Pursuant to 5 U.S.C. 552a(k)(2)and (k)(5), except as otherwise
provided therein, all OIG's investigatory material compiled for law
enforcement purposes for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment, Federal
contracts, or access to classified information contained in this system
of records is exempt from sections 3(c)(3), (d), (e)(1), (e)(4)(G)
through (I), and (f) of the PA, 5 U.S.C. 552a (c)(3), (d), (e)(1),
(e)(4)(G) through (I) and (f). 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 14
SYSTEM NAME:
Freedom of Information and Privacy Acts Records--SBA 14.
SYSTEM LOCATION:
Headquarters (HQ) and Field Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Persons who have submitted requests or appeals under either of the
Acts.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Files created for Freedom of Information/Privacy Acts (FOI/PA)
appeals and agency-wide database to track FOI/PA requests and appeals.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101, 15 U.S.C. 634(b)(6), 5 U.S.C. 552 and 5 U.S.C.
552a.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To review individual cases, keep logs and records, comply with
statutory time limitations and prepare mandated reports.
b. To the Federal, State, local or foreign agency or professional
organization, including SBA offices, which investigates prosecutes or
enforces violations, statutes, rules, regulations or orders issued when
the Agency identifies a violation or potential violation of law whether
arising by general or program statute, or by regulation, rule or order.
c. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
d. To agency personnel responsible for bringing Program Civil
Remedies Act litigation to the tribunal hearing litigation or any
appeals and to counsel for the defendant party in any such litigation.
e. To a grand jury agent pursuant to a Federal or State grand jury
subpoena or to a prosecution request that records be released for
introduction to a grand jury.
f. To a Federal agency which has the authority to subpoena other
Federal agencies records and has issued a valid subpoena.
g. To the public pursuant to the provisions of the FOIA, 5 U.S.C.
552.
h. To the Department of Justice (DOJ) in order to obtain that
department's advice regarding an agency's FOIA disclosure obligations.
i. To the Office of Management and Budget to obtain that office's
advice regarding an agency's PA obligations.
j. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to
[[Page 58611]]
assist in the performance of a service related to this system of
records and who need access to the records in order to perform this
activity. Recipients of these records shall be required to comply with
the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
k. To the DOJ when any of the following is a party to litigation or
has an interest in such litigation, and the use of such records by the
DOJ is deemed by the agency to be relevant and necessary to the
litigation, provided, however, that in each case, the agency determines
the disclosure of the records to the DOJ is a use of the information
contained in the records that is compatible with the purpose for which
the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
l. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Locked file cabinets and electronic files.
RETRIEVAL:
By name or database number.
SAFEGUARDS:
Access and use limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
Retention is in accordance with National Archives and Records
Administration's General Records Schedule 14.
SYSTEM MANAGER(S) AND ADDRESS:
PA Officer for HQ records and Field Managers for field records. See
Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager.
ACCESS PROCEDURES:
The Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Correspondence submitted directly to and replies from the SBA.
SBA 15
SYSTEM NAME:
Grievances and Appeals--SBA 15.
SYSTEM LOCATION:
Servicing Personnel Office and the Office of Hearings and Appeals
(OHA) where grievances or appeals have been filed. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
SBA employees who have filed grievances or disputes under
applicable procedures or Personnel Practices Appeals Procedures.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Correspondence, supporting documents, hearing transcripts,
investigation appeal information and decisions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101, Collective Bargaining
Agreements with Unions which represent SBA employees, SOP 37 71-1 and
13 CFR part 134.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Union pursuant to the grievance procedure.
b. To the Office of Personnel Management (OPM) or used in reporting
to the OPM on labor-management relations activity.
c. To a Hearing Examiner from the record of an individual in
response to another Agency's inquiry, pursuant to established
procedures.
d. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
e. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
f. To the Office of the Special Counsel for any purpose consistent
with their mission.
g. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
h. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
[[Page 58612]]
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
Name of filing employee.
SAFEGUARDS:
Access and use limited to persons whose official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
Retention is in accordance with Standard Operating Procedure 00 41
2 30:02.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Administrator for OHA, Chief Human Capital Officer and
Field Managers. See Appendix A.
NOTIFICATION PROCEDURE:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Grievants, appellants, employees, Union, personnel and employment
records.
SBA 16
SYSTEM NAME:
Investigative Files--SBA 16.
SYSTEM LOCATION:
Office of the Inspector General (OIG), Investigations Division and
Federal Records Center (FRC). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Persons against whom are made allegations that are within the
jurisdiction of the OIG to investigate; persons identified as making
such allegations; or persons cross-referenced in investigative file or
subsequent investigations. Applicants to, and participants in SBA
programs, their principals, representatives and resource partners;
contractors and parties to cooperative agreements and their principals,
representatives, and other interested parties; governmental entities;
SBA employees, members of the Advisory Councils, Service Corps of
Retired Executive volunteers in connection with allegations of
wrongdoing that are within the jurisdiction of the OIG to investigate.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Material provide to, gathered or created by OIG in investigating,
or otherwise dealing with allegations that are within the jurisdiction
of the OIG to investigate, documentation of allegations, consultations,
decisions, interviews, records reviews, reports of investigations, and
various correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. 3 (The Inspector General Act of 1978), 15 U.S.C.
Chapters 14A and 14B and 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising by
general or program statute, or by regulation, rule or order.
b. To a grand jury, court, magistrate or administrative tribunal,
including disclosures to opposing counsel in the course of such
proceedings or in settlement negotiations.
c. To other Federal agencies conducting background checks; only to
the extent the information is relevant to the requesting agencies'
function.
d. To any Federal, State, local, foreign or international agency,
in connection with such entity's assignment, hiring and retention of an
individual, issuance of a security clearance, reporting of an
investigation of an individual, letting of a contract or issuance of a
license, grant or other benefit, to the extent that the information is
relevant and necessary to such agency's decision on the matter.
e. To a domestic, foreign, or international government agency
maintaining civil, criminal, relevant enforcement or other pertinent
information, for the assignment hiring or retention of an individual,
the issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
f. To Federal, State or local bar associations and other
professional regulatory or disciplinary bodies for use in disciplinary
proceedings and inquiries.
g. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
h. To the General Accounting Office (GAO) for periodic reviews of
SBA.
i. To the Office of Government Ethics for any purpose consistent
with their mission.
j. To the GAO, and to the General Services Administration's Board
of Contract Appeals in bid protest cases involving an agency
procurement.
k. To any Federal agency which has the authority to subpoena
otherFederal agencies records and has issued a valid subpoena.
l. To the Department of Treasury and the Department of Justice
(DOJ) when an agency is seeking an ex parte court order to obtain
taxpayer information from the Internal Revenue Service.
m. To debt collection contractors for collecting delinquent debtsas
authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
n. To a ``consumer reporting agency'' as that term is defined in
the Fair Credit Reporting Act (15 U.S.C. 1681 a (f) and the Federal
Claims Collection Act of 1966 (31 U.S.C. 701(a)(3)), to obtain
information during an investigation or audit.
o. To agency personnel responsible for Program Civil Remedies Act
litigation, the tribunal and defendant's counsel.
p. To a grand jury agent pursuant either to a Federal or State
grand jury subpoena or to a prosecution request that records be
introduced to a grand jury.
q. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
r. To the DOJ when any of the following is a party to litigation or
has an interest in such litigation, and the use of such records by the
DOJ is deemed by the agency to be relevant and necessary to the
litigation, provided,
[[Page 58613]]
however, that in each case, the agency determines the disclosure of the
records to the DOJ is a use of the information contained in the records
that is compatible with the purpose for which the records were
collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
s. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that iscompatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
File folders in filing cabinets and safes, and electronic files.
RETRIEVAL:
Indexed by name of the investigated individual and cross-referenced
to the number(s) of the investigative file(s) containing related
materials.
SAFEGUARDS:
All filing cabinets are locked. Access to and use limited to those
persons with official need to know; computers are protected by password
and user identification codes.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 Item Nos.
90:10 and 90:12. Cut off at the end of the calendar year. Transfer to
FRC 6 years after cutoff. Destroy 15 years after cutoff.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in writing or in person
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individual, Agency personnel, informants, the Federal
Bureau of Investigation and other investigative Government agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
(1) Pursuant to 5 U.S.C. 552a(j)(2), records in this system of
records are exempt from the application of all provisions of section
552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F),
(e)(6), (7), (9), (10), (11), and (i), to the extent that it consists
of (A) information compiled for the purpose of identifying individual
criminal offenders and alleged offendersand 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 Office of the Inspector General's criminal law
enforcement function.
(2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory
material in the record compiled for law enforcement purposes or for the
purpose of determining suitability, eligibility, or qualifications for
Federal civilian employment, Federal contracts, or access to classified
information is exempt from the notification, access, and contest
requirements (under 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H),
and (I), and (f) of the Agency regulations. This exemption is necessary
in order to fulfillcommitments made to protect the confidentiality of
sources and to protect subjects of investigations from frustrating the
investigatory process.
SBA 17
SYSTEM NAME:
Investigations Division Management Information System--SBA 17.
SYSTEM LOCATION:
Office of the Inspector General (OIG), Investigations Division. See
Appendix A.
CATEGORIES OF INDIVIDUALS COVERED IN THE SYSTEM INCLUDES:
Persons against whom are made allegations that are within the OIG's
jurisdiction to investigate, persons identified as making allegations
or persons who are cross-referenced to an investigative file,
principals, representatives of applicants, participants, contractors,
grantees, participants in cooperative agreements, resource partners and
their principals and representatives and other interested parties
participating in SBA programs, and members of Advisory Councils and
SCORE/ACE volunteers.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Material gathered or created during preparation for, conduct of and
follow-up on investigations conducted by OIG, the FBI and other
Federal, State, local, or foreign regulatory or law enforcement agency.
May include alphabetical indices of names and case numbers and
information about allegations, decisions, investigative assignments and
special techniques, and reports and results of investigations and time
spent by investigators.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. 3 (The Inspector General Act of 1978), 15 U.S.C.
Chapters 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, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising by
general or program statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in
[[Page 58614]]
settlement negotiations when presenting evidence.
c. To the General Accounting Office for periodic reviews of the
SBA.
d. To the Office of Government Ethics for any purpose consistent
with their mission.
e. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
f. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
g. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Self-contained system and computer disks.
RETRIEVAL:
Subjects' name, company name, case number, agent's name, Social
Security Number or agent's identification number.
SAFEGUARDS:
Access to and use of these records is limited to those persons
whose official duties require such access; computers are protected by
password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 Items 90:10
and 90:12. Retained on computer disks indefinitely. Hard copies are
made monthly, retained for five years before being destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individual, Agency personnel, informants, the Federal
Bureau of Investigation and other investigative Government agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory
material in the record compiled for law enforcement purposes or for the
purpose of determining suitability, eligibility, or qualifications for
Federal civilian employment, Federal contracts, or access to classified
requirements (under 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H),
and (I), and (f) of the Agency regulations. This exemption is necessary
in order to fulfill commitments made to protect the confidentiality of
sources and to protect subjects of investigations from frustrating the
investigatory process.
SBA 18
SYSTEM NAME:
Legal Work Files on Personnel Cases--SBA 18.
SYSTEM LOCATION:
Headquarters (HQ), Office of the Inspector General (OIG) and Field
Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Opinions, advice, transcripts, witness statements, etc. maintained
by the Office of General Counsel (OGC) on personnel cases.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
b. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
c. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
[[Page 58615]]
litigation is likely to affect the agency or any of its components.
d. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By employee name.
SAFEGUARDS:
Access to and use limited to those persons with official need to
know to know; computers are protected by password and user
identification codes.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 70:01,
70:07 and 70:11.
SYSTEM MANAGER(S) AND ADDRESS:
OGC and OIG. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or the PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Office of Human Capital Management and third party witnesses.
SBA 19
SYSTEM NAME:
Litigation and Claims Files--SBA 19.
SYSTEM LOCATION:
Headquarters (HQ), Field Offices, Disaster Area Offices (DAO) and
Disaster Home Loan Servicing Centers (DHLSC). See Appendix A for
addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
All Disaster Home Loan recipients and individuals involved in
lawsuits or claims pertaining to SBA.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Records relating to recipients classified as ``in litigation'' and
all individuals involved in claims by or against the Agency. Wherever
applicable: affidavits, briefs, pleadings, depositions and
interrogatories, loan status summaries with litigation progress,
opinions, copies of Department of Justice (DOJ) papers concerning loan
case litigation, summary foreclosures, chattel lien searches, requests
and responses under the Freedom of Information Act, loan modifications,
recipients' attorneys' names, amount of liability, narrative report of
actual and contingent liabilities and related correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or organization
that investigates, prosecutes or enforces violations, statutes, rules,
regulations or orders issued when the agency identifies a violation or
potential violation of law arising by general or program statute, or by
regulation, rule or order.
b. To the Federal, State or local private credit agency maintaining
civil, criminal or other relevant information to determine an
applicant's suitability for a loan; this may be requested individually
or part of a computer match program.
c. To a request from a State or Federal agency in connection with
the issuance of a grant, loan or other benefit by that agency which is
relevant to their decision on the matter; this may be requested
individually or part of a computer match. SBA will provide information
to the Department of Housing and Urban Development (HUD) to be
maintained in a central repository where agencies can request
information on a case-by-case basis or as part of a computer match.
d. To another Federal agency, including Defense Manpower Data
Center, U.S. Postal Service and HUD, to conduct computer matching
programs to locate delinquent SBA borrowers who are receiving Federal
salaries or benefit payments.
e. To a consumer reporting agency.
f. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement negotiations
when presenting evidence.
g. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
h. To a grand jury agent pursuant either to a federal or state
grand jury subpoena or to a prosecution request that such record be
introduced to a grant jury.
i. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
j. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or here individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
k. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency
[[Page 58616]]
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosures of the records to a court 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:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By recipient and claimant name.
SAFEGUARDS:
Access to and use limited to those persons with official need to
know to know; computers are protected by password and user
identification codes.
RETENTION AND DISPOSAL:
In accordance with SOP 00 41 2 70:09 and 70:13.
SYSTEM MANAGER(S) AND ADDRESS:
DAO and DHLSC Directors and Office of General Counsel. See Appendix
A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 Item Nos.
70:07, 70:08, 70:09, 70:10, 70:11, 70:13, 70:14 and 70:15, OGC NI-309-
88-1, OGC NI 309-99-1, OGC NI-309-88-1. In accordance with National
Archives and Records Administration General Records Schedule 14.11.
SYSTEM MANAGER(S) AND ADDRESS:
OGC and Field Office Systems Manager. See Appendix A.
SOURCE CATEGORIES:
Subject employee, Agency personnel, the public, the DOJ, bankruptcy
notices, court records, title companies, and Loan Case Files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), all investigatory
material in the record compiled for law enforcement purposes or for the
purpose of determining suitability, eligibility, or qualifications for
Federal civilian employment, Federal contracts, or access to classified
information is exempt from the notification, access, and contest
requirements (under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H),
and (I), and (f) of the Agency regulations. This exemption is necessary
in order for the Agency legal staff to properly perform its functions.
SBA 20
SYSTEM NAME:
Disaster Loan Case File--SBA 20.
SYSTEM LOCATION:
SBA Disaster Area Offices and the Department of Housing and Urban
Development (HUD). See Appendix A for SBA addresses; HUD addresses are
published by HUD.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Applicants and recipients of disaster home loans.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Information relating to applicants and recipients of a disaster
home loan from the time of application until the date of payment in
full or charge-off is approved; or until the date of an official denial
if declined. These records include: Loan applications, supporting
documents, personal history, financial statements, credit information
investigative reports, appraisers' reports, waivers, loan record
transfers, correspondence, recommendations, authorizations,
disbursement amount, term and rate, payment history, collateral, UCC
filings and re-filings, collection and liquidation activities,
financial statements, settlements and compromises, participating bank
information, field visit reports, borrowers insurance information and
loan accounting information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the public on approved loans, information is limited to
recipient name and address, term and rate of the loan, and the
apportioned amount of the loan for real or personal property loss.
b. To provide information to potential investors who are interested
in bidding on loans made available by the Agency in a sale of assets.
Investors will be required to execute a confidentiality agreement prior
to reviewing any record or information.
c. To the public, under certain conditions, on losses incurred by
the government due to non-payment of obligations by individuals. In
these cases, the name and address of the obligator and amount incurred
(amount written-off from Agency assets) will not be released to the
public unless the borrower consents to disclosure or is required
pursuant to the Freedom of Information Act.
d. To the Federal, State, local or foreign agency or professional
organization which has responsibility for investigating, prosecuting or
enforcing violations, statute rules, regulations or orders issued when
the Agency locates a violation or potential violation of law whether
arising by general or program statute, or by regulation, rule or order.
e. To request information from a Federal, State or local agency or
a private credit agency maintaining civil, criminal or other
information relevant to determining an applicant's suitability for a
loan; this may be requested individually or part of a computer match.
f. To provide data to the General Accounting Office for periodic
reviews of SBA.
g. To a request from a State or Federal agency in connection with
the issuance of a grant, loan or other benefit by that agency which is
relevant to their decision on the matter; this may be requested
individually or part of a computer match. SBA will provide information
to HUD to be maintained in a central repository where agencies can
request information on a case-by-case basis or as part of a computer
match.
h. To another Federal agency, HUD, to conduct computer matching
programs to locate delinquent SBA borrowers who are receiving Federal
salaries or benefit payments and programs to identify delinquent SBA
borrowers receiving federal salaries or benefit payments. Disclosure
will be made if the records indicate the loan is in default, at least
30 days past due or to update a previous
[[Page 58617]]
disclosure. SBA will make the disclosures to obtain repayments of debts
under the provisions of the Debt Collection Act of 1982 by voluntary
repayment, or by administrative or salary offset procedures.
i. To a consumer reporting agency.
j. To provide the Internal Revenue Service (IRS) with access to an
individual's records for an official audit to the extent the
information is relevant to the IRS's function.
k. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement negotiations
when presenting evidence.
l. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
m. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
n. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
o. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By applicant/recipient name, cross-referenced loan number or
borrower's Social Security Number.
SAFEGUARDS
Access and use limited to persons with official need to know to
know; computers are protected by password and user identification
codes.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 Item Nos.
70:09 and 70:13.
SYSTEM MANAGER(S) AND ADDRESS:
Disaster Area Office Director. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager of PA Officer. See Appendix A.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Subject, individuals, Agency employees, financial institution, law
enforcement agencies, and Federal Emergency Management Agency.
SBA 21
SYSTEM NAME:
Loan System--SBA 21.
SYSTEM LOCATION:
Headquarters (HQ), Regional Offices, District Offices, Branch
Offices, Processing Centers, and Servicing Centers. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals (i.e., borrowers, guarantors, principals of businesses
named in loan records), throughout the life of SBA's interest in a
loan, under all of the Agency's business (non-disaster) loan programs.
CATEGORIES OF RECORDS IN THE SYSTEM:
Personal and commercial information (i.e., credit history,
financial information, identifying number or other personal identifier
) on individuals named in business loan files, throughout the life of
SBA's interest in the loan, under all of the Agency's business (non-
disaster) loan programs.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Public Law 85-536, 15 U.S.C. 631 et seq. (Small Business Act, all
provisions relating to loan programs); 44 U.S.C. 3101 (Records
Management by Federal Agencies); and Public Law 103-62 (Government
Performance and Results Act).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED, OR REFERRED:
a. To the SBA Resource Partner, its successors or assigns, (i.e.,
participating lender, certified development company, micro lender) who
initially collected the individual's information for the purpose of
making and servicing loans.
b. To a Congressional office from an individual's record when the
office is inquiring on the individual's behalf. The Member's access
rights are no greater than the individual's.
c. To the Federal, state, local or foreign agency or organization
which investigates, prosecutes, or enforces violations, statues, rules,
regulations, or orders issued when an agency identifies a violation or
potential violation of law, arising by general or program statute, or
by regulation, rule, or order.
d. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
e. To qualified investors who have signed a confidentiality
agreement related to review of files for the purpose of evaluating,
negotiating and
[[Page 58618]]
implementing the purchase of loans from the Agency as a part of the
Agency's Asset Sales program.
f. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
g. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
h. To request information from a Federal, State, local agency or a
private credit agency maintaining civil, criminal or other information
relevant to determining an applicant's suitability for a business loan.
This applies to individuals involved in business loans.
i. To a recipient who has provided the agency with advance adequate
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable.
j. To 7(a) and 504 lenders and/or participating contractors for
purposes of the Loan and Lender Monitoring System (L/LMS).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Electronic Records are in a secured server and paper records are in
files. Loan files are in a secured area in either locked files or
locked file rooms.
RETRIEVABILITY:
Electronic Records: By individual name, personal identifier, SBA
Identifier, Participating Lender Identifier, Participating Lender Name,
business name, and business identifier.
Paper Records: By individual name, personal identifier and SBA
Identifier.
SAFEGUARDS:
Electronic Records: Access and use is limited to Agency officials
acting in their official capacities, with a need-to-know, and to SBA
Resource Partners. Access and use by SBA Resource Partners will
generally be via the Internet, with restricted password(s)/
passcode(s). SBA Resource Partners, their successors or assigns, will
have access only to those individual records that were collected by
that particular partner.
Information contained in files will be available only to potential
asset sale purchasers who have executed a confidentiality agreement.
Only SBA employees in the performance of their official duties, who are
granted access to the records by Agency issuance of User ID and/or
passcode, may amend or review the records.
Paper Records: Access and use is limited to Agency officials acting
in their official capacities, with a need-to-know. SBA Resource
Partners, their successors or assigns, will have access only to those
individual records that were collected by that particular partner.
Information contained in loan files will be available only to potential
asset sale purchasers who have executed a confidentiality agreement.
Only those SBA employees in the performance of their official duties
may amend or review the records.
RETENTION AND DISPOSAL:
In accordance with SBA Standard Operating Procedure 00 41 2, Item
Nos. 50:04, 50:08, 50:09, 50:10, 50:11, 50:12, 50:13, 50:19, 50:22,
55:02. Records are retained for the life of SBA's interest in the
business loan and are disposed of according to the reference in the SOP
that pertains to a particular type of record; retention period varies
according to the type of record.
SYSTEM MANAGERS AND ADDRESSES:
Associate Administrator for Capital Access, Associate Administrator
for Lender Oversight, Associate Administrator for Financial Assistance,
Regional Administrators, District Directors, Branch Managers, Loan
Service Center Director and Loan Processing Centers Directors. See
Appendix A.
NOTIFICATION PROCEDURE:
An individual may submit a written record inquiry to the
appropriate Systems Manager or PA Officer.
RECORDS ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING RECORD PROCEDURES:
Notify the official listed above and state reason(s) for contesting
and the proposed amendment sought.
RECORD SOURCE CATEGORIES:
Subject individuals and businesses, financial institutions, credit
reporting agencies, law enforcement agencies and SBA resource partners.
SBA 22
SYSTEM NAME:
Outside Employment Files--SBA 22.
SYSTEM LOCATION:
Headquarters (HQ) and Field Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
SBA employees who have requested permission for outside employment.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Correspondence concerning requests for outside employment.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To a Congressional office from an individual's record, when
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
b. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of
[[Page 58619]]
these records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended, 5 U.S.C. 552a.
c. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
d. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By employee name.
SAFEGUARDS:
Access and use limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 Item 2
30.01.
SYSTEM MANAGER(S) AND ADDRESS:
HQ and Field Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Requesting employee and other Agency personnel.
SBA 23
SYSTEM NAME:
Payroll Files--SBA 23.
SYSTEM LOCATION:
Office of Human Capital Management, Headquarters (HQ). See Appendix
A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Active and inactive SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Employee name, Social Security Number (SSN), date of birth, grade,
step, and salary; organization, retirement and FICA codes and date as
applicable; Federal, State and local tax deductions; savings bond and
charity deductions; co-owner and/or beneficiary of bonds, insurance
deduction and plan or code; cash award data; union dues deductions;
type and amount of allotments; financial institution code and account
number; status and data on all types of leave; time and attendance
records, including breakdown of hours worked; mailing address; marital
status and number of dependents; notification of Personnel Actions;
unemployment records; register of separations; annual leave
restoration; over-payment indebtedness; correspondence from employees
concerning payroll.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title 6 General Accounting Office (GAO) Policy and Procedures
Manual, 31 U.S.C. 285, sections 112(a) and 113 of the Budget and
Accounting Procedures Act of 1950 and 5 U.S.C. Chapters 55 through 63.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising by
general or program statute, or by regulation, rule or order.
b. To transmit data to U.S. Department of Treasury to effect
issuance of paychecks to employees and distribution of pay according to
employee directions for savings bonds, allotments, financial
institutions, and other authorized purposes.
c. To the GAO for audit purposes.
d. To Internal Revenue Service and appropriate State and local
authorities when reporting tax withholding; FICA deductions to the
Social Security Administration; dues deductions to labor unions;
withholdings for health insurance to insurance carriers and the Office
of Personnel Management; charity contribution deductions to agents of
charitable institutions; annual W-2 statements to taxing authorities
and the individual.
e. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
f. To the Office of Child Support Enforcement, Administration for
Children and Families, Department of Health and Human Services to
locate individuals in order to establish paternity and modify orders of
child support, identify sources of income, and other child support
enforcement actions as required by the Personal Responsibility and Work
Opportunity Reconciliation Act (Welfare Reform law, Pub. L. 104-193),
SBA will provide the names, SSN, home addresses, dates of birth and
hire, quarterly earnings, employer identifying information, and State
of hire of employees.
g. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
[[Page 58620]]
h. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
i. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By employee name and/or SSN.
SAFEGUARDS:
Physical, technical and administrative security is maintained and
admission to record storage areas limited to authorized personnel.
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Record Schedule 2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Human Capital Officer, Headquarters. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer. See Appendix A.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Subject employee, individuals, supervisors, timekeepers, official
personnel records, and IRS.
SBA 24
SYSTEM NAME:
Personnel Security Files--SBA 24.
SYSTEM LOCATION:
Office of Inspector General (OIG), Investigations Division, Office
of Security Operations (OSO). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Active and inactive SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Active and inactive personnel security files, employee or former
employee's name, background information, personnel actions, Office of
Personnel Management (OPM) and/or authorized contracting firm
background investigations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101, Executive Order 10450.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising by
general or program statute, or by regulation, rule or order.
b. To other Federal Agencies, upon request, that are conducting
background checks.
c. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement negotiations
when presenting evidence.
d. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
e. To the Office of Personnel Management in accordance with that
agency's authority to evaluate Federal personnel management.
f. To the Merit Systems Protection Board in connection with its
consideration of appeals of personnel actions.
g. To physicians conducting fitness for duty examinations.
h. To any Federal, State, local, foreign or international agency,
in connection with their assignment, hiring or retention of an
individual, issuance of a security clearance, reporting of an
investigation of an individual, letting of a contract or issuance of a
license, grant or other benefit, to the extent the information is
relevant to their decision on the matter.
i. To a grand jury agent pursuant either to a Federal or State
grand jury subpoena or to a prosecution request that record be released
for introduction to a grand jury.
j. To the Office of Government Ethics for any purpose consistent
with their mission.
k. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
l. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
[[Page 58621]]
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
m. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Rotary diebold power files and electronic data systems. OPM
National Agency checks that are not immediately referred to OPM are
maintained in locked safes.
RETRIEVAL:
By employee name.
SAFEGUARDS:
All file cabinets are locked. Access and use limited to persons
with official need to know; computers are protected by password and
user identification codes.
RETENTION AND DISPOSAL:
Upon separation of an employee from SBA, OIG/OSO destroys all non-
derogatory information, derogatory information is retained by OIG/OSO
and transferred to Federal Records Centers (FRC) five years after
cutoff (date of separation). After 15 years, FRC destroys the files.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Inspector General or designee.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
SBA employees, Office of Human Capital Management, witnesses and
OPM.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to 5 U.S.C. 552a(k)(5), all investigatory material in the
record compiled for law enforcement purposes or for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, Federal contracts, or access to classified
information is exempt from the notification, access and contest
requirements (under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H),
and (I) and (f) of the Agency regulations. This exemption is necessary
in order to fulfill commitments made to protect the confidentiality of
sources and to maintain access to sources necessary in making
determinations of suitability for employment.
SBA 25
SYSTEM NAME:
Portfolio Reviews--SBA 25.
SYSTEM LOCATION:
Headquarters (HQ), Disaster Area Offices (DAO) and Disaster Home
Loan Service Centers (DHLSC). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Recipients of SBA Disaster Home Loans.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Reports compiled by the Office of Portfolio Review during review of
field office loan processing. Disaster Home Loans may be included.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the General Accounting Office in the course their review of
the Agency.
b. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the
[[Page 58622]]
DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By borrower's name, loan number and Social Security Number.
SAFEGUARDS:
Access and use limited to persons with official need to know to
know; personnel screening and computer passwords used to prevent
unauthorized disclosure.
RETENTION AND DISPOSAL:
In accordance with SOP 00 41 2 Item Nos. 95:04 and 95:06.
SYSTEM MANAGER(S) AND ADDRESS:
DAO and DHLSC Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Office of Portfolio Review, Loan Case Files, SBA personnel and
field visits to borrowers.
SBA 26
SYSTEM NAME:
Power of Attorney Files--SBA 26.
SYSTEM LOCATION:
Field Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Insurance agents who have the authority to execute a surety bond.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Records that identify individuals authorized to execute bonds for
surety companies.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6) and 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
b. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
c. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
d. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By agent and broker name.
SAFEGUARDS:
Access and use limited to persons with an official need to know;
personnel screening and computer passwords used to prevent unauthorized
disclosure.
RETENTION AND DISPOSAL:
In accordance with SOP 00 41 2 Item No. 50:21.
SYSTEM MANAGER(S) AND ADDRESSES:
Field Office Systems Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a records inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Authorizing surety company.
SBA 27
SYSTEM NAME:
Security and Investigations Files--SBA 27.
SYSTEM LOCATION:
Office of the Inspector General (OIG), Investigations Division,
Headquarters duty stations in the field and Federal Record Center
(FRC). See Appendix for SBA addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Active SBA employees that are subjects of investigations involving
alleged administrative violations or irregularities that may warrant
administrative disciplinary action. Inactive SBA employees that are
subject of Workers' Compensation Investigations.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Material gathered or created during preparation for, conduct of and
follow-
[[Page 58623]]
up on investigations conducted by OIG, the Federal Bureau of
Investigation (FBI) and other Federal, State, local or foreign
regulatory or law enforcement agencies as well as other material
submitted to or gathered by OIG in furtherance of its investigative
function. These records include FBI and other Federal, State, local and
foreign regulatory or law enforcement investigative reports, personal
history statements, background character checks, field investigations,
arrest and conviction records, parole and probation data,
recommendations and related correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. 3 (The Inspector General Act of 1978), 15 U.S.C.
Chapters 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, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising by
general or program statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement negotiations
when presenting evidence.
c. To any private or governmental source or person to secure
information relevant to an investigation or audit.
d. To other Federal conducting background checks, to the extent the
information is relevant to their function.
e. To any Federal, State, local, foreign, international, private
agency or organization for the hiring or retention of an individual,
issuance of a security clearance, reporting of an investigation of an
individual, letting of a contract or issuance of a license, grant or
other benefit, to the extent the information is relevant to their
decision on the matter.
f. To Federal, State or local bar associations and other
professional regulatory or disciplinary bodies for use in disciplinary
proceedings and inquiries.
g. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
h. To the General Accounting Office (GAO) for periodic reviews of
this SBA.
i. To the Office of Government Ethics for any purpose consistent
with their mission.
j. To the GAO and to the General Service Administration's Board of
Contract Appeals in bid protest cases involving an agency procurement.
k. To any Federal agency which has the authority to subpoena other
Federal agencies records and has issued a valid subpoena.
l. To the Department of the Treasury and the Department of Justice
(DOJ) when an agency is seeking an ex parte court order to obtain
taxpayer information from the Internal Revenue Service.
m. To debt collection contractors collecting delinquent authorized
by the Debt Collection Act of 1982, 31 U.S.C. 3718.
n. To a ``consumer reporting agency'' as that term is defined in
the Fair Credit Reporting Act (15 U.S.C. 1681 a(f)) and the Federal
Claims Collection Act of 1966 (31 U.S.C. 701(a)(3)), to obtain
information during an investigation or audit.
o. To agency personnel responsible for Program Civil Remedies Act
litigation, the tribunal and defendant's counsel.
p. To a grand jury agent pursuant to a Federal or State grand jury
subpoena or to a prosecution request that records be introduced to a
grand jury.
q. To the public under the Freedom of Information Act (FOIA), 5
U.S.C. 552.
r. To the DOJ to obtain advice regarding FOIA disclosure
obligations.
s. To the Office of Management and Budget to obtain that advice
regarding PA obligations.
t. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
u. To the DOJ when any of the following is a party to litigation or
has an interest in such litigation, and the use of such records by the
DOJ is deemed by the agency to be relevant and necessary to the
litigation, provided, however, that in each case, the agency determines
the disclosure of the records to the DOJ is a use of the information
contained in the records that is compatible with the purpose for which
the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
v. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS:
STORAGE:
Rotary diebold power files, file cabinets and electronic systems.
RETRIEVAL:
By name and referenced to the number of the IG file(s) containing
related material.
SAFEGUARDS:
Records are stored in locked filing cabinets or in filing cabinets
located in locked rooms. Access and use limited to persons with
official need to know; computers are protected by password and user
identification codes.
RETENTION AND DISPOSAL:
In accordance with Standard Operating Procedure 00 41 2 Item No.s
90:10 and 90:12. Cut off on separation of employee. OIG destroys
records of a non-adverse nature. Records containing adverse information
are retained by OIG and transferred to FRC five years after cutoff.
Destroy 15 years after cutoff.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for Investigations or designee. See
Appendix A.
[[Page 58624]]
NOTIFICATION PROCEDURE:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer. See Appendix A.
ACCESS PROCEDURES:
IG or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individual, Agency personnel, informants, the FBI and
investigative Government agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is
exempt from the application of all provisions of section 552a except
sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9),
(10), (11), and (i), to the extent that it consists of (A) information
compiled for the purpose of identifying individual criminal offenders
and alleged offenders and consisting only of identifying data and
notations of arrests, confinement, release, and parole and probation
status; (B) information compiled for the purpose of criminal
investigation, including reports of informants and investigators, and
associated with an identifiable individual; or (C) reports identifiable
to an individual compiled at any stage of the process of enforcement of
the criminal laws from arrest or indictment through release from
supervision. This system is exempted in order to maintain the efficacy
and integrity of the OIG's criminal law enforcement function.
(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, Federal
contracts, or access to classified information contained in this system
of records is exempt from sections 3(c)(3), (d), (e)(1), (e)(4)(G)
through (I), and (f) of the PA. 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G) through (I) and (f). 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 28
SYSTEM NAME:
Small Business Person and Advocate Awards--SBA 28.
SYSTEM LOCATION:
Headquarters (HQ) and Field Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Candidates and winners of the Small Business Person of the Year
Awards, Advocate Awards, Minority Small Business Person and Phoenix
Award.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Information regarding the candidacy and selection of Small Business
Person of the Year, Minority Small Business Person and Advocate of the
Year in field offices, applications, biographical summaries,
correspondence, recommendations and narratives. The record of Community
Development Awards in HQ includes biographical and qualifying
information as well as recommendations from field offices.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the news media for public disclosure of the name, address,
and biography of award recipients.
b. To communicate with State and local governments about the status
of a particular candidate.
c. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
d. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS, RETENTION AND DISPOSAL OF
RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By individual name.
SAFEGUARDS:
Access and use limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Records Schedule 16.8.
SYSTEM MANAGER(S) AND ADDRESS:
Field Office Systems Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
[[Page 58625]]
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORY:
Subject individual, recommendations from individual sponsors,
Advisory Council members, Agency personnel, research publications,
directories and news media.
SBA 29
SYSTEM NAME:
Standards of Conduct Files--SBA 29.
SYSTEM LOCATION:
Headquarters (HQ), Office of the Inspector General and Field
Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Confidential employment and financial statements of employees Grade
13 and above, Grade 12 Branch Managers and other designated
individuals. Ad Hoc Committee decisions and memoranda concerning
standards of conduct questions used as precedent for later decisions
(HQ only). Correspondence concerning conflicts of interest. List of all
SBA employees who have been indicted or convicted in matters involving
SBA business.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
13 CFR 105 parts 101 and 401.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising by
general or program statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement negotiations
when presenting evidence.
c. To the Office of Personnel Management when requested.
d. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
e. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
f. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
g. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS, RETENTION AND DISPOSAL OF
RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By employee name and/or Social Security Number.
SAFEGUARDS:
Access strictly limited to those employees with an official need to
know; computers secured by passwords and user identification codes.
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Records Schedule 1.1.
SYSTEM MANAGER(S) AND ADDRESS:
Systems Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Confidential statement of employment and financial interests by the
employee. Any adverse information could come from other employees or
from a member of the general public with specific knowledge of the
matter reported.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to 5 U.S.C. 552a(k)(5), all investigatory material in the
record compiled for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment, Federal
contracts, or access to classified information is exempt from the
notification, access, and contest requirements (under 5 U.S.C. 552a
(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Agency
regulations. This exemption is necessary in order to fulfill
communications made to protect the confidentiality of sources and
maintain access to sources necessary in making determinations of
suitability.
SBA 30
SYSTEM NAME:
Servicing and Contracts System/Minority Enterprise Development
Headquarters Reporitory--SBA 30.
[[Page 58626]]
SYSTEM LOCATION:
SBA Headquarters and all SBA district offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDE:
Applicants and program participants in SBA's 8(a) Business
Development program (8(a).
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDE:
8(a) Business Development program applications, business
development working files, business plan files and contract files
containing personal and financial information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Public Law 100-656, Small Business Act 15 U.S.C. 636, section (j)
(Technical and Management Assistance); Public Law 100-656, 15 U.S.C.
637, section 8(a) (Business Development).
PURPOSE:
To collect confidential business and financial information used to
determine if applicants and current 8(a) participants are in compliance
with statutory and regulatory requirements for continued eligibility
for program participation. This information facilitates the Agency in
carrying out the functions of the Office of 8(a) Business Development.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED, OR REFERRED:
a. To a Congressional office, when the office is inquiring on the
individual's behalf; the Member's access rights are no greater than the
individual's.
b. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
c. To the Federal, state, local or foreign agency or professional
organization which investigates, prosecutes, or enforces violation or
potential violation of law, arising by general or program statute, or
by regulation, rule, or order.
d. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES AND PRACTICES FOR STORAGE, RETRIEVAL, ACCESS, RETENTION AND
DISPOSAL OF RECORDS:
STORAGE:
Electronic database records reside on the SBA secured mainframe
system.
RETRIEVAL:
Name of individual and business name.
SAFEGUARDS:
Access and use is limited to persons whose official duties
designate such a need; personnel screening by password is used to
prevent unauthorized disclosure.
RETENTION AND DISPOSAL:
In accordance with SACS/MEDHR NI-309-03-4.
SYSTEM MANAGER(S) AND ADDRESS:
PA Officer, Associate Administrator for 8(a) Business Development
and the Field Office Systems Manager. See Appendix A.
NOTIFICATION PROCEDURES:
An individual, who is inquiring whether the System of Records
contain information about him or her, may submit a record inquiry
either in person or in writing to the PA Officer, Associate
Administrator for 8(a) Business Development or, Field Office Systems
Manager.
ACCESS PROCEDURES:
PA Officer or Field Office Systems Manager will determine
procedures.
CONTESTING PROCEDURES:
Individuals seeking to contest or amend information contained in
this system of records should contact the system manager listed above,
state the reason(s) for contesting the record and the proposed
amendment sought.
RECORD SOURCE CATEGORIES:
Small business concerns who have applied to or are participants in
the 8(a) Business Development program.
SBA 31
SYSTEM NAME:
Temporary Disaster Employees--SBA 31.
SYSTEM LOCATION:
Office of Disaster Assistance (ODA): HQ and Field locations. See
Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees who have been temporarily employed by the ODA.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Name, address, telephone number, Social Security Number (SSN),
Disaster Area, job series, grade and title, dates of employment, reason
for termination, supervisor's name and job and summary of supervisor's
evaluation. Possible violations of the Agency's Standards of Conduct
(13 CFR Part 105) and information, if any, concerning official
investigations and disciplinary actions taken.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED, OR REFERRED:
a. To verify previous employment with SBA when a former employee is
considered for reemployment.
b. To locate current or former employees with special skills or
[[Page 58627]]
language capabilities needed in specific situations.
c. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
d. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS, RETENTION AND DISPOSAL OF
RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name and/or SSN.
SAFEGUARDS:
Access and use limited to persons with official need to know;
computers are protected by password and user identification codes.
RETENTION AND DISPOSAL:
In accordance with National Records and Archives Administration
General Records Schedule 1.10.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Administrator for Disaster Assistance. See Appendix A.
NOTIFICATION PROCEDURE:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Disaster Area Offices.
SBA 32
SYSTEM NAME:
Tort Claims--SBA 32.
SYSTEM LOCATION:
Headquarters (HQ), Field Offices, Disaster Area Offices (DAO) and
Federal Records Center (FRC). See Appendix A for SBA addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
Government employees and other individuals involved in accidents.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Contains reports on accidents which result in tort claims involving
the Government.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101, 42 U.S.C. 3211.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED, OR REFERRED:
a. To the Department of Justice (DOJ) for handling of the suit and
the preparation and presentation of the case in the event that a tort
claim results in a court suit.
b. To the General Services Administration for reporting on
accidents and tort claims.
c. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
d. To a rental car company responsible for personal injuries and
property damage.
e. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
f. To the DOJ when any of the following is a party to litigation or
has an interest in such litigation, and the use of such records by the
DOJ is deemed by the agency to be relevant and necessary to the
litigation, provided, however, that in each case, the agency determines
the disclosure of the records to the DOJ is a use of the information
contained in the records that is compatible with the purpose for which
the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
g. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
[[Page 58628]]
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS, RETENTION AND DISPOSAL OF
RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
Name of involved individual.
SAFEGUARDS:
Locked cabinets. Access and use limited to persons with official
need to know; computers are protected by password and user
identification codes.
RETENTION AND DISPOSAL:
In accordance with National Archives and Records Administration
General Records Schedule 6.10.
SYSTEM MANAGER(S) AND ADDRESS:
Field Office Systems Manager or DAO Director. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Individuals involved in accident, witnesses, investigation of the
accident.
SBA 33
SYSTEM NAME:
Travel Files--SBA 33.
SYSTEM LOCATION:
All SBA offices, Denver Financial Center, Denver and Federal
Records Center (FRC). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
Employee travel vouchers.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED,
DISCLOSED, OR REFERRED:
a. To the General Accounting Office in the course of an audit of
the SBA.
b. To the appropriate Federal, State, local or foreign agency or
professional organization which has responsibility for investigating,
prosecuting or enforcing violations, statutes rules, regulations or
orders issued when the Agency identifies a violation or potential
violation of law arising by general or program statute, by regulation,
rule or order.
c. To a Congressional office from an individual's record, when the
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
d. To Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each case,
the agency determines the disclosure of the records to the DOJ is a use
of the information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to appear
or before which any of the following is a party to litigation or has an
interest in litigation, provided, however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible with
the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines that
litigation is likely to affect the agency or any of its components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS, RETENTION AND DISPOSAL OF
RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By employee name.
SAFEGUARDS:
Access and use limited to persons with official need to know;
computers are protected by passwords and user identification codes.
RETENTION AND DISPOSAL:
Records are maintained according to National Archives and Records
Administration's General Record Schedule 6.1.a.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Financial Officer. See Appendix A for address.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer. See Appendix A.
ACCESS PROCEDURES:
System Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Employees Travel Vouchers.
Dated: September 21, 2004.
Delorice P. Ford,
Senior Privacy Act Official, Small Business Administration.
[FR Doc. 04-21670 Filed 9-29-04; 8:45 am]
BILLING CODE 8025-01-P