[Federal Register Volume 71, Number 196 (Wednesday, October 11, 2006)]
[Notices]
[Pages 59818-59830]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-16814]


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DEPARTMENT OF JUSTICE

[AAG/A Order No. 016-2006]


Privacy Act of 1974; Systems of Records

AGENCY: United States Trustee Program, Department of Justice.

ACTION: Notice of modifications to current systems of records and 
establishment of a new system of records.

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SUMMARY: Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a) and Office 
of Management and Budget Circular No. A-130, the United States Trustee 
Program (USTP), Department of Justice, proposes to modify the following 
existing Privacy Act systems of records:
    JUSTICE/UST-001, ``Bankruptcy Case Files and Associated Records'' 
(last substantively revised on March 4, 2004, at 69 FR 10255; as 
amended June 15, 2004, 69 FR 33403); JUSTICE/UST-002, ``Bankruptcy 
Trustee Oversight Records'' (last substantively revised on March 4, 
2004, at 69 FR 10255; as amended June 15, 2004, 69 FR 33403); JUSTICE/
UST-003, ``U.S. Trustee Program Timekeeping Records'' (last 
substantively revised on March 4, 2004, at 69 FR 10255; as amended June 
15, 2004, 69 FR 33403); and JUSTICE/UST-004, ``U.S. Trustee Program 
Case Referral System'' (last substantively revised on March 4, 2004, at 
69 FR 10255; as amended June 15, 2004, 69 FR33403). In addition, the 
USTP proposes to establish a new system of records entitled, JUSTICE/
UST-005, ``Credit Counseling and Debtor Education Files and Associated 
Records.'' The modified system notices and the new system notice are 
published in their entirety below.

DATES: These actions will be effective November 20, 2006.

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

SUPPLEMENTARY INFORMATION: On April 20, 2005, amendments to the 
Bankruptcy Code, 11 U.S.C. 101, et seq., were enacted that took effect 
on October 17, 2005. Under the new provisions, all individual debtors 
are required to receive credit counseling and a budget analysis from a 
USTP approved nonprofit budget and credit counseling agency within 180 
days prior to filing a bankruptcy petition. Also, an individual debtor 
is required to take a personal financial management course from a USTP 
approved debtor education provider before receiving a bankruptcy 
discharge. The United States Trustees approve credit counseling and 
debtor education providers after determining their qualifications meet 
the standards set forth in the Bankruptcy Code and agency regulations. 
Accordingly, a new system of records is needed to cover applicants 
seeking to be USTP approved and reapproved providers of credit 
counseling and debtor education services under the Bankruptcy Code, as 
well as individuals who submit complaints and comments to the USTP 
regarding such providers. The records in this system will be used, 
among other things, to assist the EOUST and United States Trustees to 
assess the qualifications of credit counseling and debtor education 
applicants and providers, ensure compliance with the statutory and 
regulatory requirements, and collect and maintain complaints and 
comments submitted by individuals.

[[Page 59819]]

    In addition to the above amendments, other changes to the 
Bankruptcy Code further necessitate modifications to the categories of 
individuals in JUSTICE/UST-001 and JUSTICE/UST-003 and to the 
categories of records in JUSTICE/UST-001 and JUSTICE/UST-004. For 
example, individual debtors must undergo means testing and possible 
debtor audits and, in certain business cases, bankruptcy examiners and 
ombudsmen may be appointed. The USTP is also implementing a new 
employee timekeeping system. Besides modifications to comport with 
amendments to the Bankruptcy Code, the USTP has made minor changes and 
clarifications in its existing systems of records to correct 
typographical errors, update certain statutory references, reflect 
uniform nomenclature changes, and add data elements. A summary of the 
changes to the current systems of records and a summary of the new 
system of records is set forth below:
    In system of records JUSTICE/UST-001, Bankruptcy Case Files and 
Associated Records, the paragraph entitled ``Categories of Individuals 
Covered by the System'' has been modified to cover credit counseling 
and debtor education providers, auditors, examiners, and ombudsmen, as 
well as individuals who may be considered for appointment as trustees, 
examiners, and ombudsmen. Also included in the system are individuals 
who have filed complaints or inquiries related to a bankruptcy case 
with the USTP. The ``Categories of Records in the System'' paragraph 
has been revised to include new categories of records resulting from 
amendments to the Bankruptcy Code and to reflect the types of records 
covered by this system. The routine use that allows the release of 
information to bankruptcy trustees has been modified to clarify that 
such information may be shared when necessary to enable trustees to 
respond to complaints and inquiries by interested parties. Four new 
``Routine Uses'' are being added for release of information to law 
enforcement authorities, USTP approved credit counseling and debtor 
education providers, bankruptcy examiners, and ombudsmen. The 
``Retrievability'' and ``Record Source Categories'' paragraphs have 
been updated to reflect agency practices. The system of records was 
also modified to correct typographical errors, update certain statutory 
references, and reflect uniform nomenclature changes.
    System of records, JUSTICE/UST-002, Bankruptcy Trustee Oversight 
Records, was modified to reflect uniform nomenclature changes. Also, 
the routine use that allows the release of information to bankruptcy 
trustees has been modified to clarify that such information may be 
shared when necessary to enable trustees to respond to complaints and 
inquiries by interested parties. A new routine use allows information 
to be shared with law enforcement authorities.
    System of records, JUSTICE/UST-003, U.S. Trustee Program 
Timekeeping Records, was modified to reflect uniform nomenclature 
changes. Also, the ``Categories of Individuals Covered by the System'' 
and the ``System Managers and Address'' paragraphs were modified to 
reflect agency practices.
    In system of records JUSTICE/UST-004, U.S. Trustee Program Case 
Referral System, the paragraph ``Categories of Records in the System'' 
has been modified to include information pertaining to credit 
counseling and debtor education providers. The routine use that allows 
the release of information to bankruptcy trustees has been modified to 
clarify that such information may be shared when necessary to enable 
trustees to respond to complaints and inquiries by interested parties. 
Four new ``Routine Uses'' are being added for release of information to 
law enforcement authorities, USTP approved credit counseling and debtor 
education providers, bankruptcy examiners, and ombudsmen. The 
``Retention and Disposal'' paragraph is being amended to include 
criminal referral records in which a criminal case has been brought 
against an individual subject (National Archives and Records 
Administration approval pending). The system of records was also 
modified to reflect uniform nomenclature changes.
    The USTP has added a new system of records entitled JUSTICE/UST-
005, Credit Counseling and Debtor Education Files and Associated 
Records, to cover applicants seeking to be USTP approved and reapproved 
providers of credit counseling and debtor education services under the 
Bankruptcy Code, as well as third parties who submit information, 
including complaints and comments, to the USTP regarding such 
providers. In addition to the standard routine uses currently used in 
the existing systems of records, three new routine uses are being added 
to system of records JUSTICE/UST-005: (1) for the release of 
information to law enforcement authorities, (2) for the release of 
information to appropriate third parties, including government 
agencies, in connection with USTP decisions to grant, deny, or revoke 
approval or reapproval of credit counseling and debtor education 
applicants and providers, and (3) for the release of information to 
approved credit counseling and debtor education providers to the extent 
necessary to enable providers to accomplish the credit counseling and 
debtor education requirements of the Bankruptcy Code and to respond to 
complaints and inquiries submitted to the USTP by interested parties. 
The entire systems of records notice is published below.
    In accordance with 5 U.S.C. 552a(e)(4) and (11), the public is 
given a 30-day period in which to comment; and the Office of Management 
and Budget (OMB), which has oversight responsibility of the Act, 
requires a 40-day period in which to conclude its review of the system. 
Therefore, please submit any comments by November 20, 2006. The public, 
OMB, and Congress are invited to submit comments to: Mary Cahill, 
Management and Planning Staff, Justice Management Division, Department 
of Justice, Washington, DC 20530 (Room 1400, National Place Building).
    In accordance with 5 U.S.C. 552a(r), the Department has provided a 
report to OMB and Congress.

    Dated: October 4, 2006.
Lee J. Lofthus,
Acting Assistant Attorney General for Administration.
JUSTICE/UST-001

SYSTEM NAME:
    Bankruptcy Case Files and Associated Records.

SECURITY CLASSIFICATION:
    Sensitive But Unclassified.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals and entities involved in cases or proceedings under the 
Bankruptcy Code (11 U.S.C. 101, et seq.), including, but not limited 
to: debtors; creditors; bankruptcy trustees; other parties in interest; 
professionals, attorneys, and agents representing debtors, creditors, 
and trustees; credit counselors; debtor education providers; auditors; 
examiners; ombudsmen; and individuals who may be considered for 
appointment as trustees, examiners, and

[[Page 59820]]

ombudsmen, or otherwise involved in bankruptcy cases or proceedings.
    Individuals who have filed complaints, inquiries, or comments 
related to a bankruptcy case with the USTP.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records in this system may include: (a) Petitions/orders for 
relief; (b) schedules of assets and liabilities of debtors; (c) lists 
of creditors; (d) statements of financial affairs; (e) operating or 
status reports; (f) alphabetical cross-reference index cards; (g) 
general correspondence regarding bankruptcy cases and proceedings; (h) 
miscellaneous investigative records; (i) copies of certain pleadings, 
official forms, or other papers filed in court, including those filed 
by the USTP; (j) appraisal reports; (k) names of bank depositories and 
amounts of funds deposited therein; (l) names of sureties and amounts 
of trustees' bonds; (m) tape or other recordings of creditors meetings 
conducted under 11 U.S.C. 341 for the purpose of examination of debtors 
by creditors, trustees, and others; (n) plans filed under chapter 11, 
12, or 13; (o) names of persons serving as counsel, trustee, 
professionals, or other functionaries in bankruptcy cases and 
proceedings, including compensation earned or sought by each; (p) names 
and qualifications of individuals who may be considered for appointment 
as trustees, examiners, and ombudsmen; (q) names and contact 
information of credit counselors and debtor education providers; (r) 
credit counseling certificates, debtor education certificates, 
certificate numbers, completion dates of credit counseling briefings 
and debtor education courses; (s) debt management plans; (t) means test 
review forms; (u) targeted and random debtor audit forms, audit 
reports, and related working papers; (v) federal and state tax returns; 
and (w) other case-related information, such as case number, case 
status, case type, parties' names and other personal identifiers, 
Social Security numbers and financial account numbers, estate assets/
liabilities, case filings/reports, trustee bonds, calendars of meetings 
and hearings, due dates of plan, schedules and other filings, 
creditors' committee status, attorneys/professionals' data, and 
trustees/examiners' data, and ombudsmen data, including health care and 
medical records of patients of entities involved in cases or 
proceedings under 11 U.S.C. 101, et seq. and related information.

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

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (A) Release of Information to Former Employees:
    The Department of Justice may disclose relevant and necessary 
information to a former employee of the Department for purposes of: 
responding to an official inquiry by a federal, state, or local 
government entity or professional licensing authority, in accordance 
with applicable Department regulations; or facilitating communications 
with a former employee that may be necessary for personnel-related or 
other official purposes where the Department requires information and/
or consultation assistance from the former employee regarding a matter 
within that person's former area of responsibility.
    (B) Release of Information to Contractors:
    Information from these records may be disclosed to contractors, 
grantees, experts, consultants, students, and others performing or 
working on a contract, service, grant, cooperative agreement, or other 
assignment for the federal government, when necessary to accomplish an 
agency function related to this system of records.
    (C) Release of Information in Proceedings:
    Information from these records may be disclosed in an appropriate 
proceeding before a court, or administrative or adjudicative body, when 
the Department of Justice determines that the records are arguably 
relevant to the proceeding; or in an appropriate proceeding before an 
administrative or adjudicative body when the adjudicator determines the 
records to be relevant to the proceeding.
    (D) Release of Information for Litigation-related Discussions:
    Information from these records may be disclosed to an actual or 
potential party to litigation or the party's authorized representative 
for the purpose of negotiation or discussion of such matters as 
settlement, plea bargaining, or in informal discovery proceedings.
    (E) Release of Information to Bankruptcy Trustees:
    Information from these records may be disclosed to a trustee under 
chapter 7, 11, 12, or 13 of title 11, U.S. Code, when the United States 
Trustee determines that the release of such information is necessary to 
enable the trustee to properly administer a case or to perform the 
duties and responsibilities of a case trustee under 28 U.S.C. 586, 18 
U.S.C. 3057, or 11 U.S.C. 101, et seq., including responding to 
complaints and inquiries related to a bankruptcy case, submitted to the 
USTP by interested parties.
    (F) Release of Information to Complainants and Victims:
    Information from these records may be disclosed to complainants 
and/or victims to the extent necessary to provide such persons with 
information and explanations concerning the progress and/or results of 
the investigation or case arising from the matters of which they 
complained and/or of which they were a victim.
    (G) Release of Information to the News Media:
    Information from these records may be disclosed to the news media 
and the public, including disclosures pursuant to 28 CFR 50.2, unless 
it is determined that release of the specific information in the 
context of a particular case would constitute an unwarranted invasion 
of personal privacy.
    (H) Release of Information to Members of Congress:
    Information from these records may be disclosed to a Member of 
Congress or staff acting upon the Member's behalf when the Member or 
staff requests the information on behalf of, and at the request of, the 
individual who is the subject of the record.
    (I) Release of Information to National Archives and Records 
Administration:
    A record from this system of records may be disclosed to the 
National Archives and Records Administration for purposes of records 
management

[[Page 59821]]

inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
    (J) Release of Information to Law Enforcement or Regulatory 
Agencies:
    With respect to non-law enforcement records, where a record, either 
alone or in conjunction with other information, indicates a violation 
or potential violation of law--criminal, civil, or regulatory in 
nature--the relevant records may be referred to the appropriate 
federal, state, local, tribal, or foreign law enforcement authority or 
other appropriate entity charged with the responsibility for 
investigating or prosecuting such violation or charged with enforcing 
or implementing such law.
    (K) Release of Information to Licensing Agencies:
    Information from these records may be disclosed to federal, state, 
local, tribal, foreign or international licensing agencies or 
associations which require information concerning the suitability or 
eligibility of an individual for a license or permit.
    (L) Release of Information for Employment, Clearance, Contract, or 
Grant Purposes:
    Information from these records may be disclosed to appropriate 
officials and employees of a Federal agency or entity which requires 
information relevant to a decision concerning the hiring, appointment, 
or retention of an employee; the issuance, renewal, suspension, or 
revocation of a security clearance; the execution of a security or 
suitability investigation; the letting of a contract, or the issuance 
of a grant or benefit.
    (M) Release of Information to Credit/Consumer Reporting Agencies:
    Information from these records may be disclosed to a credit or 
consumer reporting agency, as such terms are used in the Fair Credit 
Reporting Act (15 U.S.C. 1681, et seq.) and the Debt Collection Act (31 
U.S.C. 3701, et seq.,) when such information is necessary or 
appropriate to ensure that bankruptcy-related credit information is 
correct and accurate.
    (N) Release of Information related to Investigations and 
Proceedings:
    Information from these records may be disclosed in the course of 
investigating the potential or actual violation of any law--whether 
civil, criminal, or regulatory in nature--or for the preparation of a 
trial or hearing for such violation. Such information may be disclosed 
to a Federal, state, local, tribal, or foreign agency, or to an 
individual or organization, if there is reason to believe that such 
agency, individual, or organization possesses information relating to 
the investigation, trial, or hearing, and if the dissemination is 
reasonably necessary to elicit such information or to obtain the 
cooperation of a witness or an informant.
    (O) Release of Information in connection with Section 341 Meetings:
    Information from these records may be disclosed in connection with 
meetings held under 11 U.S.C. 341 and related proceedings, when the 
Department of Justice determines that the records are arguably relevant 
to such meetings or bankruptcy proceedings. Transcripts or other 
records of such meetings may also be disclosed upon request pursuant to 
relevant bankruptcy laws or rules.
    (P) Release of Information to Law Enforcement Authority:
    With respect to law enforcement records, to any criminal, civil, or 
regulatory law enforcement authority (whether federal, state, local, 
tribal, or foreign) where the information is relevant to the recipient 
entity's law enforcement responsibilities.
    (Q) Release of Information to USTP Approved Credit Counseling and 
Debtor Education Providers:
    Information from these records may be disclosed to a USTP approved 
credit counseling and/or debtor education provider when the EOUST or 
United States Trustee determines that the release of such information 
is necessary to enable the approved provider to properly perform the 
duties and responsibilities of a credit counseling and/or debtor 
education provider under 11 U.S.C. 101, et seq., and other legal 
authority, including responding to complaints and inquiries related to 
the provider, submitted to the USTP by interested parties.
    (R) Release of Information to Bankruptcy Examiners:
    Information from these records may be disclosed to a bankruptcy 
examiner appointed in a case under title 11, U.S. Code, when the United 
States Trustee determines that the release of such information is 
necessary to enable the bankruptcy examiner to properly perform the 
duties and responsibilities of an examiner under 11 U.S.C. 101, et 
seq., and other legal authority, including responding to complaints and 
inquiries related to a bankruptcy case, submitted to the USTP by 
interested parties.
    (S) Release of Information to Ombudsmen:
    Information from these records may be disclosed to an ombudsman 
appointed in a case under title 11, U.S. Code, when the United States 
Trustee determines that the release of such information is necessary to 
enable the ombudsman to properly perform the duties and 
responsibilities of an ombudsman under 11 U.S.C. 101, et seq., and 
other legal authority, including responding to complaints and inquiries 
related to a bankruptcy case, submitted to the USTP by interested 
parties.

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

RETRIEVABILITY:
    In USTP field offices, bankruptcy case records are retrieved by 
bankruptcy court case numbers, cross-referenced alphabetically by names 
of debtors. Bankruptcy case records pertaining to case trustees, 
sureties, depository banks, and to agents representing parties are 
maintained and retrieved alphabetically. Bankruptcy case records and 
records of potential candidates for appointment as trustees, examiners, 
and ombudsmen in the EOUST are maintained and retrieved alphabetically 
by name of the debtor or the particular person involved. Automated 
information is retrieved by a variety of key words, including names of 
individuals.

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

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

[[Page 59822]]

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

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

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

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

RECORD SOURCE CATEGORIES:
    Sources of information contained in this system generally consist 
of debtors, creditors, trustees, examiners, auditors, ombudsmen, USTP 
approved credit counseling and/or debtor education providers, 
attorneys, and other agents participating in the administration of a 
case, judges of the bankruptcy courts and other judicial officers, 
parties in interest, and employees of the USTP.

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

SYSTEM NAME:
    Bankruptcy Trustee Oversight Records

SECURITY CLASSIFICATION:
    Sensitive But Unclassified

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

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

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

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

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (A) Release of Information to Former Employees:
    The Department of Justice may disclose relevant and necessary 
information to a former employee of the Department for purposes of: 
responding to an official inquiry by a federal, state, or local 
government entity or professional licensing authority, in accordance 
with applicable Department regulations; or facilitating communications 
with a former employee that may be necessary for personnel-related or 
other official purposes where the Department requires information and/
or consultation assistance from the former employee regarding a matter 
within that person's former area of responsibility.
    (B) Release of Information to Contractors:
    Information from these records may be disclosed to contractors, 
grantees, experts, consultants, students, and others performing or 
working on a contract, service, grant, cooperative agreement, or other 
assignment for the federal government, when necessary to accomplish an 
agency function related to this system of records.
    (C) Release of Information in Proceedings:
    Information from these records may be disclosed in an appropriate 
proceeding before a court, or administrative or adjudicative body, when 
the Department of Justice determines that the records are arguably 
relevant to the proceeding; or in an appropriate proceeding before an 
administrative or adjudicative body when the adjudicator determines the 
records to be relevant to the proceeding.
    (D) Release of Information for Litigation-related Discussions:
    Information from these records may be disclosed to an actual or 
potential party to litigation or the party's authorized representative 
for the purpose of negotiation or discussion of such matters as 
settlement, plea bargaining, or in informal discovery proceedings.
    (E) Release of Information to Bankruptcy Trustees:
    Information from these records may be disclosed to a trustee under 
chapter 7, 11, 12, or 13 of title 11, U.S. Code, when the United States 
Trustee determines that the release of such information is necessary to 
enable the trustee to properly administer a case or to perform the 
duties and responsibilities of a case trustee under 28 U.S.C. 586, 18 
U.S.C. 3057, or 11 U.S.C. 101, et seq., including responding to 
complaints and inquiries related to a bankruptcy case, submitted to the 
USTP by interested parties.
    (F) Release of Information to Complainants and Victims:
    Information from these records may be disclosed to complainants 
and/or victims to the extent necessary to provide such persons with 
information and explanations concerning the progress and/or results of 
the investigation or case arising from the matters of which they 
complained and/or of which they were a victim.
    (G) Release of Information to the News Media:
    Information from these records may be disclosed to the news media 
and the public, including disclosures pursuant to 28 CFR 50.2, unless 
it is determined

[[Page 59823]]

that release of the specific information in the context of a particular 
case would constitute an unwarranted invasion of personal privacy.
    (H) Release of Information to Members of Congress:
    Information from these records may be disclosed to a Member of 
Congress or staff acting upon the Member's behalf when the Member or 
staff requests the information on behalf of, and at the request of, the 
individual who is the subject of the record.
    (I) Release of Information to National Archives and Records 
Administration:
    A record from this system of records may be disclosed to the 
National Archives and Records Administration for purposes of records 
management inspections conducted under the authority of 44 U.S.C. 2904 
and 2906.
    (J) Release of Information to Law Enforcement or Regulatory 
Agencies:
    With respect to non-law enforcement records, where a record, either 
alone or in conjunction with other information, indicates a violation 
or potential violation of law--criminal, civil, or regulatory in 
nature--the relevant records may be referred to the appropriate 
federal, state, local, tribal, or foreign law enforcement authority or 
other appropriate entity charged with the responsibility for 
investigating or prosecuting such violation or charged with enforcing 
or implementing such law.
    (K) Release of Information to Licensing Agencies:
    Information from these records may be disclosed to federal, state, 
local, tribal, foreign, or international licensing agencies or 
associations which require information concerning the suitability or 
eligibility of an individual for a license or permit.
    (L) Release of Information to Credit/Consumer Reporting Agencies:
    Information from these records may be disclosed to a credit or 
consumer reporting agency, as such terms are used in the Fair Credit 
Reporting Act (15 U.S.C. 1681, et seq.) and the Debt Collection Act (31 
U.S.C. 3701, et seq.), when such information is necessary or 
appropriate to ensure that bankruptcy-related credit information is 
correct and accurate.
    (M) Release of Information Related to Investigations and 
Proceedings:
    Information from these records may be disclosed in the course of 
investigating the potential or actual violation of any law--whether 
civil, criminal, or regulatory in nature--or for the preparation of a 
trial or hearing for such violation. Such information may be disclosed 
to a federal, state, local, tribal, or foreign agency, or to an 
individual or organization, if there is reason to believe that such 
agency, individual, or organization possesses information relating to 
the investigation, trial, or hearing, and if the dissemination is 
reasonably necessary to elicit such information or to obtain the 
cooperation of a witness or an informant.
    (N) Release of Information in Connection with Section 341 Meetings:
    Information from these records may be disclosed in connection with 
meetings held under 11 U.S.C. 341 and related proceedings when the 
Department of Justice determines that the records are arguably relevant 
to such meetings or proceedings. Transcripts or other records of such 
meetings may also be disclosed upon request pursuant to relevant 
bankruptcy laws or rules.
    (O) Release of Information to Law Enforcement Authority
    With respect to law enforcement records, to any criminal, civil, or 
regulatory law enforcement authority (whether federal, state, local, 
tribal, or foreign) where the information is relevant to the recipient 
entity's law enforcement responsibilities.

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

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

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

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

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

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

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

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

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

[[Page 59824]]

JUSTICE/UST-003

SYSTEM NAME:
    U.S. Trustee Program Timekeeping Records.

SECURITY CLASSIFICATION:
    Sensitive But Unclassified.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Employees of the USTP field offices, generally to include Assistant 
United States Trustees, trial attorneys, bankruptcy analysts, paralegal 
specialists, and clerical support staff.

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

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

PURPOSE:
    This system consists of records of the work time of employees of 
the USTP, and is used, e.g., to evaluate workload as a basis for 
requesting and allocating personnel and other resources.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (A) Release of Information to Former Employees:
    The Department of Justice may disclose relevant and necessary 
information to a former employee of the Department for purposes of: 
responding to an official inquiry by a federal, state, or local 
government entity or professional licensing authority, in accordance 
with applicable Department regulations; or facilitating communications 
with a former employee that may be necessary for personnel-related or 
other official purposes where the Department requires information and/
or consultation assistance from the former employee regarding a matter 
within that person's former area of responsibility.
    (B) Release of Information to Contractors:
    Information from these records may be disclosed to contractors, 
grantees, experts, consultants, students, and others performing or 
working on a contract, service, grant, cooperative agreement, or other 
assignment for the federal government, when necessary to accomplish an 
agency function related to this system of records.
    (C) Release of Information to Members of Congress:
    Information from these records may be disclosed to a Member of 
Congress or staff acting upon the Member's behalf when the Member or 
staff requests the information on behalf of, and at the request of, the 
individual who is the subject of the record.
    (D) Release of Information to National Archives and Records 
Administration:
    A record from this system of records may be disclosed to the 
National Archives and Records Administration for the purposes of 
records management inspections conducted under the authority of 44 
U.S.C. 2904 and 2906.
    (E) Release of Information in Proceedings:
    Information from these records may be disclosed in an appropriate 
proceeding before a court, or administrative or adjudicative body, when 
the Department of Justice determines that the records are arguably 
relevant to the proceeding; or in an appropriate proceeding before an 
administrative or adjudicative body when the adjudicator determines the 
records to be relevant to the proceeding.
    (F) Release of Information related to Investigations and 
Proceedings:
    Information from these records may be disclosed in the course of 
investigating the potential or actual violation of any law--whether 
civil, criminal, or regulatory in nature--or for the preparation of a 
trial or hearing for such violation. Such information may be disclosed 
to a federal, state, local, tribal, or foreign agency, or to an 
individual or organization, if there is reason to believe that such 
agency, individual, or organization possesses information relating to 
the investigation, trial, or hearing, and if the dissemination is 
reasonably necessary to elicit such information or to obtain the 
cooperation of a witness or an informant.

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

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

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

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

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

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

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

CONTESTING RECORD PROCEDURES:
    Individuals desiring to contest or amend information maintained in 
the system should clearly and concisely state what information is being 
contested, the reasons for contesting it,

[[Page 59825]]

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

RECORD SOURCE CATEGORIES:
    Sources of information contained in this system generally consist 
of USTP personnel.

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

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

SECURITY CLASSIFICATION:
    Sensitive But Unclassified.

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Entities and individuals involved in the bankruptcy process who are 
suspected of having engaged in criminal conduct or of having violated 
other federal laws, and whose activities have been or may be 
investigated or reported by the USTP to a United States Attorney or 
other law enforcement authority for investigation, prosecution, or 
other action pursuant to 28 U.S.C. 586, 18 U.S.C. 3057, or other legal 
authority.

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    This system is established and maintained pursuant to the 
responsibilities of the USTP under, e.g., 28 U.S.C. 581, et seq., 11 
U.S.C. 101, et seq., and 18 U.S.C. 3057.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    (A) Release of Information to Former Employees:
    The Department of Justice may disclose relevant and necessary 
information to a former employee of the Department for purposes of: 
responding to an official inquiry by a federal, state, or local 
government entity or professional licensing authority, in accordance 
with applicable Department regulations; or facilitating communications 
with a former employee that may be necessary for personnel-related or 
other official purposes where the Department requires information and/
or consultation assistance from the former employee regarding a matter 
within that person's former area of responsibility.
    (B) Release of Information to Contractors:
    Information from these records may be disclosed to contractors, 
grantees, experts, consultants, students, and others performing or 
working on a contract, service, grant, cooperative agreement, or other 
assignment for the federal government, when necessary to accomplish an 
agency function related to this system of records.
    (C) Release of Information in Proceedings:
    Information from these records may be disclosed in an appropriate 
proceeding before a court, or administrative or adjudicative body, when 
the Department of Justice determines that the records are arguably 
relevant to the proceeding; or in an appropriate proceeding before an 
administrative or adjudicative body when the adjudicator holds the 
records to be relevant to the proceeding.
    (D) Release of Information for Litigation-related Discussions:
    Information from these records may be disclosed to an actual or 
potential party to litigation or the party's authorized representative 
for the purpose of negotiation or discussion of such matters as 
settlement, plea bargaining, or in informal discovery proceedings.
    (E) Release of Information to Bankruptcy Trustees:
    Information from these records may be disclosed to a trustee under 
chapter 7, 11, 12, or 13 of title 11, U.S. Code, when the United States 
Trustee determines that the release of such information is necessary to 
enable the trustee to properly administer a case or to perform the 
duties and responsibilities of a case trustee under 28 U.S.C. 586, 18 
U.S.C. 3057, or 11 U.S.C. 101, et seq., including responding to 
complaints and inquiries related to a bankruptcy case, submitted to the 
USTP by interested parties.
    (F) Release of Information to Complainants and Victims:
    Information from these records may be disclosed to complainants 
and/or victims to the extent necessary to provide such persons with 
information and explanations concerning the progress and/or results of 
the investigation or case arising from the matters of which they 
complained and/or of which they were a victim.

[[Page 59826]]

    (G) Release of Information to the News Media:
    Information from these records may be disclosed to the news media 
and the public, including disclosures pursuant to 28 CFR 50.2, unless 
it is determined that release of the specific information in the 
context of a particular case would constitute an unwarranted invasion 
of privacy.
    (H) Release of Information to Members of Congress:
    Information from these records may be disclosed to a Member of 
Congress or staff acting on the Member's behalf when the Member or 
staff requests the information on behalf of, and at the request of, the 
individual to whom the records pertain.
    (I) Release of Information to National Archives and Records 
Administration:
    These records may be disclosed to the National Archives and Records 
Administration for purposes of records management inspections conducted 
under the authority of 44 U.S.C. 2904 and 2906.
    (J) Release of Information to Law Enforcement or Regulatory 
Agencies:
    With respect to non-law enforcement records, where a record, either 
alone or in conjunction with other information, indicates a violation 
or potential violation of law--criminal, civil, or regulatory in 
nature--the relevant records may be referred to the appropriate 
federal, state, local, tribal, or foreign law enforcement authority or 
other appropriate entity charged with the responsibility for 
investigating or prosecuting such violation or charged with enforcing 
or implementing such law.
    (K) Release of Information to Licensing Agencies:
    Information from these records may be disclosed to federal, state, 
local, tribal, foreign, or international licensing agencies or 
associations which require information concerning the suitability or 
eligibility of an individual for a license or permit.
    (L) Release of Information to Judicial Branch:
    These records may be disclosed to members of the judicial branch of 
the federal government where disclosure appears relevant to the 
authorized function of the recipient judicial office or court system 
under 18 U.S.C. 3057.
    (M) Release of Information to Credit/Consumer Reporting Agencies:
    Information from these records may be disclosed to a credit or 
consumer reporting agency, as such terms are used in the Fair Credit 
Reporting Act (15 U.S.C. 1681, et seq.) and the Debt Collection Act (31 
U.S.C. 3701, et seq.), when such information is necessary or 
appropriate to ensure that bankruptcy-related credit information is 
correct and accurate.
    (N) Release of Information Related to Investigations and 
Proceedings:
    Information from these records may be disclosed in the course of 
investigating the potential or actual violation of any law--whether 
civil, criminal, or regulatory in nature--or for the preparation of a 
trial or hearing for such violation. Such information may be disclosed 
to a federal, state, local, tribal, or foreign agency, or to an 
individual or organization, if there is reason to believe that such 
agency, individual, or organization possesses information relating to 
the investigation, trial, or hearing, and if the dissemination is 
reasonably necessary to elicit such information or to obtain the 
cooperation of a witness or an informant.
    (O) Release of Information in Connection with Section 341 Meetings:
    Information from these records may be disclosed in connection with 
meetings held under 11 U.S.C. 341 and related proceedings, when the 
Department of Justice determines that the records are arguably relevant 
to such meetings or proceedings. Transcripts or other records of such 
meetings may also be disclosed upon request pursuant to relevant 
bankruptcy laws or rules.
    (P) Release of Information to Law Enforcement Authority:
    With respect to law enforcement records, to any criminal, civil, or 
regulatory law enforcement authority (whether federal, state, local, 
tribal, or foreign) where the information is relevant to the recipient 
entity's law enforcement responsibilities.
    (Q) Release of Information to USTP Approved Credit Counseling and 
Debtor Education Providers:
    Information from these records may be disclosed to a USTP approved 
credit counseling and/or debtor education provider when the EOUST or 
United States Trustee determines that the release of such information 
is necessary to enable the approved provider to properly perform the 
duties and responsibilities of a credit counseling and/or debtor 
education provider under 11 U.S.C. 101, et seq., and other legal 
authority, including responding to complaints and inquiries related to 
the provider, submitted to the USTP by interested parties.
    (R) Release of Information to Bankruptcy Examiners:
    Information from these records may be disclosed to a bankruptcy 
examiner appointed in a case under title 11, U.S. Code, when the United 
States Trustee determines that the release of such information is 
necessary to enable the bankruptcy examiner to properly perform the 
duties and responsibilities of an examiner under 11 U.S.C. 101, et 
seq., and other legal authority, including responding to complaints and 
inquiries related to a bankruptcy case, submitted to the USTP by 
interested parties.
    (S) Release of Information to Ombudsmen:
    Information from these records may be disclosed to an ombudsman 
appointed in a case under title 11, U.S. Code, when the United States 
Trustee determines that the release of such information is necessary to 
enable the ombudsman to properly perform the duties and 
responsibilities of an ombudsman under 11 U.S.C. 101, et seq., and 
other legal authority, including responding to complaints and inquiries 
related to a bankruptcy case, submitted to the USTP by interested 
parties.

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

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

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

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

[[Page 59827]]

criminal referral records in which criminal charges have been brought, 
such records may be destroyed five years from the date of sentencing or 
the date of a nonappealable judicial determination, whichever is later 
(National Archives and Records Administration approval pending).

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

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

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

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

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    The Attorney General has exempted this system of records from 
subsections (c)(3) and (4); (d); (e)(1), (2), and (3), (e)(4)(G) and 
(H), (e)(5) and (8); (f) and (g) of the Privacy Act, pursuant to 5 
U.S.C. 552a(j)(2) and (k)(2). Rules have been promulgated in accordance 
with the requirements of 5 U.S.C. 553(b), (c), and (e) and have been 
published in the Federal Register. See 28 CFR 16.77.
JUSTICE/UST-005

SYSTEM NAME:
    Credit Counseling and Debtor Education Files and Associated 
Records.

SECURITY CLASSIFICATION:
    Sensitive But Unclassified

SYSTEM LOCATION:
    The Executive Office for U.S. Trustees (EOUST) and other offices of 
the United States Trustee Program (USTP) depending upon the judicial 
district(s) where the credit counselor or debtor education provider 
delivers services or has made application to deliver services under 
title 11, U.S. Code (11 U.S.C. 101, et seq.). (Office addresses can be 
located on the Internet at http://www.usdoj.gov/ust.)

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals and entities applying for approval and reapproval by 
the United States Trustee(s) to provide credit counseling and/or debtor 
education services under title 11, U.S. Code, including, but not 
limited to: (a) primary contact persons, agency representatives, 
principals, owners, counselors, educators, teachers, sole proprietors, 
managers, supervisors, employees, current and former directors, 
officers, and trustees; (b) individuals and entities whose approval and 
reapproval are pending or withdrawn or have been granted, denied, or 
revoked by the United States Trustee(s); (c) other parties in interest, 
agents, affiliates, related entities, independent contractors, contract 
service providers, credit counseling and debtor education clients, 
students, professionals, debtors, creditors, bankruptcy trustees, 
attorneys, accountants, auditors, or those otherwise involved in credit 
counseling and debtor education.
    Individuals who have filed complaints or comments with the United 
States Trustee(s) or EOUST against credit counseling and debtor 
education providers whose approval and reapproval are pending or 
withdrawn or have been granted, denied, or revoked by the United States 
Trustee(s) under title 11, U.S. Code.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records in this system may include: (a) Applications, appendices, 
and related documents submitted to EOUST or the United States 
Trustee(s) by credit counseling agencies and debtor education 
providers; (b) supplemental submissions to applications and related 
correspondence; (c) data relating to the agencies' and providers' 
approval status and performance such as memoranda, notes, messages, 
check lists, reviews, and evaluations; (d) information from federal, 
state, and local government agencies, including Internal Revenue 
Service (IRS) release/waiver forms and IRS audit information; (e) 
Social Security numbers and tax identification numbers; (f) federal and 
state tax returns; (g) names, addresses, business locations and 
corresponding judicial districts, email addresses, telephone and fax 
numbers, resumes, Curriculum Vitae, education, qualifications, and/or 
experience of primary contact persons, agency representatives, 
principals, owners, counselors, educators, teachers, sole proprietors, 
managers, supervisors, employees, current and former directors, 
officers, and trustees, parties in interest, agents, affiliates, 
subsidiaries, related entities, independent contractors, contract 
service providers, professionals, attorneys, accountants, and auditors, 
including compensation earned or sought by each; (h) names of sureties 
and amounts of bonds, securities, insurance policies, and letters of 
credit; (i) general correspondence, forms, contracts, client 
agreements, schedules, budget analysis forms, training materials, 
counseling and teaching methods, manuals, procedures, scripts, 
counseling materials, debtor education curriculum, and Internet 
information; (j) fee schedules, suggested contributions, and ``fair 
share'' contributions made by creditors; (k) bank and financial 
institution information, including names of depositories and amounts of 
funds deposited in operating accounts and trust accounts; (l) audits, 
audited and unaudited financial statements, and cash flow projections 
(balance sheets, profit and loss statements, and statements of cash 
flow, and a year-to-date budget versus actual comparison, including all 
underlying assumptions); (m) annual disbursements; (n) business plans; 
(o) debt management plan servicing agreements; (p) statistics and 
activity reports; (q) background checks and miscellaneous investigative 
records; (r) copies of certain pleadings or other papers filed in 
court, including those filed by the USTP; (s) bond or other claims, 
arbitrations, and mediations, (t)

[[Page 59828]]

tracking and monitoring records and management reports, including 
information obtained during onsite visits to credit counseling and 
debtor education providers to monitor quality assurance, such as 
records, notes, and tape recorded client counseling sessions and debtor 
education courses; (u) disciplinary and enforcement actions and 
administrative reviews; (v) licenses, accreditations, and 
certifications; (w) standards, guidelines, and memberships with 
associations, (x) credit counseling certificates, debt management 
plans, debtor education certificates, certificate numbers, certificate 
issue and completion dates, and bankruptcy case names and numbers, (y) 
acknowledgments, agreements, and declarations; and (z) names of 
complainants, complaints, complaint forms, comments, related 
correspondence, client surveys, client evaluations and forms, and 
complaint reports and referral information, including records provided 
to and received from federal, state, and local agencies.

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

PURPOSES:
    The records in this system will be used to assist the EOUST and 
United States Trustee(s) to: (a) Determine and reassess the 
suitability, eligibility, and qualifications of persons providing or 
applying to provide credit counseling and/or debtor education services 
under title 11, U.S. Code; (b) maintain the requisite data 
conveniently; (c) ensure compliance with statutory requirements; (d) 
monitor credit counseling agencies' and debtor education providers' 
approval status, compliance with approval standards, and performance of 
approved providers; (e) monitor the issuance of certificates and detect 
and deter certificate forgery; and (f) collect and maintain complaints 
and comments from bankruptcy debtors and the public in order to take 
appropriate actions, including referrals to other government agencies.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (A) Release of Information to Former Employees:
    The Department of Justice may disclose relevant and necessary 
information to a former employee of the Department for purposes of: 
responding to an official inquiry by a federal, state, or local 
government entity or professional licensing authority in accordance 
with applicable Department regulations; or facilitating communications 
with a former employee that may be necessary for personnel-related or 
other official purposes where the Department requires information and/
or consultation assistance from the former employee regarding a matter 
within that person's former area of responsibility.
    (B) Release of Information to Contractors:
    Information from these records may be disclosed to contractors, 
grantees, experts, consultants, students, and others performing or 
working on a contract, service, grant, cooperative agreement, or other 
assignment for the federal government, when necessary to accomplish an 
agency function related to this system of records.
    (C) Release of Information in Proceedings:
    Information from these records may be disclosed in an appropriate 
proceeding before a court, or administrative or adjudicative body, when 
the Department of Justice determines that the records are arguably 
relevant to the proceeding; or in an appropriate proceeding before an 
administrative or adjudicative body when the adjudicator determines the 
records to be relevant to the proceeding.
    (D) Release of Information for Litigation-Related Discussions:
    Information from these records may be disclosed to an actual or 
potential party to litigation or the party's authorized representative 
for the purpose of negotiation or discussion of such matters as 
settlement, plea bargaining, or in informal discovery proceedings.
    (E) Release of Information to Bankruptcy Trustees:
    Information from these records may be disclosed to a trustee under 
chapter 7, 11, 12, or 13 of title 11, U.S. Code, when the United States 
Trustee determines that the release of such information is necessary to 
enable the trustee to properly administer a case or to perform the 
duties and responsibilities of a case trustee under 28 U.S.C. 586, 18 
U.S.C. 3057, or 11 U.S.C. 101, et seq., including responding to 
complaints and inquiries related to a bankruptcy case, submitted to the 
USTP by interested parties.
    (F) Release of Information to Complainants and Victims:
    Information from these records may be disclosed to complainants 
and/or victims to the extent necessary to provide such persons with 
information and explanations concerning the progress and/or results of 
the investigation or case arising from the matters of which they 
complained and/or of which they were a victim.
    (G) Release of Information to the News Media:
    Information from these records may be disclosed to the news media 
and the public, including disclosures pursuant to 28 CFR 50.2, unless 
it is determined that release of the specific information in the 
context of a particular case would constitute an unwarranted invasion 
of personal privacy.
    (H) Release of Information to Members of Congress:
    Information from these records may be disclosed to a Member of 
Congress or staff acting upon the Member's behalf when the Member or 
staff requests the information on behalf of, and at the request of, the 
individual who is the subject of the record.
    (I) Release of Information to National Archives and Records 
Administration:
    A record from this system of records may be disclosed to the 
National Archives and Records Administration for purposes of records 
management inspections conducted under the authority of 44 U.S.C. 2904 
and 2906.
    (J) Release of Information to Law Enforcement or Regulatory 
Agencies:
    With respect to non-law enforcement records, where a record, either 
alone or in conjunction with other information, indicates a violation 
or potential violation of law--criminal, civil, or regulatory in 
nature--the relevant records may be referred to the appropriate 
federal, state, local, tribal, or foreign law enforcement authority or 
other appropriate entity charged with the responsibility for 
investigating or prosecuting such violation or charged with enforcing 
or implementing such law.
    (K) Release of Information to Licensing Agencies:
    Information from these records may be disclosed to federal, state, 
local, tribal, foreign, or international licensing agencies or 
associations which require information concerning the suitability or 
eligibility of an individual for a license or permit.
    (L) Release of Information for Employment, Clearance, Contract, or 
Grant Purposes:
    Information from these records may be disclosed to appropriate 
officials and employees of a federal agency or entity which requires 
information relevant to a decision concerning the hiring, appointment, 
or retention of an employee; the issuance, renewal, suspension, or 
revocation of a security

[[Page 59829]]

clearance; the execution of a security or suitability investigation; 
the letting of a contract; or the issuance of a grant or benefit.
    (M) Release of Information to Credit/Consumer Reporting Agencies:
    Information from these records may be disclosed to a credit or 
consumer reporting agency, as such terms are used in the Fair Credit 
Reporting Act (15 U.S.C. 1681, et seq.) and the Debt Collection Act (31 
U.S.C. 3701, et seq.), when such information is necessary or 
appropriate to ensure that bankruptcy-related credit information is 
correct and accurate.
    (N) Release of Information Related to Investigations and 
Proceedings:
    Information from these records may be disclosed in the course of 
investigating the potential or actual violation of any law--whether 
civil, criminal, or regulatory in nature--or for the preparation of a 
trial or hearing for such violation. Such information may be disclosed 
to a federal, state, local, tribal, or foreign agency, or to an 
individual or organization, if there is reason to believe that such 
agency, individual, or organization possesses information relating to 
the investigation, trial, or hearing, and if the dissemination is 
reasonably necessary to elicit such information or to obtain the 
cooperation of a witness or an informant.
    (O) Release of Information in Connection with Section 341 Meetings:
    Information from these records may be disclosed in connection with 
meetings held under 11 U.S.C. 341 and related proceedings, when the 
Department of Justice determines that the records are arguably relevant 
to such meetings or bankruptcy proceedings. Transcripts or other 
records of such meetings may also be disclosed upon request pursuant to 
relevant bankruptcy laws or rules.
    (P) Release of Information to Law Enforcement Authority
    With respect to law enforcement records, to any criminal, civil, or 
regulatory law enforcement authority (whether federal, state, local, 
tribal, or foreign) where the information is relevant to the recipient 
entity's law enforcement responsibilities.
    (Q) Release of Information in Connection with USTP Decisions to 
Grant, Deny, or Revoke Approval or Reapproval of Credit Counseling and 
Debtor Education Applicants and Providers:
    Information from these records may be disclosed to appropriate 
third parties to the extent necessary to collect or verify information 
pertinent to the USTP's decision to grant, deny, or revoke approval or 
reapproval of a provider of credit counseling or debtor education 
services under title 11, U.S. Code, including to a federal, state, 
local, tribal, or foreign agency, or an individual or organization, if 
there is reason to believe that such agency, individual, or 
organization possesses information that the USTP needs to make a 
determination related to the granting, denial, or revocation of 
approval or reapproval of an applicant, and if the dissemination is 
reasonably necessary to elicit such information or to obtain the 
cooperation of any third party.
    (R) Release of Information to USTP Approved Credit Counseling and 
Debtor Education Providers:
    Information from these records may be disclosed to a USTP approved 
credit counseling and/or debtor education provider when the EOUST or 
United States Trustee determines that the release of such information 
is necessary to enable the approved provider to properly perform the 
duties and responsibilities of a credit counseling and/or debtor 
education provider under 11 U.S.C. 101, et seq., and other legal 
authority, including responding to complaints and inquiries related to 
the provider, submitted to the USTP by interested parties.

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

RETRIEVABILITY:
    In EOUST, records are maintained and organized alphanumerically by 
assigned number and alphabetically by name. In USTP field offices, 
credit counseling and debtor education records are filed alphabetically 
by the applicant's name and assigned number. Automated information is 
retrieved by a variety of key words, including names of individuals and 
other personal identifiers.

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

RETENTION AND DISPOSAL:
    Credit counseling and debtor education applications and related 
records may be destroyed three years after the date of the USTP's final 
dispositive decision or final agency action or three years from the 
date of a nonappealable judicial determination, except in the following 
circumstances. If the provider dies or withdraws an initial application 
for a six-month approval period before a final decision by the UST is 
made to approve or disapprove the application, the records may be 
destroyed after one year. Complaints filed with the USTP may be 
destroyed two years from the date of receipt. To prevent unauthorized 
disclosure, records are destroyed by shredding, burning, or similar 
methods. (National Archives and Records Administration approval 
pending).

SYSTEM MANAGER(S) ADDRESS:
    The system managers for this system of records are (a) the Chief, 
Credit Counseling and Debtor Education Unit, to the extent these 
records are maintained in the EOUST; and (b) the United States 
Trustee(s) or Assistant United States Trustee(s) to the extent these 
records are maintained in their offices. (Office addresses can be 
located on the Internet at http://www.usdoj.gov/ust).

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

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

CONTESTING RECORD PROCEDURES:
    Individuals desiring to contest or amend information maintained in 
the system should clearly and concisely state what information is being 
contested, the reason for contesting it, and the proposed amendment to 
the information. Address such inquiries to

[[Page 59830]]

the Office of the General Counsel (FOIA/Privacy Counsel) at the address 
listed on the USTP FOIA/Privacy Act Web site (http://www.usdoj.gov/ust). The envelope and letter should be clearly marked ``Privacy Act 
Request'' and comply with 28 CFR 16.40, et seq.

RECORD SOURCE CATEGORIES:
    Sources of information contained in this system generally consist 
of the credit counseling and/or debtor education provider applicants, 
and those whose applications for approval or reapproval have been 
withdrawn by the applicant or granted, denied, or revoked by the United 
States Trustee(s); the applicants' references; interested third 
parties; federal and state agencies; and/or USTP personnel.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

 [FR Doc. E6-16814 Filed 10-10-06; 8:45 am]
BILLING CODE 4410-40-P