[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
ENVIRONMENTAL PROTECTION AGENCY
PREFATORY STATEMENT OF GENERAL ROUTINE USES
The following routine uses apply to and are incorporated by
reference into each system of records set forth below:
1. In the event that a record within this system of records
maintained by the Environmental Protection Agency indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program pursuant thereto, the relevant records in the
system of records may be referred to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
2. A record from this system of records may be disclosed to a
Federal, State, or local agency maintaining civil, criminal, or other
relevant enforcement information or other pertinent information, if
necessary to obtain information relevant to an Agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant, or other benefit.
3. A record from this system of records may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the reporting of an investigation of an
employee, the letting of a contract, or the issuance of a license,
grant, or other benefit by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
4. A record from this sytem of records may be disclosed, as a
routine use, in the course of presenting evidence to a court,
magistrate or administrative tribunal, including disclosures to
opposing counsel in the course of settlement negotiations.
5. A record from this system of records may be disclosed, as a
routine use, to a Member of Congress submitting a request involving
an individual when the Member of Congress informs the System Manager
that the individual to whom the record pertains has authorized the
Member of Congress to have access to the record.
General Routine Uses Applicable to More than One System of Records
A. Disclosure for Law Enforcement Purposes
Information may be disclosed to the appropriate Federal, State,
local, tribal, or foreign agency responsible for investigating,
prosecuting, enforcing, or implementing a statute, rule, regulation,
or order, if the information is relevant to a violation or potential
violation of civil or criminal law or regulation within the
jurisdiction of the receiving entity.
B. Disclosure Incident to Requesting Information
Information may be disclosed to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose of the request, and to
identify the type of information requested), when necessary to obtain
information relevant to an agency decision concerning retention of an
employee or other personnel action (other than hiring), retention of
a security clearance, the letting of a contract, or the issuance or
retention of a grant, or other benefit.
C. Disclosure to Requesting Agency
Disclosure may be made to a Federal, State, local, foreign, or
tribal or other public authority of the fact that this system of
records contains information relevant to the retention of an
employee, the retention of a security clearance, the letting of a
contract, or the issuance or retention of a license, grant, or other
benefit. The other agency or licensing organization may then make a
request supported by the written consent of the individual for the
entire record if it so chooses. No disclosure will be made unless the
information has been determined to be sufficiently reliable to
support a referral to another office within the agency or to another
Federal agency for criminal, civil, administrative, personnel, or
regulatory action.
D. Disclosure to Office of Management and Budget
Information may be disclosed to the Office of Management and
Budget at any stage in the legislative coordination and clearance
process in connection with private relief legislation as set forth in
OMB Circular No. A-19.
E. Disclosure to Congressional Offices
Information may be disclosed to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
F. Disclosure to Department of Justice
Information may be disclosed to the Department of Justice, or in
a proceeding before a court, adjudicative body, or other
administrative body before which the Agency is authorized to appear,
when:
1. The Agency, or any component thereof; or
2. Any employee of the Agency in his or her official capacity; or
3. Any employee of the Agency in his or her individual capacity
where the Department of Justice or the Agency has agreed to represent
the employee; or
4. The United States, if the Agency determines that litigation is
likely to affect the Agency or any of its components, is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or the Agency is deemed by the
Agency to be relevant and necessary to the litigation provided,
however, that in each case it has been determined that the disclosure
is compatible with the purpose for which the records were collected.
G. Disclosure to the National Archives
Information may be disclosed to the National Archives and Records
Administration in records management inspections.
H. Disclosure to Contractors, Grantees, and Others
Information may be disclosed to contractors, grantees,
consultants, or volunteers performing or working on a contract,
service, grant, cooperative agreement, job, or other activity for the
Agency and who have a need to have access to the information in the
performance of their duties or activities for the Agency. When
appropriate, recipients will be required to comply with the
requirements of the Privacy Act of 1974 as provided in 5 U.S.C.
552a(m).
I. Disclosures for Administrative Claims, Complaints, and Appeals
Information from this system of records may be disclosed to an
authorized appeal grievance examiner, formal complaints examiner,
equal employment opportunity investigator, arbitrator or other person
properly engaged in investigation or settlement of an administrative
grievance, complaint, claim, or appeal filed by an employee, but only
to the extent that the information is relevant and necessary to the
proceeding. Agencies that may obtain information under this routine
use include, but are not limited to, the Office of Personnel
Management, Office of Special Counsel, Merit Systems Protection
Board, Federal Labor Relations Authority, Equal Employment
Opportunity Commission, and Office of Government Ethics.
J. Disclosure to the Office of Personnel Management
Information from this system of records may be disclosed to the
Office of Personnel Management pursuant to that agency's
responsibility for evaluation and oversight of Federal personnel
management.
K. Disclosure in Connection with Litigation
Information from this system of records may be disclosed in
connection with litigation or settlement discussions regarding claims
by or against the Agency, including public filing with a court, to
the extent that disclosure of the information is relevant and
necessary to the litigation or discussions and except where court
orders are otherwise required under section (b)(11) of the Privacy
Act of 1974, 5 U.S.C. 552a(b)(11).
Table of contents
PeoplePlus Payroll, time and Labor Application.
Wellness Program Medical Records,EPA-3.
Freedom of Information Act Request and Appeal File, EPA-9.
EPA Parking Control Office File, EPA-10.
OPP Time Accounting Information System, EPA-14.
NEIC Criminal Investigative Index and Files, EPA-17.
EPA Identification Card Record, EPA-19.
Toxic Substances Control Act Confidential Business Information
Records Access System, EPA-20.
External Compliance Program Discrimination Complaint Files, EPA-
21.
National Correspondence Tracking and Information Management
System, EPA-22.
EPA Credential Information Records, EPA-23.
Claims Office Master Files, EPA-24.
Employee Counseling and Assistance Program Records, EPA-27.
EPA Travel, Other Accounts Payable, and Accounts Receivable
Files, EPA-29.
OIG Hotline Allegation System, EPA-30.
Acquisition Training System, EPA-31.
EPA Telecommunicaitons Detail Records, EPA-32.
Debarment and Suspension Files, EPA-33.
Medical and Research Study Records of Human Volunteers, EPA-34.
EPA Transit and Guaranteed Ride Home Program Files, EPA-35.
Research Grant, Cooperative Agreement, and Fellowship Application
Files, EPA-36.
ORD Peer Review Panelist Information System (PRPIS) System, EPA-
37..
Invention Reports Submitted to the EPA, EPA-38.
Superfund Cost Recovery Accounting Information System, EPA-39.
Inspector General's Operation and Reporting (IGOR) System
Investigsative Files, EPA-40.
Inspector General's Operation and Reporting (IGOR) System
Personnel Security Files, EPA-41.
Inspector General's Operation and Reporting (IGOR) System Audit,
Assignment, and Timesheet Files, EPA-42.
Time Sharing Services Management System Registration Files, EPA-
43.
EPA Personnel Emergency Contract Filesd, EPA-44.
Risk management Plan Review Access List, EPA-45.
OCEFT/NEIC Master Tracking System, EPA-46.
OCEF/NETI Training Registration and Administration, EPA-47.
Libby Asbestos Exposure Assessment Records, EPA-48.
Child Care Tuition Assistance Program Records, EPA-49.
OIG AutoAudit, EPA-50.
EPA Central Data Exchange-Customer Registration Subsystem (CDX-
CRS), EPA/CDX-CRS.
Emissions Inspection and Maintenance Records for Federal
Emplooyees Parking at Federal Parking Facilities, EPA/GOVT-1.
EPA-1
System name:
PeoplePlus Payroll, Time and Labor Application.
System location:
National Computer Center, Environmental Protection Agency,
Research Triangle Park, North Carolina 27711.
Categories of individuals covered by the system:
Current and former EPA employees including Health and Human
Services Public Health Service Commissioned Officers assigned to EPA
and employees of the Surface Transportation Board (formerly the
Interstate Commerce Commission), Department of Transportation.
Categories of records covered by the system:
This system contains personnel, basic benefits, pay, cash awards,
and leave records. This includes, but is not limited to, employee
information such as: Name(s), date of birth, social security number,
home and mailing addresses, grade, employing organization, salary,
pay plan, number of hours worked, overtime, compensatory time, leave
accrual rate, leave usage and balances, Civil Service Retirement and
Federal Retirement System contributions, FICA withholdings, Federal,
State, and city tax withholdings, Federal Employee Group Life
Insurance withholdings, Federal Employee Health Benefits
withholdings, charitable deductions, allotments to financial
organizations, garnishments, savings bonds allotments, union dues
withholdings, deductions for Internal Revenue Service levies, court
ordered child support levies, Federal salary offset deductions, and
information on the Leave Transfer Program and the Leave Bank Program.
Authority for maintenance of the system:
5 U.S.C. 5101 et seq.; 5 U.S.C. 5501 et seq.; 5 U.S.C. 5525 et
seq.; 5 U.S.C. 5701 et seq.; 5 U.S.C. 6301 et seq.; 31 U.S.C. 3512;
Executive Order 9397 (Nov. 22, 1943).
Purpose(s):
The records are needed to administer EPA's pay and leave
requirements, including processing, accounting and reporting
requirements.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
A. To the Department of Treasury to issue checks, make payments,
make electronic funds transfers, and issue U.S. Savings Bonds.
B. To the Department of Agriculture National Finance Center to
credit Thrift Savings Plan deductions and loan payments to employee
accounts.
C. To the Department of Labor in connection with a claim filed by
an employee for compensation due to a job connected injury or
illness.
D. To the Internal Revenue Service; Social Security
Administration; and State and local tax authorities in connection
with the withholding of employment taxes.
E. To State Unemployment Offices in connection with a claim filed
by former employees for unemployment benefits.
F. To the officials of labor organizations as to the identity of
employees contributing union dues each pay period and the amount of
dues withheld from each employee.
G. To the Office of Personnel Management and to Health Benefit
carriers in connection with enrollment and payroll deductions.
H. To the Office of Personnel Management in connection with
employee retirement and life insurance deductions.
I. To the Combined Federal Campaign in connection with payroll
deductions for charitable contributions.
J. To the Office of Management and Budget and Department of the
Treasury to provide required reports on financial management
responsibilities.
K. To provide information as necessary to other Federal, State,
local or foreign agencies conducting computer matching programs to
help eliminate fraud and abuse and to detect unauthorized
overpayments made to individuals. When disclosures are made as part
of computer matching programs, EPA will comply with the Computer
Matching and Privacy Protection Act of 1988.
L. To the Internal Revenue Service in connection with
withholdings for tax levies.
M. To the Social Security Administration and the Department of
Health and Human Services to provide information on newly hired
employees for child support enforcement purposes.
N. To the Department of Health and Human Services in connection
with the master personnel and payroll files for their Public Health
Service Officers.
General Routine Uses of EPA Systems of Records:
A. Disclosure for Law Enforcement Purposes--Information may be
disclosed to the appropriate Federal, State, local, tribal, or
foreign agency responsible for investigating, prosecuting, enforcing,
or implementing a statute, rule, regulation, or order, if the
information is relevant to a violation or potential violation of
civil or criminal law or regulation within the jurisdiction of the
receiving entity.
B. Disclosure Incident to Requesting Information--Information may
be disclosed to any source from which additional information is
requested (to the extent necessary to identify the individual, inform
the source of the purpose of the request, and to identify the type of
information requested), when necessary to obtain information relevant
to an agency decision concerning retention of an employee or other
personnel action (other than hiring), retention of a security
clearance, the letting of a contract, or the issuance or retention of
a grant, or other benefit
C. Disclosure to Requesting Agency--Disclosure may be made to a
Federal, State, local, foreign, or tribal or other public authority
of the fact that this system of records contains information relevant
to the retention of an employee, the retention of a security
clearance, the letting of a contract, or the issuance or retention of
a license, grant, or other benefit. The other agency or licensing
organization may then make a request supported by the written consent
of the individual for the entire record if it so chooses. No
disclosure will be made unless the information has been determined to
be sufficiently reliable to support a referral to another office
within the agency or to another Federal agency for criminal, civil,
administrative, personnel, or regulatory action.
D. Disclosure to Office of Management and Budget--Information may
be disclosed to the Office of Management and Budget at any stage in
the legislative coordination and clearance process in connection with
private relief legislation as set forth in OMB Circular No. A-19.
E. Disclosure to Congressional Offices--Information may be
disclosed to a congressional office from the record of an individual
in response to an inquiry from the congressional office made at the
request of the individual.
F. Disclosure to Department of Justice--Information may be
disclosed to the Department of Justice, or in a proceeding before a
court, adjudicative body, or other administrative body before which
the Agency is authorized to appear, when: (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 Department of Justice or the Agency
have agreed to represent the employee; or (4) The United States, if
the Agency determines that litigation is likely to affect the Agency
or any of its components, is a party to litigation or has an interest
in such litigation, and the use of such records by the Department of
Justice or the Agency is deemed by the Agency to be relevant and
necessary to the litigation provided, however, that in each case it
has been determined that the disclosure is compatible with the
purpose for which the records were collected.
G. Disclosure to the National Archives--Information may be
disclosed to the National Archives and Records Administration in
records management inspections.
H. Disclosure to Contractors, Grantees, and Others--Information
may be disclosed to contractors, grantees, consultants, or volunteers
performing or working on a contract, service, grant, cooperative
agreement, job, or other activity for the Agency and who have a need
to have access to the information in the performance of their duties
or activities for the Agency. When appropriate, recipients will be
required to comply with the requirements of the Privacy Act of 1974
as provided in 5 U.S.C. 552a(m).
I. Disclosures for Administrative Claims, Complaints, and
Appeals--Information from this system of records may be disclosed to
an authorized appeal grievance examiner, formal complaints examiner,
equal employment opportunity investigator, arbitrator or other person
properly engaged in investigation or settlement of an administrative
grievance, complaint, claim, or appeal filed by an employee, but only
to the extent that the information is relevant and necessary to the
proceeding. Agencies that may obtain information under this routine
use include, but are not limited to, the Office of Personnel
Management, Office of Special Counsel, Merit Systems Protection
Board, Federal Labor Relations Authority, Equal Employment
Opportunity Commission, and Office of Government Ethics.
J. Disclosure to the Office of Personnel Management--Information
from this system of records may be disclosed to the Office of
Personnel Management pursuant to that agency's responsibility for
evaluation and oversight of Federal personnel management.
K. Disclosure in Connection with Litigation--Information from
this system of records may be disclosed in connection with litigation
or settlement discussions regarding claims by or against the Agency,
including public filing with a court, to the extent that disclosure
of the information is relevant and necessary to the litigation or
discussions and except where court orders are otherwise required
under section (b)(11) of the Privacy Act of 1974, 5 U.S.C.
552a(b)(11).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in hard copy formats and computer
processable storage media such as computer tapes and disks. The
computer storage devices are located in the National Computer Center,
Research Triangle Park, North Carolina. Backup tapes will be
maintained at a disaster recovery site.
Retrievability:
These records are retrieved by the employee identification number
or name.
Safeguards:
Computer records are maintained in a secure password protected
environment. Access to computer records is limited to those who have
a need to know. Permission level assignments will allow users access
only to those functions for which they are authorized. Paper records
are maintained in locked metal file cabinets. All records are
maintained in secure, access-controlled areas or buildings.
Retention and disposal:
The retention of data in the system will in accordance with the
U.S. EPA Records Schedule, as been approved by the National Archives
and Records Administration. Employee records are retained on magnetic
tapes for an indefinite period. Hard copy records are maintained for
varying periods of time, at which time they are disposed of by
shredding.
System manager(s) and address:
David Bloom, Acting Director, Financial Services Division, Office
of the Comptroller, Office of Chief Financial Officer, U.S.
Environmental Protection Agency, 1200 Pennsylvania Avenue NW., (MC
2734R), Washington, DC 20460, 202-564-3013.
Notification procedures:
Individuals who want to know whether this system of records
contains information about them, who want to access to their records,
or who want to contest the contents of a record, should make a
written request to the System Manager. Individuals must furnish the
following information for their records to be located and identified:
A. Full name.
B. Date of birth.
C. Social security number.
D. Last employing organization (include duty station location)
and, for former EPA employees, approximate date(s) of employment.
E. Signature.
Record access procedures:
Individuals wishing to request access to their records should
follow the Notification Procedures. Individuals requesting access
will also be required to provide adequate identification, such as a
driver's license, employee identification card, or other identifying
document. Additional identification procedures may be required in
some instances.
Contesting record procedure:
Individuals requesting correction or amendment of their records
should follow the Notification Procedures and also identify the
record or information to be changed. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Information in this system of records is provided by
A. The individual on whom the record is maintained.
B. Agency officials such as managers and supervisors.
C. Consumer reporting agencies, debt collection agencies,
Department of Treasury, and other Federal agencies.
System exempted From certain provisions of the act:
None.
EPA-3
System name:
Wellness Program Medical Records.
System location:
Health Unit, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460. EPA
offers medical services to employees through a national agreement
with the Federal Occupational Health Service of the Public Health
Service. Most EPA regional offices have a similar arrangement,
although a different contractor provides services in one or more
regional offices. See the appendix for addresses of regional and
other offices.
Categories of individuals covered by the system:
EPA employees, contract employees, and EPA visitors requiring or
requesting medical attention and EPA employees participating in
Stress Lab.
Categories of records in the system:
Employee health records.
Authority for maintenance of the system:
5 U.S.C. 7901 et seq.
Purpose(s):
To document health treatments and related services offered by the
Health Unit.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses F, H, and K apply to this system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Hard copy files (handwritten or typed cards, forms, files, and
EKG graphs); some identifying information is also maintained on a
computerized index.
Retrievability:
By name.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are maintained until an employee leaves EPA. Records are
sealed and sent to the Personnel Office for inclusion in the official
personnel folder, which is sent to a federal records center. Records
may be transferred to a new federal employer.
System manager(s) and address:
National Program Branch Chief, Safety, Health and Environmental
Management Division, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16. Pursuant to 5 U.S.C.
552a(f)(3), records relating to psychiatric matters may be made
available to a record subject through a physician.
Record source categories:
Patients, patient's doctors, on approval of patient, accident/
incidence reports, family members of patients, and past Federal
employer medical records.
EPA-9
System name:
Freedom of Information Act Request and Appeal File.
System location:
(1) Freedom of Information Section, Office of the Administrator,
Environmental Protection Agency, Ariel Rios Building, 1200
Pennsylvania Avenue NW, Washington, DC 20460.
(2) EPA Regional Offices. See the appendix for addresses of
regional offices.
(3) EPA, Office of General Counsel, Ariel Rios Building, 1200
Pennsylvania Avenue NW, Washington, DC 20460.
Categories of individual covered by the system:
All persons requesting information or filing appeals under the
Freedom of Information Act.
Categories of records in the system:
A copy of each Freedom of Information Act request received and a
copy of all correspondence related to the request, including name,
affiliation address, telephone numbers, and other information about a
requester. A computerized index includes the name and affiliation of
each requester, the request identification number, and the subject.
Authority for maintenance of the system:
5 U.S.C. 552.
Purpose(s):
To respond to FOIA requests and to prepare reports on FOIA
activities.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, E, F, G, H and K apply to this system.
Records may also be disclosed:
1. To another Federal agency (a) with an interest in the record
in connection with a referral of a Freedom of Information Act (FOIA)
request to that agency for its views or decision on disclosure, or
(b) in order to obtain advice and recommendations concerning matters
on which the agency has specialized experience or particular
competence that may be useful to EPA in making required
determinations under the FOIA.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In file folders. An index is maintained in a computer database.
Retrievability:
By name of requester and request identification number.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are maintained in accordance with EPA Records Control
Schedules.
System manager(s) and address:
Director, Office of Executive Secretariat, Freedom of Information
Section, Office of the Administrator, Environmental Protection
Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington,
DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System.
Record access procedure:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Incoming Freedom of Information Act requests and related
correspondence from the record subject; EPA offices.
EPA-10
System name:
EPA Parking Control Office File.
System location:
Transit Management Section, Facilities Management and Services
Division, Environmental Protection Agency, Ariel Rios Building, 1200
Pennsylvania Avenue NW, Washington, DC 20460. Some regional and other
EPA offices may also maintain parking records. See the appendix for
addresses of regional and other offices.
Categories of individuals covered by the system:
Individuals holding parking permits from EPA, including
individuals in existing carpools whose principal member is an EPA
employee. Other carpool members may be employed by other Federal
agencies or private industry.
Categories of records in the system:
Permit applications, permit numbers, EPA Form 5160.1, including
name, social security number, home and work address, home and work
telephone numbers of EPA employees holding parking permits, the name
and address of carpool members, and related information.
Authority for maintenance of the system:
EPA Administrative Services Manual, Chapter 11, dated April 23,
1975; 41 CFR 101-20.104.
Purpose(s):
To manage parking control and the carpool system, and to enforce
parking regulations.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General Routine Uses A, E, F, G, H, I, and K apply to this
system.
Records may also be disclosed:
1. To the public through a carpool matching system. Disclosures
are limited to the name, telephone number, and zip code of carpool
members.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In a computer database and in file folders.
Retrievability:
Principally by name, permit number, and zip code.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are maintained for three years after the expiration of
the contract with the contractor for the system.
System manager(s) and address:
Team Leader, Transit Management Section, Facilities Management
and Services Division, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedure:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects.
EPA-14
System name:
OPP Time Accounting Information System.
System location:
Office of Pesticide Programs, Environmental Protection Agency,
Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington, DC
20460.
Categories of individuals covered by the system:
Most current and past Office of Pesticide Programs (OPP)
employees.
Categories of records in the system:
OPP employee names, employee identification numbers, hours worked
during each pay period, and work-activity classification for each pay
period.
Authority for maintenance of the system:
Pub. L. 95-396, 92 Stat. 838, 7 U.S.C. 136y.
Purpose(s):
The records are used as a data source for management information
to produce summary descriptive statistics and analytical studies
reflecting the OPP allocations of costs and work-hours by budget
decision unit.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, E, F, G, H, I, and K apply to this
system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
On time sheets and in a computerized database.
Retrievability:
By employee number, name, and organization.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Paper forms are kept for three years and are then shredded.
Computer records may be kept indefinitely.
System manager(s) and address:
Chief, Resource Management Staff, Office of Pesticide Programs,
Environmental Protection Agency, Ariel Rios Building, 1200
Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedures:
See Contesting Record Procedures.
Record access procedures:
See Contesting Record Procedures.
Contesting record procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager(s) and Address. Requesters
will be required to provide adequate identification, such as a
driver's license, employee identification card, or other identifying
document. Additional identification procedures may be required in
some instances. Requests for correction or amendment must identify
the record to be changed and the corrective action sought. Complete
EPA Privacy Act procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects.
EPA-NEIC-OCI-17
System name: NEIC Criminal Investigative Index and Files- EPA/
NEIC/OCI.
Security classification:
None.
System location:
National Enforcement Investigations Center (NECI), Building 53,
Denver Federal Center, Denver, CO 80225.
NEIC Office of Criminal Investigations, Washington Staff Office
(LE-134C), 401 M Street, SW, Washington, DC 20460.
NEIC Office of Criminal Investigations, Phildadelphia Area
Office, EPA-Region III (3CE00), 841 Chestnut Building, Philadelphia,
PA 19107.
NEIC Office of Criminal Investigations, Boston Resident Office,
EPA-Region I, 60 Westview Street, Lexington, MA 02173.
NEIC Office of Criminal Investigations, New York Resident
Office, EPA-Region II, 26 Federal Plaza, New York, NY 10278.
NEIC Office of Criminal Investigations, Atlanta Area Office,
EPA-Region IV, 345 Courtland Street, NE, Atlanta, GA 30365.
NEIC Office of Criminal Investigations, Dallas Resident Office,
EPA-Region VI, Earle Cabell Federal Bldg., Room 3A-8, Dallas, TX
75242.
NEIC Office of Criminal Investigations, Chicago Area Office,
EPA-REgion V, 230 South Dearborn Street, Chicago, IL 60604.
NEIC Office of Criminal Investigations, Kansas City Resident
Office, EPA-Region VII, 726 Minnesota Avenue, Kansas City, KS 64107.
NEIC Office of Criminal Investigations, Seattle Area Office,
EPA-Region X, 1200 Sixth Avenue (M/S 614), Seattle, WA 98101.
NEIC Office of Criminal Investigations, San Francisco Resident
Office, EPA-Region IX, 215 Fremont Street, San Francisco, CA 94105.
Categories of individuals covered by the system:
Individuals included in the system are those on whom data has
been collected by criminal investigators of the National Enforcement
Investigation Center's (NEIC) Office of Criminal Investigations (OCI)
and assembled in the form of investigative reports in the course of
investigations conducted concerning violations of federal
environmental statutes and regulations. Such individuals may be
actual subjects of the investigation, or persons associated with the
subject (e.g. relatives, business partners, acquaintances) or
witnesses. Names of the OCI criminal investigators who participate in
the subject investigation also appear in the system.
Categories of records in the system:
a. Index. The computer enhanced index system contains selected
information from the criminal investigative file. Such information
includes, but is not limited, to personal data (e.g. name, address,
telephone number); prior/secondary residences; vehicle information;
associated persons (name and role); driver licenses/aliases;
associated companies (name and role); identifying numbers (number
type, number and brief description); corporate data (company name,
address, telephone number); corporate vehicle information; associated
persons and companies; corporate identifying numbers; case
information (e.g. case opened, date referred to EPA); criminal
investigator's comments; criminal investigator's name and office;
dissemination information (e.g. agency requesting information); and
other related investigative information.
b. Hard Copy File. The hard copy file contains all information
relating to an investigative matter. In addition to the information
contained in the computer enhanced index system, the hard copy files
contain, but are not limited to, correspondence (case coordination
reports, memos of conversations, and other records of communication
relating to the investigation); interviews (witness interviews and
statements generated by either an OCI agent or another agency or
person); regulatory history (permits and reports generated as a
result of normal program activity); technical support (program
reports generated as a result of the investigation); investigative
notes; electronic monitoring (reports requesting permission and use,
transcripts of tapes): Records check (personal history, police
information, fingerprint cards): Photographs; property reports
(property obtained and retained by OCI including documents, personal
property and physical evidence); manifests; and other related
investigative information.
Authority for maintenance of the system:
Comprehensive Environmental Response, Compensation, and Liability
Act, 42 U.S.C. 9604; Resource Conservation and Recovery Act, 42
U.S.C. 6927; Federal Water Pollution Control Act, 33 U.S.C. 1318;
Toxic Substances Control Act, 15 U.S.C. 2610; Clean Air Act, 42
U.S.C. 7414; Federal Insecticide, Fungicide and Rodenticide Act, 7
U.S.C. 136g; Safe Drinking Water Act, 42 U.S.C. 300j-4; Noise Control
Act of 1972, 42 U.S.C. 4912; and Title 28, U.S. Code, Section 533
with appointment letter from Civiletti, Attorney General to Costle,
Administrator EPA dated January 16, 1981.
Purpose(s):
Records maintained in the system will be used by OCI criminal
investigators for the purpose of supporting and furthering their
investigations of persons or firms who allegedly knowingly or
willfully violated any environmental statute or regulation.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Information in this system may be disclosed as a routine use
to any Federal, State or local government agency directly engaged n
the criminal justice process where access is related to a law
enforcement function of the recipient agency in connection with the
tracking, identification and prosecution of persons or companies
believed to have knowingly or willfully violated any environmental
statute or regulation.
2. In the event the Agency deems it desirable or necessary, in
determining whether particular records are required to be disclosed
under the Freedom of Information Act, disclosure may be made to the
Department of Justice for the purpose of obtaining its advice.
3. Where federal agencies having the power to subpoena other
federal agencies' records, such as the Internal Revenue Service or
the Civil Rights Commission, issue a subpoena to the Agency for
records in this system of records, the agency will make such records
available.
4. A record may be disclosed to the Department of Justice when
(1) the EPA, or any component thereof; or (2) any employee of the EPA
in his or her official capacity, or (3) any employee of the EPA in
his or her individual capacity, where the Department of Justice has
agreed or is considering a request to represent the employee; or (4)
the United States, where the EPA determines that litigation is likely
to affect the EPA or any of its components, is a party to litigation
or has an interest in such litigation, and the EPA determines that
the use of such records by the Department of Justice is relevant and
necesary to the litigation; provided, however, that in each case, the
EPA determines that disclosure of the records to the Department of
Justice is a use of the information contained in the records that is
compatible with the purpose for which the records were collected.
5. Also see Prefatory Statement of General Routine Uses, 41 FR
39689 (September 15, 1976) for other routine uses applicable to this
system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The system is maintained in hard-copy files with selected
portions also stored in computer disks.
Retrievability:
Hard copy files are maintained in the chronological order of the
case file number assigned to it and retrieved by case file number.
Information on individuals may be accessed by cross referencing with
computer index.
The computer enhanced index system is retrievable by case file
number or case title, the name of an individual, company name,
drivers license, vehicle tag or vehicle identification number,
identifying number (EPA permit number) agent name and freestyle
(string of letters from one to forty letters long).
Safeguards:
Only OCI employees and employees of NEIC's Enforcement Specialist
Office are authorized to access the system. Hard copy files, when not
in the possession of an authorized individual, are maintained in a
locked cabinet. The computer index is protected from access by a
unique identifier password known only to the authorized persons. The
index system also maintains a user log which identifies and records
who uses the system. Both the computer and cabinets are in locked
rooms in a building with restricted access.
Retention and disposal:
All investigative files are maintained in accordance with the
provisions of the pending EPA Records Control Schedule for Regional
Enforcement records (Appendix D, Schedule 4, Item 16).
System manager(s) and address:
Assistant Director for Criminal Investigations, Environmental
Protection Agency, NEIC, Box 25227, Denver, Colorado 80225.
Notification procedure:
Requests for notification should be made in writing and be
addressed to the System Manager. The requester should include his
full name, complete address, date of birth, and a notarized statement
that the requestor is the individual to whom the pertains and that he
understands it is a misdemeanor to knowingly and willfully seek to
obtain access to records about another individual under false
pretenses. The request should also include the general subject matter
of the record or records in question or the record file number along
with any other known information which may assist EPA in searching
for the records. Additional information or requirements, if any, will
be provided by the System Manager.
Record access procedures:
Same as Notification Procedures.
Contesting record procedures:
Same as Access Procedure. In addition, the requester should state
the corrective action sought and supporting justification for the
correction.
Record source categories:
Information is obtained from other government agencies, law
enforcement agencies, the general public, subjects of investigation,
informants, witnesses, public source materials, and other persons and
entities with information potentially relevant to an investigation.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(j)(2) this system is exempt from the
following provisions of the Privacy Act: 5 U.S.C. 552a(c) (3) and
(4); (d); (e) (1), (2), (3), (4) (G), (H), and (I), (5) and (8); (f);
and (g). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from
the following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3);
(d), (e)(1), (4)(G), (H) and (I); and (f) of the Privacy Act.
Regulations have been promulgated and published in the Federal
Register concurrent with this Notice in accordance with the
requirements of 5 U.S.C. 553 (b), (c) and (e). These exemptions will
only be used to the extent necessary to ensure the effectiveness of
EPA's criminal enforcement program.
EPA-19
System name:
EPA Identification Card Record.
System location:
1. Facilities Management and Services Division, Security and
Property Management Branch, Environmental Protection Agency, Ariel
Rios Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460;
2. Regional and other EPA offices. See the appendix for addresses
of regional and other offices.
Categories of individuals covered by the system:
EPA employees and EPA contact employees and grantees who require
access to EPA buildings and offices.
Categories of records in the system:
1. EPA Form 5110-1, EPA Identification Card Acknowledgment which
contains the following information: Name, EPA identification card
number, height, weight, color of eyes/hair, date of birth, social
security number, position title, grade, EPA office location,
signature, date of issuance, and a photograph of the person issued
the identification card.
2. EPA Form 1480-39, Official U.S. Government Identification,
which contains the following information: Name, social security
number, location, date of birth, height, weight, color of eyes/hair,
signature, card number, date of issuance and photograph of person
issued the identification card.
Authority for maintenance of the system:
Federal Property and Administrative Services Act of 1949, 40
U.S.C. 486(c).
Purpose(s):
To issue official U.S. Government Identification cards to EPA
employees and EPA contract employees requiring access to EPA
buildings and offices; to maintain a record of all holders of
identification cards, for renewal and recovery of expired cards, and
to identify lost or stolen cards; to identify Headquarters employees
whose names have not been entered in the EPA locator system.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, E, F, G, H, and K apply to this system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Older records are stored in file folders in file cabinets. Newer
records are stored on a standalone computer database.
Retrievability:
By name of the data subject.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are destroyed three months after termination of
employment or severance of association with EPA.
System manager(s) and address:
Headquarters: Chief, Security and Property Management Branch,
Facilities Management and Services Division, Environmental Protection
Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington,
DC 20460; Other locations: General Services Manager at offices listed
in the Appendix.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects and EPA personnel records.
EPA-20
System name:
Toxic Substances Control Act Confidential Business Information
Records Access System.
System location:
Office of Pollution Prevention and Toxics, Information Management
Division, Environmental Protection Agency, Ariel Rios Building, 1200
Pennsylvania Avenue NW, Washington, DC 20460.
Categories of individuals covered by the system:
EPA and other Federal agency employees and Office of Pollution
Prevention and Toxics contractor employees who are or have ever been
authorized for access to Toxic Substances Control Act Confidential
Business Information (TSCA CBI).
Categories of records in the system:
The system contains basic identification information such as
name, social security number, EPA identification card number, date
and place of birth, office of contractor for which the individual
works and telephone number. In addition, the system contains
information pertinent to TSCA CBI access such as security briefing
date, date added to system, date deleted from system and type of
access authorized.
Authority for maintenance of the system:
Toxic Substances Control Act, 15 U.S.C. 2601 et seq.
Purpose(s):
To maintain a record of those persons cleared for access to TSCA
CBI and to maintain the security of TSCA CBI.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, B, C, D, E, F, G, H, and K apply to this
system. Records may also be disclosed:
1. To other Federal agencies when they possess TSCA CBI and need
to verify clearance of EPA, other Federal agency and EPA contractor
employees for access.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Current records are maintained in a computer database. Some older
records are maintained in hard copy files.
Retrievability:
From the computer database by addressing any type of data
contained in the database, including name. From alphabetized hard
copy files by name.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in safes. All records
are maintained in secure, access-controlled areas or buildings.
Retention and disposal:
Information in this system is maintained and updated for so long
as individuals identified in the system are authorized for access to
TSCA CBI.
System manager(s) and address:
Director, Information Management Division, Office of Pollution
Prevention and Toxics, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedure:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects provide identification information. EPA personnel
add information about dates and type of access authorized.
EPA-22
System name:
National Correspondence Tracking and Information Management
System.
System location:
Office of the Executive Secretariat, Environmental Protection
Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington,
DC 20460. Most EPA offices, including regional offices, access and
maintain some records in this system. See the appendix for addresses
of regional and other offices.
Categories of individuals covered by the system:
Persons from the private sector, White House staff, and other
persons from the public sector (Federal, state and local) who send
correspondence to the Administrator, Deputy Administrator, or to
other EPA offices and regions.
Categories of records in the system:
Controlled correspondence, including name and address of
correspondent, copies of incoming letter, EPA's response, and
correspondence control number when assigned.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To respond to correspondence requiring correspondence controls
from the public and private sectors.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, B, C, D, E, F, G, H, I, J, and K apply to
this system. Records may be also disclosed:
1. To a Federal, State or local agency when a response by that
agency rather than EPA is more appropriate.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders and computer database.
Retrievability:
By the name of the individual correspondent and the
correspondence control number when assigned. Computer records can
also be retrieved by other data fields.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Some controlled correspondence records are permanent.
Correspondence from Division Directors and below is retained for ten
years. All other correspondence records are destroyed when five years
old.
System manager(s) and address:
Director, Office of the Executive Secretariat, Environmental
Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW,
Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects and EPA offices that prepared the response.
EPA-23
System name:
EPA Credential Information Records.
System location:
Office of Inspector General credential records: Office of the
Inspector General, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460; All
other credential records: Security and Property Management Branch,
Facilities Management and Services Division, Environmental Protection
Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington,
DC 20460.
Categories of individuals covered by the system:
EPA employees who are required to carry credentials that identify
the bearer as having the authority to act in an official enforcement,
inspection, or investigative capacity.
Categories of records in the system:
This system contains all or part of the following information:
Name of individual, title, grade, position, location, credential
number, expiration date, date issued, status.
Authority for maintenance of the system:
Federal Property and Administrative Services Act of 1949, 40
U.S.C. 486(c).
Purpose(s):
To issue official EPA credentials to designated Agency employees
who are required to carry credentials to identify them as having the
authority to act in an official enforcement, inspection, or
investigative capacity; to maintain a record of all holders of
credentials, for renewal and recovery of expired credentials, and to
identify lost or stolen credentials.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, E, F, G, H, and K apply to this system.
Records may also be disclosed:
1. To any person in response to a request to verify the
credentials of an EPA employee.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders and computer database.
Retrievability:
By name, credential number, or location of the data subject.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are destroyed three months after separation or revocation
of credential.
System manager(s) and address:
Office of Inspector General credential records: Assistant
Inspector General for Management, Office of Inspector General,
Environmental Protection Agency, Ariel Rios Building, 1200
Pennsylvania Avenue NW, Washington, DC 20460. All other credential
records: Chief, Security and Property Management Branch,
Environmental Protection Agency, Ariel Rios Building, 1200
Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects and the offices preparing credentials.
EPA-24
System name:
Claims Office Master Files.
System location:
Office of General Counsel, Environmental Protection Agency, Ariel
Rios Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Categories of individuals covered by the system:
The Claims Office Master Files (COMF) contains claim records
affecting individuals in six categories. COMF-TOR is composed of
records covering individuals filing claims under the Federal Tort
Claims Act, 28 U.S.C. 2671 et seq., for money damages for injury,
death or damage caused by the negligence or wrongful acts or
omissions of employees of EPA. COMF-FCC is comprised of records
covering individuals who are indebted to EPA and against whom EPA has
initiated actions under the Federal Claims Collection Act, as
amended, 31 U.S.C. 3711 et seq. COMF-MCE is composed of records
covering individuals making claims for loss or damage to personal
property under the Military Personnel and Civilian Employees Claims
act, 31 U.S.C. 3721. COMF-WAV is composed of records covering
individuals requesting waiver under 5 U.S.C. 5584 of claims for
erroneous payments of salary or transportation expenses. COMF-GAR is
composed of records covering EPA employees whose salaries are
garnished under 42 U.S.C. 659, 661-662 for alimony, child support, or
commercial garnishments. COMF-RCD is composed of records covering
individuals claiming reimbursement of collision deductible payments
on rental vehicles.
Categories of records in the system:
1. COMF-TOR contains records relating to tort claims against EPA.
It may contain administrative claims, investigative reports, witness
statements, certifications of scope of employment, damage estimates,
medical records, letters to claimants, claimant responses, the Agency
final decision on claims, and other records concerning tort claims.
COMF-FCC contains documents relating to debts owed EPA by
individuals, corporations, State and local governments, and Indian
tribes. It may include documents which evidence the debt (e.g., audit
reports, travel voucher, consent decrees, etc.), demand letters,
debtor responses, credit reports, information obtained from private
collection agencies, and other records concerning debt claims. It may
contain the social security numbers of individual debtors to the
extent such numbers are contained in travel vouchers or other
documents upon which the debt is based.
2. COMF-MCE contains records relating to employee claims for loss
or damage to personal property. It may contain administrative claim
forms, investigative reports, supervisor's reports, accident reports,
documentation of the amounts claimed as damages, the Agency final
action on claims, and other records concerning employee property
claims.
3. COMF-WAV contains records relating to employee requests for
waiver by the Government of claims for erroneous payment of salary or
travel expenses. It may contain employee request for waiver forms,
investigative reports and recommendations, certifications of the
amount of overpayment, personnel records relevant to overpayments,
evidence of the Government's final action on the request, and other
records concerning waiver requests. The social security number of the
employee is contained in the file.
4. COMF-GAR contains legal documents supporting the garnishment
of the salary of EPA employees. It may include the order of
garnishment or attachment, notices to the employee of garnishment,
responses by the employee, payroll information, and other records
concerning garnishment requests. The social security number of the
employee may be contained in the file.
5. COMF-RCD contains records required to settle claims against
EPA employees for rental car damage deductible claims. It may contain
rental agreements, accident reports, damage estimates, employee
requests for reimbursement, travel vouchers, correspondence with
rental car companies, evidence of the Agency final action on the
claim, and other records concerning rental car deductible claims.
Authority for maintenance of the system:
COMF-TOR: 28 U.S.C. 2671 et seq. and 40 CFR part 10.
COMF-FCC: 31 U.S.C. 3711 et seq. and 4 CFR parts 101-105.
COMF-MCE: 31 U.S.C. 3721 and 40 CFR part 14.
COMF-WAV: 5 U.S.C. 5584 and 4 CFR parts 91-92.
COMF-GAR: 42 U.S.C. 659, 661-662 and 5 CFR part 581.
COMF-RCD: 5 U.S.C. 5704.
Purpose(s):
To assist the EPA Claims Office in managing its receipt,
tracking, processing, and resolution of claims and to assist the
Department of Justice and EPA in final resolution of claims.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, D, E, F, G, H, J, and K apply to this
system. Records may also be disclosed:
1. To a Federal, State or local agency where necessary to enable
EPA to obtain information relevant to an EPA decision concerning a
claim by or against an employee.
2. Records maintained in the COMF-FCC subsystem may be disclosed
to commercial collection agencies under contract with EPA, as
provided by 31 U.S.C. 3718 and 40 CFR part 13, for collection
Purpose(s).
3. Records maintained in the COMF-RCD subsystem may be disclosed
to rental car companies as part of EPA's resolution of claims by the
rental car companies for damage.
4. Records maintained in COMF-RCD may be disclosed to Federal
agencies where relevant to their involvement in the rental agreement
or claims arising from it.
5. Records maintained in the COMF-GAR subsystem may be disclosed
to the State agency responsible for child support and/or alimony
collection and enforcement, and for enforcing commercial garnishment
orders.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12) may be made from
records maintained in the COMF-FCC subsystem to consumer reporting
agencies as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Debt Collection Act of 1982 (31 U.S.C.
3701(a)(3)(B)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In file folders in file cabinets within the Claims Office.
Records are accessible through computer indexes maintained in the
Claims Office.
Retrievability:
By the name of the person, corporation, local or state government
or Indian tribe, and the assigned claim number. This information is
maintained in computer indexes within the Claims Office.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
COMF records are retained for ten (10) years. A resolved claim is
retained within the Claims Office for five (5) years then transferred
to the Federal Records Center where it is retained for an additional
five (5) years. The record is destroyed by the Federal Records Center
at the end of the retention period.
System manager(s) and address:
EPA Claims Officer, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects and EPA employees in their official capacities.
Other sources are:
COMF-TOR--local police authorities and witnesses;
COMF-FCC--private collection agencies and credit bureaus, other
Federal agencies, local officials and State employees;
COMF-MCE--law enforcement and security personnel;
COMF-GAR--State court authorities and garnishers;
COMF-RCD--rental car companies and automobile repair companies.
EPA-27
System name:
Employee Counseling and Assistance Program Records.
System location:
Career Resource & Counseling Center, Environmental Protection
Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington,
DC 20460. EPA offers counseling services to employees at regional
offices through a national agreement with the Public Health Service.
See the appendix for addresses of regional and other offices.
Categories of individuals covered by the system:
EPA employees who seek, are referred to, and/or receive
assistance through the Agency Employee Counseling and Assistance
Program in connection with personal or work related problems,
including, but not limited to, problems related to alcohol and/or
drug abuse.
Categories of records in the system:
Records of employees who have been counseled or otherwise
assisted. Information which may be found in this record system
includes the employee's name, location within the Agency, sex, age,
race, office telephone number, grade, job title and series; problem
assessment, recommended treatment, referral source and client status;
notes about counseling sessions made by the counselor; copies of
admonishments and reprimands received by the employee; copies of
performance appraisals received by the employee; copies of
performance appraisals; and documentation of treatment from
therapists, physicians, rehabilitation treatment centers and other
outside private or community resources.
Authority for maintenance of the system:
42 U.S.C. 290dd-1, 290ee-1; 5 U.S.C. 7901; Executive Order 12564
(Sept. 15, 1986).
Purpose(s):
To counsel EPA employees who are experiencing personal or work
related problems, including alcohol and drug abuse problems, which
may affect their work performance; to document the nature of the
employee's problem and the progress made, to record an employee's
participation in and the results of community or private sector
treatment or rehabilitation programs, and, with the employee's
consent, to coordinate with appropriate supervisory or management
officials concerning the progress of the employee's rehabilitation;
to conduct scientific research, management and financial audits and
program evaluations, but individual employees shall not be identified
in any resulting reports, audits, or evaluations nor their identities
further disclosed in any manner.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses F and H apply to this system. Disclosure of
records pertaining to an employee's alcohol or drug abuse is
restricted under the provision of the Confidentiality of Alcohol and
Drug Abuse Patient Records regulations, 42 CFR part 2.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper files.
Retrievability:
By the names of the client employees and by client numbers cross-
indexed by names.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
ECAP records are retained until three years after termination of
counseling or until the individual leaves the EPA and are then
destroyed.
System manager(s) and address:
Director, Career Resource and Counseling Center, Environmental
Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW,
Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects, a record subject's family, sources to whom a
record subject has been referred for assistance, supervisors and
other EPA officials, agency health unit, and ECAP counselors.
EPA-29
System name:
EPA Travel, Other Accounts Payable, and Accounts Receivable
Files.
System location:
National Computer Center, Environmental Protection Agency,
Research Triangle Park, North Carolina 27711; other EPA offices. See
the appendix for addresses of regional and other offices.
Categories of records in the system:
Individuals who owe monies to and individuals who are owed monies
from the Environmental Protection Agency are covered by the system.
This includes, but is not limited to, monies owed to EPA for refunds,
penalties, travel advances, Interagency Agreements, or Freedom of
Information Requests. This system also contains information on
corporations and other entities that are in debt to EPA. Records on
corporations and other entities are not subject to the Privacy Act.
This system also includes monies owed by EPA to Agency employees,
consultants, private citizens, and others who travel or perform other
services for EPA.
Categories of records in the system:
This system of records is composed of an accounts receivable
module and travel and other accounts payable modules. The system
contains personal identifying information such as names, addresses,
and Social Security numbers of persons indebted to or owed money by
EPA. The accounts receivable module contains information about the
nature of the debt or claim, the amount owed, the history status of
the debt, and information that relates to and documents efforts to
collect debts owed the Agency. The travel and other accounts payable
modules contain information about the travel authorization; travel
vouchers, which support the claim for the reimbursement to the
travel; travel advance authorizations, which provide fund advances to
pay travel expenses incurred in the performance of official
government business; and finally itemized invoices for other services
performed for EPA. In both modules, banking information necessary to
support electronic funds transfers may be maintained.
Authority for maintenance of the system:
31 U.S.C. 3511-3513; 5 U.S.C. 5514; 31 U.S.C. 3702; 31 U.S.C.
3711 et seq.; Executive Order 9397 (Nov. 22, 1943).
Purpose(s):
Records in the accounts receivable module are used primarily to
create a record of, and track, all accounts receivable and to assist
EPA in collecting debts owed the Agency. Records in the travel and
other accounts payable modules are used primarily to create a record
of and to track all monies owed by the EPA for authorized travel and
for other services performed for EPA.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, B, C, D, E, F, G, H, I, and K apply to
this system. Records may also be disclosed:
1. To Union representatives when relevant and necessary to their
duties as exclusive bargaining agents under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111, 7114.
2. To the Office of Management and Budget, and Department of
Treasury for Purpose(s) of carrying out EPA's financial management
responsibilities.
3. To the Defense Manpower Data Center of the Department of
Defense, U.S. Postal Service, Department of the Treasury, Justice
Department or other federal agencies for the Purpose(s) of
identifying and locating individuals who are receiving Federal
salaries or benefit payments and are delinquent in their repayment of
debts owed to the U.S. Government under programs administered by EPA.
The Purpose(s) of the disclosure is to collect the delinquent debts
by voluntary repayment, administrative, salary, tax refund offset
procedures, or through litigation. When disclosures are made as part
of computer matching programs, EPA will comply with the Computer
Matching and Privacy Protection Act of 1988.
4. To provide debtor information to consumer reporting agencies
in order to obtain credit reports for use by EPA for debt collection
Purpose(s) and to report delinquent debts.
5. To provide debtor information to debt collection agencies
under contract to EPA to help collect debts owed EPA. Debt collection
agencies will be required to comply with the Privacy Act and their
agents will be made subject to the criminal penalty provisions of the
Act.
Note:
The term ``debtor information'' as used in the routine uses above
is limited to the individual's name, address, social security number,
and other information necessary to identify the individual; the
amount, status and history of the claim; and the agency or program
under which the claim arose.
Disclosure to consumer reporting agencies:
Pursuant to 5 U.S.C. 552a(b)(12), disclosure may be made to a
consumer reporting agency as defined in the Fair Credit Reporting Act
(15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31
U.S.C. 3701(a)(30)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
On computer systems, tapes, disks, microfiche, and other hard
copy formats. The mainframe and the computer tapes and disks are
located in Research Triangle Park, North Carolina. Backup tapes are
maintained at a disaster recovery site.
Retrievability:
Accounts receivable module records are indexed by account
receivable control number (a number assigned to each ``incoming''
account receivable). Individual records can be accessed by using a
cross reference table which links accounts receivable control numbers
with debtors names and associated debtor information. Travel and
other accounts payable module records are retrievable by name and
social security number.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are maintained for at least two years. In some cases
depending on program needs, records may be maintained for a longer
period. Manual records are ultimately transferred to a Record Center
where they are kept until disposed of in accordance with record
disposal schedules.
System manager(s) and address:
Comptroller, Office of the Comptroller, Environmental Protection
Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington,
DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contain a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects, supervisors, consumer reporting agencies, debt
collection agencies, the Department of the Treasury and other Federal
agencies.
EPA-30
System name:
OIG Hotline Allegation System.
System location:
Office of Inspector General, Environmental Protection Agency,
Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington, DC
20460.
Categories of individuals covered by the system:
Persons who report information to the Office of Inspector General
(OIG) concerning the possible existence of activities constituting a
violation of law, rules, or regulations, mismanagement, gross waste
of funds, abuse of authority, or a substantial and specific danger to
the public health or safety, and the subject of the complaints.
Categories of records in the system:
Complainants who report indications of wrongdoing; name and
address of the complainant (except for anonymous complainants), date
complaint received, program area, nature and subject of complaint,
any additional contacts and specific comments provided by the
complainant; information on the OIG disposition of the complaint,
including investigative case number, preliminary inquiry number,
dates of referral, reply, and follow-up, and status and disposition
code of the complaint.
Authority for maintenance of the systemZ:
Inspector General Act of 1978, 5 U.S.C. app. 3; and 5 U.S.C. 301.
Purpose(s):
To conduct and supervise OIG audits and investigations relating
to programs and operations of the EPA; to promote economy,
efficiency, and effectiveness in the administration of such programs
and operations; and to prevent and detect fraud and abuse in such
programs and operations.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, B, C, D, E, F, G, H, I, and K apply to
this system. Records may also be disclosed:
1. To any source, private or public, to the extent necessary to
secure from such source information relevant to a legitimate EPA
investigation, audit, decision, or other inquiry.
2. To a Federal agency responsible for considering suspension or
debarment action where such record would be relevant to such action.
3. To the Department of Justice to obtain its advice on Freedom
of Information Act matters.
4. In response to a lawful subpoena issued by a Federal agency.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Hard copy files and a computer database.
Retrievability:
By case number, complainant or subject name, and subject matter.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are retained and disposed of in accordance with EPA
Records Control Schedules, Inspector General Records, approved by the
National Archives and Records Administration.
System manager(s) and address:
Assistant Inspector General for Mission Systems, Office of
Inspector General, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager. Requesters will be required
to provide adequate identification, such as a driver's license,
employee identification card, or other identifying document.
Additional identification procedures may be required in some
instances.
Record access procedures:
To the extent permitted under the Privacy Act of 1974, 5 U.S.C.
552a(k)(2), this system has been exempted from the provisions of the
Privacy Act of 1974 that permit access and correction. However, EPA
may, in its discretion, fully grant individual requests for access
and correction if it determines that the exercise of these rights
will not interfere with an interest that the exemption is intended to
protect. The exemption from access is limited in some instances by
law to information that would reveal the identity of a confidential
source.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Complainants who are employees of EPA; employees of other Federal
agencies; employees of state and local agencies; and private
citizens. Records in the system come from complainants through the
telephone, mail, personal interviews, and Internet Web Site. Because
security cannot be guaranteed on the Internet site, complainants are
advised that information they provide through the Internet site may
not be confidential.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the
following provisions of the Privacy Act of 1974, subject to the
limitations set forth in that subsection: 5 U.S.C. 552a (c)(3); (d);
(e)(1); (e)(4)(G); (e)(4)(H); and (f)(2) through (5).
EPA-31
System name:
Acquisition Training System.
System location:
Office of Acquisition Management, Environmental Protection
Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington,
DC 20460.
Categories of individuals in system:
EPA employees performing contract management who are subject to
the Agency certification program and who are certified, as set forth
in Chapter 7 of the EPA Contracts Management Manual.
Categories of records in system:
Training records for the EPA contract manager certification
program, including an individual's training history, name, title,
organization, mail code, business address, work phone number,
employee number, previously contract management courses, course
completion dates, and interim certification status.
Authority for maintenance of the system:
Office of Federal Procurement Policy Act of 1974, 41 U.S.C. 414.
Purpose(s):
To assure a proficient contract management workforce by
identifying EPA employees who are eligible to be or have been
certified as Contract Managers.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, D, E, F, G, H, and K apply to this
system.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Computer database and hardcopy files.
Retrievability:
From the computer database by an employee's name or office mail
code; from hardcopy files by an employee's name and date of training.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records may be deleted from the Acquisition Training System upon
the employee's separation from the Agency.
System manager(s) and address:
Manager, Acquisition, Training, and Oversight Service Center,
Office of Acquisition Management, Environmental Protection Agency,
Ariel Rios Building, 1200 Pennsylvania Avenue NW., Washington, DC
20460.
Notification procedure:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects and EPA acquisition management officials.
EPA-32
System name:
EPA Telecommunications Detail Records.
System location:
National Technology Services Division, Environmental Protection
Agency, Research Triangle Park, NC 27711.
Categories of individuals covered by the system:
EPA employees, contractors, grantees, and other persons
performing services on behalf of the EPA who use telecommunications
services charged to EPA.
Categories of records in system:
Records relating to the use of EPA telecommunications services
(e.g., telephone calls, video conference, 800 number calling,
satellite downlinks, credit card calls), records indicating the
assignment of telephone numbers to personnel, and records indicating
the location of telephones.
Authority for maintenance of the system:
31 U.S.C. 1348(b).
Purpose(s):
To aid in planning its future telecommunications needs, and to
control telecommunications costs by ensuring that facilities are used
only for official Purpose (s)s and by determining individual
accountability for telephone usage.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, E, F, G, H, and K apply to this system.
Records may also be disclosed:
1. To a telecommunications company and/or the General Services
Administration who are providing telecommunications support to verify
billing or perform other servicing to the account.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in system:
Storage:
Mainframe computer, computer tapes, and other computer media.
Retrievability:
By originating and destination telephone numbers, responsible
individuals, call date, call time, call duration, destination city
and state, and calling charge.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are disposed of in accordance with the National Archives
and Records Administration, General Records Schedule 12.
System manager(s) and address:
Director, National Technology Services Division, Environmental
Protection Agency, Research Triangle Park, NC 27711.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
(1) EPA employees, contractors, grantees, and other persons who
are performing services on behalf of the EPA, (2) EPA telephone
assignment and Locator records, (3) GSA and other phone companies,
and (4) EPA-owned Private Branch Exchange systems.
EPA-33
System name:
Debarment and Suspension Files.
System location:
Office of Grants and Debarment, Environmental Protection Agency,
Ariel Rios Building, 1200 Pennsylvania Avenue NW., Washington, DC
20460, and Regions 1 through 10 which recommend suspension and
debarment action. See the appendix for the address of regional
offices.
Categories of individuals covered by the system:
Individuals who have been suspended, proposed for debarment, or
debarred from Federal procurement and assistance programs and
individuals who have been the subject of agency inquiries to
determine whether they should be debarred and/or suspended from
Federal procurement and assistance programs.
Categories of records in the system:
Records include information on individuals and firms excluded or
considered for exclusion from Federal acquisition or assistance
programs as a result of suspension or debarment proceedings initiated
by EPA. Such information includes, but is not limited to, names and
addresses of individuals covered by the system of records, evidence
obtained in support of Action Referral Memoranda and Case Closure
Memoranda, interim decisions, compliance agreements, audits of
compliance agreements, and final determinations. Examples of evidence
contained in files include correspondence, inspection reports,
memoranda of interviews, contracts, assistance agreements,
indictments, judgment and conviction orders, plea agreements, and
corporate information. Evidence may include documents containing
individuals' Social Security Numbers. Computer generated records
include data regarding categories and status of cases.
Authority for maintenance of the system:
Federal Property and Administrative Services Act of 1949, 41
U.S.C. 251 et seq.; Office of Federal Procurement Policy Act, 41
U.S.C. 401 et seq.; Executive Order 12549 (Feb. 18, 1986); and
Executive Order 12689 (Aug. 16, 1989).
Purpose(s):
To assist EPA in assembling information on, conducting, and
documenting debarment and suspension proceedings to ensure that
Federal contracts and Federal assistance, loans, and benefits are
awarded to responsible business entities and individuals.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, B, C, D, E, F, G, H, I, and K apply to
this system. Records may also be disclosed:
1. To the General Services Administration (GSA) to compile and
maintain the ``Lists of Parties Excluded From Federal Procurement or
Nonprocurement Programs'' in accordance with FAR 9.404 and 40 CFR
32.500 and 32.505.
2. To organizations suspended, proposed for debarment of debarred
in EPA proceedings; to the legal representatives of such
organizations; and to the legal representatives of individuals
suspended, proposed for debarment or debarred in EPA proceedings.
3. To a Federal, state, or local agency, financial institution,
or other entity to verify an individual's eligibility for engaging in
a covered transaction as defined at 40 CFR 32.200.
4. To Federal, state, or local agencies, in response to requests
or subpoenas, or otherwise, for the Purpose (s) of; (a) assisting
them in administering Federal acquisition, assistance, loan and
benefit programs or regulatory programs, (b) assisting them in
discharging their duties to ensure that Federal contracts and
assistance, loans, and benefit programs are awarded to responsible
individuals and organizations, and (c) ensuring that Federal, state
or local regulatory responsibilities are met.
5. To the public, upon request, and to publishers of computerized
legal research systems, but such disclosures shall be limited to
interim or final decisions and settlement agreements.
Policies and procedures for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
File folders, computer databases, and other electronic media.
Retrievability:
By name of the firm or individual and by file number.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are retained in accordance with EPA's Assistance and
Interagency Agreement Records Schedule, NC1-412-85-25/7.
Investigative and advocacy files are destroyed after the issuance of
a final determination or entry of a compliance agreement. Audit files
are retained throughout the term of the relevant compliance
agreement. The official administrative record is retained in the
office until three months after the period of debarment or voluntary
exclusion expires, or all provisions of the compliance agreement have
been completed. The official administrative record is then
transferred to the Federal Records Center (FRC) for storage. Files
relating to cases closed without action are also transferred to the
FRC three months after the decision to close the matter. The records
transferred to the FRC are destroyed when they are 6 years and 3
months old.
System manager(s) and address:
Director, Office of Grants and Debarment, Environmental
Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW,
Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
EPA and other Federal officials, state and local officials,
private parties, businesses and other entities who may have
information relevant to an inquiry, and individuals who have been
suspended, proposed for debarment or debarred, and their legal
representatives.
EPA-34
System name:
Medical and Research Study Records of Human Volunteers.
System location:
Human Studies Facility, Human Studies Division, National Health
and Environmental Effects Research Laboratories, Office of Research
and Development, Environmental Protection Agency, 104 Mason Farm
Road, Chapel Hill, NC 27599.
Categories of individuals covered by the system:
Individuals who volunteer for participation in EPA-sponsored,
human studies research, whether or not they are accepted for
participation, and individuals who participate in the research.
Categories of records in the system:
Names, addresses, telephone numbers of individual volunteers;
individual vital statistics; medical histories; psychological
profiles; results of laboratory tests; results of participation in
specific research studies; and related records pertinent to the human
subject research program.
Authority for Maintenance of the system:
Resource Conservation and Recovery Act, 42 U.S.C. 6981;
Comprehensive Environmental Response, Compensation and Liability Act,
42 U.S.C. 9660; Clean Air Act, 42 U.S.C. 7403; Safe Drinking Water
Act, 42 U.S.C. 300j-1; Federal Water Pollution Control Act, 33 U.S.C.
1254; Toxic Substances Control Act, 15 U.S.C. 2609; Federal
Insecticide, Fungicide, and Rodenticide Act, 7 U.S.C. 136r.
Purpose(s):
To support the EPA regulatory process by providing scientific
information on the health effects of environmental pollutants; to
screen volunteers to protect them from unnecessary health risks, to
document their medical condition, and to document the specific
research activities in which the subjects participated.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses D, E, F, H, and K apply to this system.
Records may also be disclosed:
1. To scientists at governmental or private institutions,
research centers, or businesses who assist with EPA research projects
or who conduct related research (normally peer reviewed and
institutional review board approved) that can benefit from access to
EPA research records.
2. To public health authorities in conformity with federal,
state, and local laws when necessary to protect the public health.
Individuals whose records might be disclosed under this authority are
normally notified of the possibility of disclosure through informed
consent agreements.
Policies and procedures for storing, retrieving, retaining and
disposing of records in the system:
Storage:
In file folders, on index cards, and in an electronic database.
Some records may also be stored off site in a secure facility
maintained by a contractor to the EPA Human Studies Division.
Retrievability:
By name and by identifying numbers assigned for each project.
Safeguards:
Electronic records are maintained in a secure, password protected
electronic system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
The records are permanently maintained.
System manager(s) and address:
Director, Human Studies Facility, Human Studies Division,
National Health and Environmental Effects Research Laboratories,
Office of Research and Development, Environmental Protection Agency,
104 Mason Farm Road, Chapel Hill, NC 27599.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Research subjects. Medical records of a research subject may be
obtained occasionally with the consent of the research subject.
EPA-35
System name:
EPA Transit and Guaranteed Ride Home Program Files.
System location:
Transportation Management Section, Facilities Management and
Services Division, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460. Records
may also be maintained in regional offices. See the appendix for the
address of regional and other offices.
Categories of individuals covered by the system:
EPA employees apply for and participate in the EPA Transit
Subsidy Program and the Guaranteed Ride Home Program.
Categories of records in the system:
Name, social security number, home address, grade level, office
address and phone number, current and proposed commuting pattern,
estimated monthly commuting cost, certification and recertification
forms, and other information related to carrying out activities under
the transit subsidy program.
Authority for Maintenance of the system:
Federal Employees Clean Air Incentives Act, 5 U.S.C. 7905; and
Executive Order 9397 (Nov. 22, 1943).
Purpose(s):
To manage the EPA Transit Subsidy Program, including receipt and
processing of employee applications and distribution of the fare
media to employees; to track the use of appropriated funds used to
support the program; and to evaluate employee participation in the
program.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routines uses A, E, F, G, H, and K apply to this system.
Records may also be disclosed:
1. To federal, state, or local agencies to detect unauthorized
payments, fraud and abuse, or recoup improper payments in transit
subsidy programs.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In a computer database and in file folders.
Retrievability:
By name and the first four digits of the social security number.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are retained for a maximum of two years following the
last month of an employee's participation in the EPA Transit Subsidy
Program. Shredding destroys paper copies. Computer files are
destroyed by deleting the record from the file.
System manager(s) and address:
Team Leader, Transportation Management Section, Facilities
Management and Services Division, Environmental Protection Agency,
Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington, DC
20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR Part 16.
Record source categories:
Record subjects.
EPA-36
System name:
Research Grant, Cooperative Agreement, and Fellowship Application
Files.
System location:
National Center for Environmental Research, Office of Research
and Development, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Categories of individuals covered by the system:
Individuals (principal investigators and fellows) who request or
have previously requested support from the ORD research grants
programs, either individually or through an academic institution,
state agency, or non-profit organization.
Categories of records in the system:
Names of the principal investigators, research proposals and
their identifying numbers, supporting data from the academic
institutions or other applicants, proposal evaluations from peer
reviewers, review records, financial data, and other material related
to evaluation of applications.
Authority for maintenance of the system:
Federal Grant and Cooperative Agreement Act, 31 U.S.C. 6301 et
seq.; Clean Air Act, 42 U.S.C. 1857 et seq.; Federal Water Pollution
Control Act, 33 U.S.C. 1254 et seq.; Public Health Service Act, 42
U.S.C. 241 et seq.; Solid Waste Disposal Act, 42 U.S.C. 6901 et seq.;
Federal Insecticide, Fungicide, and Rodenticide Act, 7 U.S.C. 136 et
seq.; Safe Drinking Water Act, 42 U.S.C. 300j-1; Toxic Substances
Control Act, 15 U.S.C. 2609, Comprehensive Environmental Response,
Compensation, and Liability Act, 42 U.S.C. 9660. Other laws may be
relevant as well.
Purpose(s):
To assist EPA in conducting and documenting the receipt and
review of applications and award of research grants to the most
meritorious applicants in response to solicitations issued by the
Office of Research and Development in furtherance of its Science to
Achieve Results (STAR) program.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, B, C, D, E, F, G, H, and K apply to this
system. Records may also be disclosed:
1. To qualified reviewers retained by EPA for their opinion and
evaluation of applicants and their proposals as part of the
application review process.
2. To other Federal government agencies and private-sector
organizations regarding applicants in order to coordinate joint grant
programs between Federal agencies, State or local government
agencies, and/or private-sector organizations.
3. To the applicant institution to obtain data for use in
reviewing applications, awarding grants, or administering grants.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic databases and hard copy files.
Retrievability:
Electronic files may be retrieved by most data elements in the
database (primarily by topic area and assistance number). Retrieval
by name of principal investigator is reserved to the system manger.
Safeguards:
Electronic records are maintained in a secure, password protected
electronic system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Hard copies of awarded proposals are transferred to the Federal
Records Center one year after closeout where they are retained for an
additional six years. Hard copies of declined proposals are destroyed
three years after they are declined.
System manager(s) and address:
Director, Peer Review Division, National Center for Environmental
Research, Office of Research and Development, Environmental
Protection Agency, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Academic institutions, principal investigators, other applicants,
peer reviewers, and EPA and other Federal agency personnel.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from the
following provisions of the Privacy Act, subject to the limitations
set forth in that subsection: 5 U.S.C. 552a(c)(3) and (d).
EPA-37
System name:
ORD Peer Review Panelist Information System (PRPIS) System.
System location:
National Center for Environmental Research, Office of Research
and Development, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Categories of individuals covered by the system:
Peer reviewers who may be retained by EPA to evaluate grant,
fellowship, and cooperative agreement applicants and their
applications.
Categories of records in the system:
Names of peer reviewers, supporting data about their academic
institutions or other institutional affiliations, proposal
evaluations from peer reviewers, review records, contract and
financial data, committee or panel discussion summaries, and other
agency records containing or reflecting comments on the applications
or the applicants from peer reviewers.
Authority for maintenance of the system:
Federal Grant and Cooperative Agreement Act, 31 U.S.C. 6301 et
seq.; Clean Air Act, 42 U.S.C. 1857 et seq.; Federal Water Pollution
Control Act, 33 U.S.C. 1254 et seq.; Public Health Service Act, 42
U.S.C. 241 et seq.; Solid Waste Disposal Act, 42 U.S.C. 6901 et seq.;
Federal Insecticide, Fungicide, and Rodenticide Act, 7 U.S.C. 136 et
seq.
Purpose(s):
To assist EPA conduct and document review of applications for
research grants, cooperative agreements, and fellowships through the
use of peer reviewers from the scientific community.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, B, E, F, G, H, and K apply to this
system.
Records may also be disclosed:
1. To Federal government agencies that cooperate with EPA in
joint grant programs.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic database and on CD-ROM.
Retrievability:
By the name and subject related characteristics of peer
reviewers.
Safeguards:
Electronic records are maintained in a secure, password protected
electronic system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
File is cumulative and is maintained indefinitely.
System manager(s) and address:
Director, Peer Review Division, National Center for Environmental
Research, Office of Research and Development, Environmental
Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW,
Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects, and EPA and other Federal agency personnel.
EPA-38
System name:
Invention Reports Submitted to the EPA.
System location:
Office of General Counsel, Environmental Protection Agency, Ariel
Rios Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Invention reports from contractors, subcontractors, grantees, and
cooperative agreement recipients are submitted to and maintained on
behalf of EPA by the Office of Policy for Extramural Research
Administration, National Institutes of Health, Bethesda, Maryland, in
the Extramural Invention Information Management System (code-named
Edison).
Categories of individuals covered by the system:
EPA employees and employees of contractors, subcontractors,
grantees, cooperative agreement recipients (40 CFR part 30), and
parties to cooperative research and development agreements (15 U.S.C.
3710a) who have submitted invention reports to EPA.
Categories of records in the system:
Invention reports, patent applications, patents, patent
assignments, licenses, procurement requests, Government purchase
orders, and other documents relevant to inventions made under EPA
sponsorship.
Authority for Maintenance of the system:
Executive Order 9865 (June 14, 1947), Executive Order 10096 (Jan.
23, 1950), 35 U.S.C. Ch. 18 (Patent Rights in Inventions Made with
Federal Assistance), 37 CFR parts 401, 404, and 501; 40 CFR part 30,
48 CFR parts 27 and 52; 15 U.S.C. 3710a.
Purpose(s):
Records are maintained for the Purpose (s) of documenting
inventions made under EPA sponsorship, including filing patent
applications, determining rights to inventions, licensing inventions,
and ascertaining inventorship and priority of invention.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, D, E, F, G, H, I, and K apply to this
system. Records may also be disclosed:
1. To scientific personnel who possess the expertise to
understand the invention and evaluate its importance to the
Government and/or the public.
2. To contract patent counsel and their employees retained by the
Agency for patent searching, preparation and prosecution of United
States and foreign patent applications.
3. To Government agencies that we contact regarding possible use,
interest in or ownership rights in our inventions.
4. To technology assistance personnel, technology evaluators,
technology finders, and prospective licensees who may further make
the invention available to the public through evaluation, promotion,
sale, use, or publication.
5. To parties, such as supervisors of inventors, whom we contact
to determine ownership rights, and to people contacting us to
determine the Government's ownership.
6. To the United States and foreign Patent and Trademark Offices
when we file U.S. and foreign patent applications.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Individual file folders in file cabinets and indexed on computer
tracking system.
Retrievability:
By inventor's name, case identification number, and patent
application number or patent number.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
The records are maintained for fifteen years after completion or
termination of action on the disclosed invention, such as issuance of
a patent. The records are maintained at EPA for approximately three
and are then sent to a Federal Records Center for the remainder of
the applicable retention period.
System manager(s) and address:
General Counsel, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Invention report submitters and their supervisors; other persons
with knowledge of the invention or expertise in the particular area
of the invention; EPA Patent Counsel; EPA contractors who have
searched the invention, prepared a patent application on the
invention and/or otherwise performed work relating to a patent
application; and the United States and foreign patent offices.
EPA-39
System name:
Superfund Cost Recovery Accounting Information System.
System location:
Office of the Comptroller, Office of the Chief Financial Officer,
Financial Management Division, Environmental Protection Agency, Ariel
Rios Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Categories of individuals covered by the system:
Current and past employees, contractors, and consultants involved
in Superfund activities.
Categories of records in the system:
Name, identification number, hours worked during pay period, work
activity classification, travel expenses, and any other recoverable
expense items.
Authority for maintenance of the system:
Comprehensive Environmental Response, Compensation, and Liability
Act of 1980, 42 U.S.C. 9607; 5 U.S.C. 301; 31 U.S.C. 3512; Executive
Order 9397 (Nov. 22, 1943).
Purpose(s):
To support identification and recovery of the costs of Superfund
activities.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
General routine uses A, D, E, F, G, H, I, and K apply to this
system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
On paper and in a computerized database.
Retrievability:
By employee number, name, organization; Superfund site, and
transaction date.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Paper and computer records may be kept indefinitely.
System manager(s) and address:
Director, Financial Management Division, Environmental Protection
Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington,
DC 20460.
Notification procedures:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting records procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects.
EPA-40
System name:
Inspector General's Operation and Reporting (IGOR) System
Investigative Files.
System location:
Enterprise Technology Services Division, Environmental
Protection Agency, Research Triangle Park, NC 27711.
Categories of individuals covered by the system:
Subjects, complainants, and witnesses in OIG investigations; OIG
employees who perform investigations; and individuals who receive the
results of investigations.
Categories of records in the system:
Investigative file information, including the names of the
subjects of OIG investigations; the cities, States, and EPA regions
in which the subjects were located; the names of complainants in OIG
investigations; and the names of important witnesses interviewed
during OIG investigations.
Authority for maintenance of the system:
Inspector General Act of 1978, 5 U.S.C. app. 3.
Purpose(s):
To conduct and supervise audits and investigations relating to
programs and operations of the EPA.
Routine Uses of Records Maintained in the system, including
categories of users and the purposes of such uses:
General Routine Uses A, B, C, D E, F, G, H, I, and K apply to
this system. Records may also be disclosed:
1. To any source, private or public, to the extent necessary to
secure from such source information relevant to a legitimate EPA
investigation, audit, decision, or other inquiry.
2. To a Federal agency responsible for considering suspension or
debarment action where such record would be relevant to such action.
3. To the Department of Justice to obtain its advice on Freedom
of Information Act matters.
4. In response to a lawful subpoena issued by a Federal agency.
5. To the Department of the Treasury and the Department of
Justice when EPA is seeking an ex parte court order to obtain
taxpayer information from the Internal Revenue Service.
6. To a Federal, State, local, foreign, or international agency,
or other public authority, for use in a computer matching program, as
that term is defined in 5 U.S.C. 552a(a)(8).
7. To a public or professional licensing organization if the
record indicates, either by itself or in combination with other
information, a violation or potential violation of professional
standards, or reflects on the moral, educational, or professional
qualifications of an individual who is licensed or who is seeking to
become licensed.
8. To any person when disclosure of the record is needed to
enable the recipient of the record to take action to recover money or
property of the EPA, when such recovery will accrue to the benefit of
the United States, or when disclosure of the record is needed to
enable the recipient of the record to take appropriate disciplinary
action to maintain the integrity of EPA programs or operations.
9. To the Office of Government Ethics to comply with agency
reporting requirements in 5 CFR part 2638, subpart F.
10. To officers and employees of other Federal agencies for the
purpose of conducting quality assessments of the OIG.
11. To the news media and public when a public interest justifies
the disclosure of information on public events such as indictments or
similar activities.
12. To Members of Congress and the public in the OIG's Semiannual
Report to the Congress when the Inspector General determines that the
matter reported is significant.
13. To the public when the matter under audit or investigation
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary to preserve confidence in the
integrity of the OIG audit or investigative process or is necessary
to demonstrate the accountability of EPA officers, employees, or
individuals covered by this system, unless it is determined that
disclosure of the specific information in the context of a particular
case could reasonably be expected to constitute an unwarranted
invasion of personal privacy.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In a computer database.
Retrievability:
By names of subjects, complainants, and important witnesses
interviewed during investigations; investigative case file numbers;
and the names and social security numbers of OIG employees.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. All records are maintained in secure, access-
controlled areas or buildings.
Retention and disposal:
Records are retained and disposed of in accordance with EPA
Records Control Schedules, Inspector General Records, approved by the
National Archives and Records Administration.
System manager(s) and address:
Assistant Inspector General for Management, Office of Inspector
General, Environmental Protection Agency, Ariel Rios Building, 1200
Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedure:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
To the extent permitted under the Privacy Act of 1974, 5 U.S.C.
552a(j), (k)(2) & (k)(5) this system has been exempted from the
provisions of the Privacy Act of 1974 that permit access and
correction. However, EPA may, in its discretion, fully grant
individual requests for access and correction if it determines that
the exercise of these rights will not interfere with an interest that
the exemption is intended to protect. The exemption from access is
limited in some instances by law to information that would reveal the
identity of a confidential source. Requesters will be required to
provide adequate identification, such as a driver's license, employee
identification card, or other identifying document. Additional
identification procedures may be required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Subjects of an investigation; individuals with whom the subjects
are or were associated (e.g., colleagues, business associates,
acquaintances, or relatives); Federal, State, local, international,
and foreign investigative or law enforcement agencies; other
government agencies; confidential sources; complainants; witnesses;
concerned citizens; and public source materials.
Systems exempted from certain provisions of the act:
Under 5 U.S.C. 552a(j)(2), this system is exempt from the
following provisions of the Privacy Act of 1974, as amended: 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(5), and (e)(8); (f); and (g). Under 5 U.S.C.
552a(k)(2) and (k)(5), this system is exempt from the following
provisions of the Privacy Act of 1974 as amended, subject to the
limitations set forth in this subsection; 5 U.S.C. 552a(c)(3); (d);
(e)(1), (e)(4)(G), (e)(4)(H), and (f)(2) through (5).
EPA-41
System name:
Inspector General's Operation and Reporting (IGOR) System
Personnel Security Files.
Security classification:
This system has no overall security classification. However,
some records within the system may bear a national defense/foreign
policy classification of Confidential, Secret, or Top Secret.
System location:
Enterprise Technology Services Division, Environmental
Protection Agency, Research Triangle Park, NC 27711.
Categories of individuals covered by the system:
Subjects of personnel security and suitability investigations
(e.g., national agency checks and inquiries, background
investigations, and periodic reinvestigations) conducted by or for
the OIG or the Office of Personnel Management, including present and
former EPA employees, consultants, contractors, and subcontractors in
national security and/or public trust positions; and applicants for
national security and/or public trust positions at EPA.
Categories of records in the system:
Personnel security and suitability files, including the subject's
social security number, name, title, EPA office, EPA organization
mail code, General Schedule occupation series and grade, geographic
location, type of employee (e.g., EPA employee, EPA OIG employee, or
contractor employee), location of Official Personnel File folder,
date of birth, place of birth, type of investigation conducted, date
investigation completed, date the completed investigation was
received by EPA OIG, date completed investigation was adjudicated by
EPA OIG, case number assigned by EPA OIG Personnel Security Staff,
type of security clearance, date of security clearance, and
sensitivity of the position occupied.
Authority for maintenance of the system:
Inspector General Act of 1978, 5 U.S.C. app. 3; Executive Order
12958 (Apr. 12, 1995); Executive Order 12968 (Aug. 2, 1995).
Purpose(s):
To support personnel security investigations for EPA staff,
contractor, and others required to maintain clearances.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
General routine uses A, B, C, D, E, F, G, H, I, J, and K apply to
this system. Records may also be disclosed:
To officers and employees of other Federal agencies for the
purpose of conducting quality assessments of the OIG.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In a computer database.
Retrievability:
By the name, social security number, or file number of the
subjects of background investigations.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. All records are maintained in secure, access-
controlled areas or buildings.
Retention and disposal:
Records are retained and disposed of in accordance with EPA
Records Control Schedules, Inspector General Records, approved by the
National Archives and Records Administration.
System manager(s) and address:
Assistant Inspector General for Mission Systems, Office of
Inspector General, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue, NW, Washington, DC 20460.
Notification procedure:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedure:
To the extent permitted under the Privacy Act of 1974, 5 U.S.C.
552a(k)(2) & (k)(5), this system has been exempted from the
provisions of the Privacy Act of 1974 that permit access and
correction. However, EPA may, in its discretion, fully grant
individual requests for access and correction if it determines that
the exercise of these rights will not interfere with an interest that
the exemption is intended to protect. The exemption from access is
limited in some instances by law to information that would reveal the
identity of a confidential source. Requesters will be required to
provide adequate identification, such as a driver's license, employee
identification card, or other identifying document. Additional
identification procedures may be required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Subjects of a personnel security or suitability investigation;
individuals with whom the subjects are or were associated (e.g.,
colleagues, business associates, acquaintances, or relatives);
Federal, State, local, international, and foreign investigative or
law enforcement agencies; other government agencies; confidential
sources; complainants; witnesses; concerned citizens; and public
source materials.
Systems exempted from certain provisions of the act:
Under 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5), this system is
exempt from the following provisions of the Privacy Act of 1974 as
amended, subject to the limitations set forth in this subsection; 5
U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), and (f)(2)
through (5).
EPA-42
System name:
Inspector General's Operation and Reporting (IGOR) System Audit,
Assignment, and Timesheet Files.
System location:
Enterprise Technology Services Division, Environmental Protection
Agency, Research Triangle Park, NC 27711.
Categories of individuals covered by the system:
OIG employees; individuals who request audits or special
projects; names of individual auditees.
Categories of records in the system:
Incoming audit requests, assignment sheets, work papers, review
sheets, and reports; incoming special project requests, assignment
sheets, and memorandums or briefing materials; and OIG employee
timesheets.
Authority for maintenance of the system:
Inspector General Act of 1978, 5 U.S.C. app. 3.
Purpose(s):
To assist the OIG in planning audits, investigations, and other
operations of the OIG; monitoring OIG performance of its activities;
and reporting results.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
General routine uses A, D E, F, G, H, I, J, and K apply to this
system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In a computer database.
Retrievability:
By assignment number, audit report number, the name and social
security number of the assigned OIG auditor, or the name of the audit
requestor. The general assignment module contains records that are
retrieved by assignment number, and the name and Social Security
Number of the OIG employee performing the assignment.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. All records are maintained in secure, access-
controlled areas or buildings.
Retention and disposal:
Records are retained and disposed of in accordance with EPA
Records Control Schedules, Inspector General Records, approved by the
National Archives and Records Administration.
System manager(s) and address:
Assistant Inspector General for Mission Systems, Office of
Inspector General, Environmental Protection Agency, Ariel Rios
Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.
Notification procedure:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Records access procedure:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subject, OIG supervisors, other EPA employees.
EPA-43
System name:
Time Sharing Services Management System Registration Files.
System location:
National Computer Center, Environmental Protection Agency,
Research Triangle Park, NC 27711.
Categories of individuals covered by the system:
Employees, contractors, consultants, volunteers, and external
users who have access to EPA computers.
Categories of records in the system:
Name, address, telephone number, and user identification number.
Authority for maintenance of the system:
5 U.S.C. 301; 42 U.S.C. 4370e.
Purpose(s):
To regulate access to the EPA computer system, maintain computer
security, and to allocate costs to computer users.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
General routine uses A, D, E, F, G, H, I, and K apply to this
system. Records may also be disclosed:
1. To other federal agencies authorized to register external
users.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In a computerized database.
Retrievability:
By employee name, user identification name, and any other data
element.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Any paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are kept at least as long as the record subject is
affiliated with EPA and has used the computer within the last year.
System manager (s) and address:
Director, National Technology Services Division.
Notification procedure:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedure:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects, account managers, and ADP coordinators.
EPA-44
System name:
EPA Personnel Emergency Contact Files.
System location:
Each Headquarters Office, Region, or other EPA facility may
maintain emergency contact files. See the appendix for addresses of
regional and other offices.
Categories of individuals covered by the system:
EPA employees, contractors, and consultants, and emergency
response personnel from other government agencies who may need to be
contacted in case of an emergency.
Categories of records in the system:
Name, office location, scope of the record subject's
responsibilities, home telephone number, home address, email address,
pager number, cell phone number, and emergency contact person. Each
office may collect a different set of information.
Authority for maintenance of the system:
42 U.S.C. 5121 et seq.; Executive Order 12656 (Nov. 18, 1989).
Purpose(s):
To contact employees, contractors, consultants, and others in
case of an emergency or other event that may require their
assistance.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
General routine uses A, E, F, G, H, and K apply to this system.
Records may also be disclosed:
1. To Federal, State, local, foreign, tribal, or other public
authorities or to private companies or individuals involved with an
emergency (or related exercise) that may require EPA assistance.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
On paper or in a computerized database.
Retrievability:
By employee name and responsibility.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Records are kept as long as the record subject is affiliated with
EPA and has emergency responsibilities.
System manager(s) and address:
Manager, Emergency Operations Center, Environmental Protection
Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW.,
Washington, DC 20460. Emergency coordinators in regions and other
offices may also be responsible for records.
Notification procedure:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects.
EPA-45
System name:
Risk Management Plan Review Access List.
System location:
Chemical Emergency Preparedness and Prevention Office, Office of
Solid Waste and Emergency Response, Environmental Protection Agency,
Ariel Rios Building, 1200 Pennsylvania Avenue NW., Washington, DC
20460.
Categories of individuals covered by the system:
Federal, state, and local government officials, qualified
researchers, and others who are ``covered persons'' under 42 U.S.C.
7412(r) and permitted to have access to risk management plans.
Categories of records in the system:
Name, title, position, telephone number, fax number, email
address, user ID, and password.
Authority for maintenance of the system:
42 U.S.C. 7412(r).
Purpose(s):
To control access to risk management plans and to support
communications with authorized users.
Routine uses of records maintained in the System Including
categories of users and the purposes of such uses:
General routine uses A, B, E, F, G, H, and K apply to this
system. Records may also be disclosed:
1. To employers and to government agencies to verify the
credentials of users.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In a computerized database.
Retrievability:
By name, user identification name, and any other data element.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. All records are maintained in secure, access-
controlled areas or buildings.
Retention and disposal:
Records are kept at least as long as the record subject is
authorized to access risk management plans.
System manager(s) and address:
Director, Program Implementation and Coordination Division,
Chemical Emergency Preparedness and Prevention Office, Office of
Solid Waste and Emergency Response.
Notification procedure:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Record subjects and the offices that employ them.
EPA-46
System name:
OCEFT/NEIC Master Tracking System.
System location:
National Enforcement Investigations Center, Office of Criminal
Enforcement, Forensics & Training, Environmental Protection Agency,
P.O. Box 25227, Denver Federal Center, Denver, Colorado 80225.
Categories of individuals covered by the system:
Subjects of investigation about whom data has been collected by
criminal investigators of the Office of Criminal Enforcement,
Forensics and Training, Criminal Investigation Division, and
assembled in the form of investigative reports concerning violations
of federal environmental statutes and regulations; persons who
provide information and evidence that is used to substantiate
environmental criminal violations are also covered by this system of
records.
Categories of records in the system:
1. Computer Indexes: Computerized records systems for internal
tracking and management of NEIC environmental enforcement technical
support projects, and includes for each technical support project, a
description of the project, a schedule of project milestones, the
current project status, a listing of personnel working on the
project, and the environmental statutes at issue. Each project may be
named, for either a company or an individual, depending on the nature
of the violations being investigated or on the basis of the type of
support activity being provided by OCEFT/NEIC. These indexes also
contain enforcement data such as planned dates for search warrants or
facility inspections and types of sampling or analyses to be
conducted.
2. Project Files. Documentary information relating to an
enforcement matter to which OCEFT/NEIC is providing support,
including, but are not limited to, correspondence (case coordination
reports, memos of conversation, and other records of communication
relating to the matter); witness interviews (on-site statements of
interviews generated by either an NEIC investigator or another agency
or person); regulatory history (permits and reports generated as a
result of normal program activity); technical support (project
reports generated as a result of the investigation); inspection
notes; financial information; sampling and laboratory notes and other
related investigative information.
Authority for maintenance of the system:
Reorganization Plan No. 3 of 1970 (5 U.S.C. app. 1), effective
December 2, 1970; Powers of Environmental Protection Agency, 18
U.S.C.3063; Comprehensive Environmental Response Compensation and
Liability Act, 42 U.S.C. 9603; Resource Conservation and Recovery
Act, 42 U.S.C. 6928; Federal Water Pollution Control Act, 33 U.S.C.
1319, 1321; Toxic Substances Control Act, 15 U.S.C. 2614, 2615; Clean
Air Act, 42 U.S.C. 7413; Federal Insecticide, Fungicide and
Rodenticide Act, 7 U.S.C. 136j, 136l; Safe Drinking Water Act, 42
U.S.C. 300h-2, 300i-1; Emergency Planning and Community Right-To-Know
Act of 1986, 42 U.S.C. 11045; and the Marine Protection, Research,
and Sanctuaries Act of 1972, 33 U.S.C. 1415.
Purpose(s):
To provide support in investigations of persons or organizations
alleged to have violated any Federal environmental statute or
regulation or, pursuant to a cooperative agreement with a state,
local, or tribal authority, an environmental statute or regulation of
such authority.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
General Routine Uses A, C, D, E, F, G, H, and K apply to this
system.
Records may also be disclosed:
1. To a potential source of information to the extent necessary
to elicit information or to obtain cooperation of that source in
furtherance of an EPA criminal investigation.
2. To the Department of Justice for consultation about what
information and records are required to be publicly released under
federal law.
3. To a federal agency in response to a valid subpoena.
4. To Federal and state government agencies responsible for
administering suspension and debarment programs.
5. To international law enforcement organizations if the
information is relevant to a violation or potential violation of
civil or criminal law or regulation within the jurisdiction of the
organization or a law enforcement agency that is a member of the
organization.
6. To the news media and public unless it is determined that the
release of the specific information in the context of a particular
case would constitute an unwarranted invasion of privacy.
7. To any person if the EPA determines that compelling
circumstances affecting human health, the environment, or property
warrant disclosure.
8. In connection with criminal prosecutions or plea negotiations
to the extent that disclosure of the information is relevant and
necessary to the prosecution or negotiation and except where court
orders are otherwise required under section (b)(11) of the Privacy
Act of 1974, 5 U.S.C. 552a(b)(11).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Hard copy files and computer databases.
Retrievability:
Project Files are assigned a project file number and records are
maintained in numerical order. The computer index may use the project
title, the name of an individual, or the name of an organization to
retrieve data and records.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or buildings.
Retention and disposal:
Computerized data from the system is retained for a period of ten
years, then removed from the system and stored on hard disk. Project
files relating to criminal investigations are retained according to
EPA Records Schedules. Closed project files are retained no less than
two years and no more than five years in the office. Criminal project
files are destroyed by the Federal Records Center no less than five
years and no more than fifteen years after the closing date depending
on prosecution status. Project files relating to civil investigations
are retained according to media specific EPA Records Retention
schedules for civil investigations. Depending on the media, closed
files are retained no less than 1 year and no more than 3 years in
the office. Project files classified as disposable are retained by
the Federal Records Center no less than three years and no more than
eight years depending on the media. Project Files classified as
permanent records are transferred from the Federal Records Center to
the National Archives from 15-18 years after the closing date
depending on the media.
System manager(s) and address:
Director, National Enforcement Investigations Center, Office of
Criminal Enforcement, Forensics and Training, P.O. Box 25227, Denver
Federal Center, Denver, Colorado 80225.
Notification procedure:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
To the extent permitted under the Privacy Act of 1974, 5 U.S.C.
552a(j) or (k)(2), this system has been exempted from the provisions
of the Privacy Act of 1974 that permit access and correction.
Exemptions from access may be complete or partial, depending on the
particular exemption applicable. However, EPA may, in its discretion,
grant individual requests for access and correction if it determines
that the exercise of these rights will not interfere with an interest
that the exemption is intended to protect. Requesters will be
required to provide adequate identification, such as a driver's
license, employee identification card, or other identifying document.
Additional identification procedures may be required in some
instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
EPA employees and officials; employees of Federal contractors;
employees of other Federal agencies and of State, local, tribal, and
foreign agencies; witnesses; informants; public source materials, and
other persons who may have information relevant to OCEFT/NEIC
investigations.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(j)(2) this system is exempt from the
following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3) and (4);
(d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8);
(f)(2) through (5); and (g). Pursuant to 5 U.S.C. 552a(k)(2), this
system is exempt from the following provisions of the Privacy Act,
subject to the limitations set forth in that subsection: 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f)(2) through
(5).
EPA-47
System name:
OCEFT/NETI Training Registration and Administration Records.
System location:
National Enforcement Training Institute, Office of Criminal
Enforcement, Forensics, and Training, Office of Enforcement and
Compliance Assurance, Environmental Protection Agency, Ariel Rios
Federal Building, 1200 Pennsylvania Avenue, NW, Washington, D.C.
20460.
Categories of individuals covered by the system:
Federal, state, local, and tribal environmental enforcement
personnel who are enrolled in or have attended OCEFT/NETI
environmental enforcement related training.
Categories of records in the system:
Cost and/or budget related data, student registrations and
transcripts, course descriptions, course lists, course rosters,
course catalogs, and other related records. Registrations and
transcripts contain students' names, telephone numbers, e-mail
addresses, mailing addresses, fax numbers, titles, and work
affiliation.
Authority for maintenance of the system:
Pollution Prosecution Act of 1990, 42 U.S.C. 4321; Executive
Order 9397 (Nov. 22, 1943).
Purpose(s):
To manage environmental enforcement related training data.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
General Routine Uses A, D, E, F, G, H, and K apply to this
system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer database.
Retrievability:
Files are retrieved by individuals using a log-in name and
individually selected password.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. All records are maintained in secure, access-
controlled areas or buildings. The computer system also maintains a
user log that identifies and records persons who access and use the
system.
Retention and disposal:
Retained indefinitely.
System manager(s) and address:
Director, National Enforcement Training Institute, U.S.
Environmental Protection Agency, Ariel Rios Building, 1200
Pennsylvania Ave. NW, Washington, DC 20460.
Notification procedure:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances. In addition, any individual who wants to
know whether this system of records contains a record about him or
her, who wants access to his or her record, or who wants to contest
the contents of a record, may access the database using the ``find
self'' feature. If the record is found, the user can personally
update/correct the information contained in the record.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Individual enrollees.
EPA-48
System name:
Libby Asbestos Exposure Assessment Records
System location:
Libby Exposure Assessment Document Repository, Technical
Assistance Unit, Office of Ecosystem Protection and Remediation, U.S.
Environmental Protection Agency, 999 18th Street, Suite 500, Denver,
CO, 80202.
Categories of individuals covered by the system:
Individuals who volunteer for participation in the EPA-ATSDR
Libby Asbestos medical testing-exposure assessment.
Categories of records in the system:
Documents containing names, addresses, telephone numbers of
individual volunteers; individual volunteer's vital statistics,
medical histories and exposure history; results of laboratory tests
and x-rays of volunteers. In addition, medical and health information
pertaining to Zonolite Mine employees received from W.R. Grace
pursuant to requests made under section 104(e) of the Comprehensive
Environmental Response, Compensation and Liability Act (``CERCLA''),
42 U.S.C. 9604(e), will be included in this system of records.
Authority for maintenance of the system:
CERCLA, 42 U.S.C. 9604(e).
Purpose(s):
To support EPA's CERCLA emergency removal process at the Libby
Asbestos Site by assessing exposure pathways and exposure outcomes
due to amphibole asbestos, thus enabling EPA to provide long-term
protection of public health and welfare.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records will be used by and disclosed to: A, F, H, and K
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
In file folders and on computer databases. Computer database
backup media will be protected in accordance with this notice.
Retrievability:
By name, by address, by identifying code numbers, and social
security numbers.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. Paper records are maintained in lockable file
cabinets. All records are maintained in secure, access-controlled
areas or rooms.
Retention and disposal:
The records will be maintained during the pendency of EPA's
investigation and cleanup of the Libby Asbestos Site and for a period
in compliance with EPA's records retention requirements. Once these
periods have expired, the records will be disposed of in accordance
with the applicable records schedule.
System manager(s) and address:
Office of Ecosystem Protection and Remediation: Chief, Technical
Assistance Unit, Suite 500, 999 18th Street, Denver, CO 80202.
Notification procedure:
Individuals who want to know whether this system of records
contains a record about them, who want access to their record, or who
wants to contest the contents of the record, should make a written
request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
Exposure assessment subjects and individuals identified in W.R.
Grace documents.
EPA-49
System name:
Child Care Tuition Assistance Program Records.
Security classification:
None.
System location:
U.S. Environmental Protection Agency/Office of Human Resources
and Organizational Services/Employee Services Staff, MC: 3611,
Washington, DC 20460.
Categories of individuals covered by the system:
(1) Current employees of the Environmental Protection Agency who
voluntarily apply for a child care subsidy, their spouses, and
children who are enrolled in a licensed Federal and non-Federal
center, and licensed home-based care.
(2) Child-care providers of these employees.
Categories of records in the system:
The information collected will include the employee's name,
spouse's name, employee's title, grade, home and work telephone
numbers, home and work addresses, the organization in which the
employee works, the employee's social security number, the spouse's
social security number, the employee's tax returns, the spouse's tax
returns, the name and social security number of the child on whose
behalf the parent is applying for a subsidy, the child's date of
birth, the date of entry into the Child Care Subsidy Program, and the
amount of subsidy received; the name, address, telephone number,
employer identification number (EIN), license and accreditation
status of the child care center in which the employee's child(ren) is
(are) enrolled, and the dates of attendance.
Authority for maintenance of the system:
Pub. L. 107-67, sec. 630 and Executive Order 9397.
Purpose(s):
The primary use of the records maintained in this system is to
establish and verify Environmental Protection Agency employee's
eligibility for child care subsidies in order to provide monetary
assistance to them. Other uses of the records in the system include
verifying the eligibility of child care and verifying compliance with
regulations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
General routine uses applicable to more than one system includes:
A; E; F; H; J, as stated in the guidelines for preparing notice for a
system of records under the Privacy Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored both in file folders, and in electronic form,
in computer systems.
Retrievability:
Records are retrieved by the names, regional location and social
security numbers of employees applying for child care subsidies.
Safeguards:
Access to records in the system is limited to authorized
personnel whose official duties require such access. Paper records
are maintained in locked metal file cabinets and/or in secured rooms.
Electronic records are password-protected and maintained with
safeguards meeting the security requirements of 40 CFR 16.10--
Disclosure of record to person(s) other than the individual to whom
it pertains.
Retention and disposal:
Records are retained and disposed of in accordance with National
Archives and Records Administration guidelines.
System manager(s) and address:
National Program Manager/Office of Human Resources and
Organizational Services, U.S. Environmental Protection Agency,
MC:3611, Washington, DC 20460.
Notification procedure:
Inquiries regarding the existence of records contained in the
system should be addressed to the System Manager. The request must be
in writing, signed by the requester, include the requester's full
name and social security number, and must meet the content
requirements of 40 CFR 16.3--Procedures for requests pertaining to
individual records in a record system.
Record access procedures:
A request for access to records contained in the system should be
addressed to the System Manager. The request must be in writing,
signed by the requester, include the requester's full name and social
security number, and meet the content requirements of 40 CFR 16.3--
Procedures for requests pertaining to individual records in a record
system.
Contesting records procedures:
A petition for amendment for records contained in the system
should be addressed to the System Manager. The request must be in
writing, signed by the requester, include the requester's full name
and Social Security Number, and meet the content requirements of 40
CFR 16.7--Request for correction or amendment of record.
Record source categories:
Applications for child care subsidies and supporting records,
which are voluntarily submitted by EPA employees applying for child
care subsidies.
System exempted From certain provisions of the act:
None.
EPA-50
System name:
OIG AutoAudit--EPA/OIG.
Security classification:
None.
System location:
National Technology Service Division, Office of Technology
Operations and Planning, U.S. Environmental Protection Agency; 79
Alexander Drive; Building 4201, MD-34; Research Triangle Park, North
Carolina 27711.
Categories of individuals covered by the system:
Individuals covered by the system include the assigned OIG
auditor or evaluator, the audit or evaluation requestor, or the
interviewee. (If Federal employees, this information will include
their name, title, EPA office, EPA organization mail code, General
Schedule occupation series and grade, geographic location, and type
of employee (e.g., EPA employee or EPA OIG employee).)
Categories of records in the system:
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
EPA programs and participants in those programs, information
requests, responses to such requests, reports of findings, etc.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended, 5 U.S.C. app. 3.
Purpose(s):
The records contained in the systems are used by the OIG in
furtherance of the responsibilities of the Inspector General under
the Inspector General Act of 1978, as amended, to conduct and
supervise audits and other reviews relating to programs and
operations of the EPA; to promote economy, efficiency, and
effectiveness in the administration of such programs and operations;
and to prevent and detect fraud and abuse in such programs and
operations. The records, especially work papers, are used to generate
audit and other reports. The system will automate the work papers
including organization, retrieval, and indexing.
Routine Uses of Records Maintained in the system, including
categories of users and the purposes of such uses: EPA's general
routine uses A through K apply to this system. See 66 FR 49947-49948
for a list of EPA's general routine uses. In addition, EPA OIG's 13
specific routine uses for its Inspector General's Operating and
Reporting System Investigative Files apply to this system. See 66 FR
49948-49949.
Policies and practices for storing, retrieving accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored electronically in office automation equipment
and manually in file jackets.
Retrievability:
Records primarily will be retrieved by assignment number. Records
may also be retrieved by audit report number; name of the assigned
OIG auditor or evaluator; or the name of the audit or evaluation
requestor, interviewee, or subject matter of the audit.
Safeguards:
Computer records are maintained in a secure, password protected
computer system. All records are maintained in secure areas or
buildings with physical access and environmental controls. Direct
access to the electronic database is limited to authorized employees
of the OIG.
Retention and disposal:
Records are retained and disposed of in accordance with EPA
Records Control Schedule 700, Inspector General Records, approved by
the National Archives and Records Administration.
System manager(s) and address:
Assistant Inspector General for Audits, Office of Inspector
General (2421), Environmental Protection Agency, 1200 Pennsylvania
Avenue, NW., Washington, DC 20460.
Notification procedures:
The System Manager will accept inquiries from individuals seeking
notification of whether the system contains records pertaining to
them.
Record access procedures:
Requests for access should be made in writing to the System
Manager in accordance with EPA's regulations at 40 CFR part 16.
Requesters will be required to provide adequate identification, such
as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances.
Contesting record procedures:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.
Record source categories:
The OIG collects information from a wide variety of sources,
including from EPA, other Federal agencies, the General Accounting
Office (GAO), law enforcement agencies, program participants, subject
individuals, complainants, witnesses and other non-governmental
sources.
System exempt From certain provisions of the act:
None.
EPA/CDX-CRS
System name:
EPA Central Data Exchange--Customer Registration Subsystem (CDX-
CRS)
Security classification:
None.
System location:
The system will be operated and maintained by EPA or
organizations under contract with the EPA (henceforth referred to as
``EPA'') at their place of business. The system is currently
maintained at Logistics Management Institute, 2000 Corporate Ridge
Drive, McLean, VA 22102-7805.
Categories of individuals covered by the system:
This system contains records on all individuals that have either
attempted to register or have registered to obtain an account to use
CDX for electronically exchanging data with EPA. Registered users of
EPA's CDX-CRS may include representatives of industry, government or
laboratories exchanging information with EPA through CDX.
Categories of records in the system:
This system contains records including individual's name, self-
assigned user name and security question, work title, work address
and related work contact information (e.g., phone and fax numbers, E-
mail address), supervisor's name and related contact information, and
information related to the EPA reporting program the individual is
planning to electronically file or report under (e.g., EPA program ID
and EPA program role) and the method of reporting (web browser,
file exchange). The individual registering for CDX will also generate
a self-assigned password that will be stored on the CDX-CRS, but it
will only be accessible to the registering individual. The system
will also store other system-generated data such as the registration
date and time, digital certificate identifier, and other identifiers
for internal tracking. Upon assignment of the password and ID code,
the user may subsequently access the CDX system by entering these
data and CDX will use this information to authenticate the
individual's access to CDX.
Authority for maintenance of system:
In accordance with the Government Paperwork Elimination Act (44
U.S.C. 3504), EPA's electronic compliance filing and environmental
data exchange system will enable the ``acquisition and use of
information technology, including alternative information
technologies that provide for electronic submission, maintenance, or
disclosure of information as a substitute for paper and for the use
and acceptance of electronic signatures.'' Section 3504(a)(1)(B)(vi)
of Title 44, United States Code.
Purpose(s):
Central Data Exchange is EPA's portal for electronically
exchanging environmental data with our external customers. Individual
external users with CDX accounts may engage in secure, electronic
filing of environmental documents as permitted under the Government
Paperwork Elimination Act (GPEA), and as required under appropriate
environmental statutes. CDX-CRS was developed to protect the EPA and
CDX system users from individuals seeking to gain unauthorized access
to user accounts on CDX.
The information contained in records maintained in the CDX-CRS
system is used for the purposes of verifying the identity of the
individual, informing users of the conditions and terms of using CDX,
allowing individual users to establish an account on CDX, providing
individual users access to their CDX account for electronically
filing compliance data or exchanging other forms of environmental
data, allowing individual users to customize, update or terminate
their account with CDX, renewing or revoking an individual user's
account on CDX, supporting the CDX help desk functions, investigating
possible fraud and verifying compliance with program regulations, and
initiating legal action against an individual involved in program
fraud, abuse, or noncompliance.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
CDX-CRS records will be used to facilitate registering CDX system
users, issuing a username and password, and subsequently, verifying
an individual's identity as he/she seeks to gain routine access to
his/her account. In some cases the user verification process will
require EPA to contact the employer, based on the registration
information provided by the user. The system has secondary uses that
include: using the established username to facilitate tracking
service calls or e-mails from the user in the event that there is a
change in registration status or a problem the user has with CDX,
offering the user new CDX service options, and facilitating the
retrieval of user actions (e.g., historical submissions and help
tickets) and events while on the CDX system. The records may also be
subsequently used for auditing or other internal purposes of the EPA,
including but not limited to: instances where enforcement of the
conditions of using CDX are necessary; investigation of possible
fraud involving a registered user; litigation purposes related to
information reported to the agency; contacting the individual in the
event of a system modification; a change to CDX; or modification,
revocation or termination of user's access privileges to CDX.
EPA may disclose information contained in a record in this system
of records under the routine uses listed in this notice without the
consent of the individual if the disclosure is compatible with the
purposes for which the record was collected. These disclosures may be
made on a case-by-case basis or under a computer matching agreement
if the Agency has complied with the computer matching requirements of
the Act.
The general routine uses for EPA's CDX are listed as follows:
Disclosure for Law Enforcement Purposes, Disclosure Incident to
Requesting Information, Disclosure to a Requesting Agency, Disclosure
to Congressional Offices, Disclosure to Department of Justice,
Disclosure to the National Archives, Disclosure to Contractors,
Grantees, and Others, Disclosure for Administrative Claims,
Complaints, and Appeals, and Disclosure in Connection With
Litigation.
A detailed description of these routine uses can be found in the
Federal Register, Privacy Act of 1974: System of Records, Creation of
Eleven New Privacy Act System of Records Notice (at 66 FR 49947
(2001)) and also on the National Archives and Records Administration
website, Privacy Act Issuances--2003 Compilation at:http://
www.access.gpo.gov/su--docs/aces/PrivacyAct.shtml?desc015.html.
In addition, the following routine uses may also apply:
Program Disclosures:
The Agency may disclose information from this system to Federal,
State, or local agencies, private parties such as relatives, present
and former employers and business and personal associates, and
hearing officials for the following purposes:
(a) To verify the identity of the individual;
(b) To enforce the conditions or terms of Agency program
regulations;
(c) To investigate possible fraud and verify compliance with
Agency program regulations;
(d) To prepare for litigation or to litigate collection service
and audit;
(e) To initiate a limitation, suspension and termination (LS&T),
debarment, or suspension action;
(f) To investigate complaints, update files, and correct errors.
95Litigation and Alternative Dispute Resolution (ADR)
Disclosures:
(a) In the event that one of the parties listed below is involved
in litigation or ADR, or has an interest in litigation ADR, the
Agency may disclose certain records to the parties described in
paragraphs (b), (c), and (d) of this routine use under the conditions
specified in those paragraphs:
(i) The Environmental Protection Agency, or any component of the
Agency; or
(ii) Any Agency employee in his or her official capacity; or
(iii) Any Agency employee in his or her individual capacity if
the Department of Justice (DOJ) has agreed to provide or arrange for
representation for the employee;
(iv) Any Agency employee in his or her individual capacity where
the agency has agreed to represent the employee; or
(v) The United States where the Agency determines that the
litigation is likely to affect the Agency or any of its components.
(b) Disclosure to the DOJ. If the Agency determines that
disclosure of certain records to the DOJ is relevant and necessary to
litigation or ADR, the Agency may disclose those records as a routine
use to the DOJ.
(c) Administrative Disclosures. Agencies that may obtain
information under this routine use include, but are not limited to,
the Office of Personnel Management, Office of Special Counsel, Merit
Systems Protection Board, Federal Labor Relations Authority, Equal
Employment Opportunity Commission, and Office of Government Ethics.
(d) Parties, counsels, representatives and witnesses. If the
Agency determines that disclosure of certain records to a party,
counsel, representative or witness in an administrative proceeding is
relevant and necessary to the litigation, the Agency may disclose
those records as a routine use to the party, counsel, representative
or witness.
Research Disclosure: The Agency may disclose records to a
researcher if an appropriate official of the Agency determines that
the individual or organization to which the disclosure would be made
is qualified to carry out specific research related to functions or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The CDX is a new system for which the Agency is in the process of
establishing a records schedule. The CDX will be taking e-
transactions and preserving them in accordance with applicable EPA
and other Federal policy and regulations. The CDX currently stores
records on magnetic and/or digital formats. All record storage
procedures are in accordance with current applicable regulations.
Retrievability:
Records are retrievable by the CDX user name, program ID number,
or all or part of the individual's name.
Safeguards:
EPA has minimized the risk of unauthorized access to the system
by establishing a secure environment for exchanging electronic
information. Physical access to the data system housed within the
facility is controlled by a computerized badge reading system, and
the entire complex is patrolled by security during non-business
hours. The computer system offers a high degree of resistance to
tampering and circumvention. Multiple levels of security are
maintained with the computer system control program. This system
limits data access to EPA and contract staff on a need to know basis,
and controls individuals ability to access and alter records with the
system. All users of the system of records are given a unique user
identification (ID) with personal identifiers. All interactions
between the system and the authorized individual users are recorded.
Retention and disposal:
The EPA will retain and dispose of these records in accordance
with National Archives and Records Administration General Records
Schedule 20, Item 1.c. This schedule provides disposal authorization
for electronic files and hard copy printouts created to monitor
system usage, including but not limited to log-in files, audit trail
files, system usage files, and cost-back files used to access charges
for system use. Records will be deleted or destroyed when the Agency
determines they are no longer needed for administrative, legal,
audit, or other program purposes.
System manager(s) and address:
USEPA, Office of Environmental Information, (MS2823), 1200
Pennsylvania Ave. NW., Washington, DC 20460, Attn: Chief, Central
Receiving Branch.
Notification procedure:
Requests to determine whether this system of records contains a
record pertaining to the requesting individual should be sent to the
USEPA, Office of Environmental Information, (MS2823), 1200
Pennsylvania Ave. NW., Washington, DC 20460, Attn: Chief, Central
Receiving Branch. To send a fax request: 202-401-0182. To determine
whether a record exists regarding you in the system of records,
provide the system manager with your name and username. Requests must
meet the requirements of the regulations at 40 CFR part 16.
Record access procedures:
A request for record access shall follow the directions described
under Notification Procedure and will be addressed to the system
manager at the address listed above.
Contesting record procedures:
If you wish to contest a record in the system of records, contact
the system manager with the information described under Notification
Procedure, identify the specific items you are contesting, and
provide a written justification for each item.
Record source categories:
Information is obtained from individuals who have had or seek to
have their identity authenticated except that a password and a
username are explicitly self-assigned by the user registering to gain
access to CDX.
System exempted from certain provisions of the act:
None.
EPA/GOVT-1
System name:
Emissions Inspection and Maintenance Records for Federal
Employees Parking at Federal Parking Facilities.
System location:
Personnel or facilities management offices of any federal agency
offering federal employees parking in facilities controlled by the
federal agency.
Categories of individuals covered by the system:
Federal employees routinely permitted to park in facilities
controlled by the federal government
Categories of records in the system:
Name of employee, other personal and location identification at
the option of the agency, type of car, license plate or registration
number, and demonstration or certification of compliance with state
or local emission inspection and maintenance program
Authority for maintenance of the system:
Section 118(d) of the Clean Air Act Amendment of 1990, 42 U.S.C.
7418.
Purpose(s):
To demonstrate that federal employees parking in federally
controlled facilities comply with local emission control
requirements.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
General routine uses A, B, C, E, F, G, H, I, and K apply to this
system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records may be maintained in hard copy files or computer
databases.
Retrievability:
By name, license plate, or other identifying characteristic.
Safeguards:
Safeguards will vary by agency, but records will be maintained
with the same level of security as other personnel or facilities
management records.
Retention and disposal:
Only records from the current vehicle registration cycle are
retained. Records are disposed of when out of date or when an
employee is no longer parking in a federal facility.
System manager(s) and address:
The Director of Personnel or of Facilities Management of the
agency.
Notification procedure:
Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make
a written request to the System Manager.
Record access procedures:
Requesters will be required to provide adequate identification,
such as a driver's license, employee identification card, or other
identifying document. Additional identification procedures may be
required in some instances in accordance with each agency's Privacy
Act regulations.
Contesting record procedure:
Requests for correction or amendment must identify the record to
be changed and the corrective action sought.
Record source categories:
Record subjects.
Appendices to Systems of Records Notices:
1. List Of Addresses For EPA Regional And Other Offices
Region I: One Congress Street, Suite 1100 Boston, MA 02203.
Region II: 290 Broadway, New York, NY 10007.
Region III: 1650 Arch Street, Philadelphia, PA 19103.
Region IV: 61 Forsyth Street, SW., Atlanta, GA 30303.
Region V: 77 West Jackson Boulevard, Chicago, IL 60604.
Region VI: 1445 Ross Avenue, Suite 1200, Dallas, Texas 75202.
Region VII: 726 Minnesota Avenue, Kansas City, KS 66101.
Region VIII: 999 18th Street, Suite 500, Denver, CO 80202.
Region IX: 75 Hawthorne Street, San Francisco, CA 94105.
Region X: 1200 Sixth Avenue, Seattle, WA 98101.
Other EPA offices:
New England Regional Laboratory, 60 Westview Street, Lexington,
MA 02173.
Atlantic Ecology Division, 27 Tarzwell Drive, Narragansett, RI
02882.
Criminal Investigation Division, New Haven Resident Office,
Robert Giamo Federal Building, 150 Court Street, Room 433, New
Haven, CT 06507.
Environmental Services Division, 2890 Woodbridge Avenue, Building
10, Edison NJ 08837.
New Hampshire Resident Office, Hampshire Plaza, 1000 Elm Street,
PO Box 1507, Manchester, NH 03105.
Communications Division, Niagara Falls Public Information Center,
345 Third Street, Suite 530, Niagara Falls, NY 14303.
Division of Environmental Planning and Protection, Long Island
Sound Office, Stamford Government Center, 888 Washington
Boulevard, Stamford, CT 06904
Caribbean Environmental Protection Division, Centro Europa
Building, 1492 Ponce De Leon Avenue, Santruce, PR 00907.
Caribbean Environmental Protection Division, Virgin Islands
Coordinator Office, Federal Office Building & Courthouse, St.
Thomas, VI 00802.
Criminal Investigation Division, Edison Resident Office, 2890
Woodbridge Avenue, Edison, NJ 08837.
Criminal Investigation Division, Buffalo Resident Office, 138
Delaware Avenue, Buffalo, NY 14202.
Criminal Investigation Division, Syracuse Resident Office, Hanley
Federal Building, 100 S. Clinton Street, 9th Floor, Syracuse, NY
13261.
Environmental Response Team Center, 2890 Woodbridge Avenue,
Edison, NJ 08837.
Urban Watershed Management Branch, 2890 Woodbridge Avenue,
Edison, NJ 08837.
Trenton Resident Office, US Courthouse Annex, Room 3050, 402 East
State Street, Trenton, NJ 08608.
Office of Analytical Services and Quality Assurance Laboratory,
701 Mapes Road, Fort Meade, MD 20755.
Wheeling Office, 303 Methodist Building, 11th and Chapline
Streets, Wheeling, WV 26003.
Quality Assurance Office, 701 Mapes Road, Fort Meade, MD 20755.
Chesapeake Bay Program, Annapolis City Marina, 701 Mapes Road,
Fort Meade, MD 20755.
Annapolis Operations, 2530 Riva Road, Annapolis, MD 21401.
Analytical Chemistry Laboratory, Building 701 Mapes Road, Fort
Meade, MD 20755.
Washington Area Office, 1100 Wilson Boulevard, Arlington, VA
22209.
Environmental Photographic Interpretation Center, 12201 Sunrise
Valley Drive, 555 National Center, Reston, VA 20192.
Criminal Investigation Division, Wheeling Resident Office,
Methodist Building, 1060 Chapline Street, Wheeling, WV 26003.
Criminal Investigation Division, Annapolis Resident Office, 701
Mapes Road, Fort Meade, MD 20755.
Science and Ecostytems Support Division, 980 College Station
Road, Athens, GA 30605.
South Florida Office, 400 North Congress Avenue, West Palm Beach,
FL 33401.
Gulf of Mexico Program Office, Building 1103, Stennis Space
Center, MS 39529.
Environmental Chemistry Laboratory, Building 1105, Stennis Space
Center, MS 39529.
Criminal Investigation Division, Jackson Resident Office, 245
East Capitol Street, Suite 534, Jackson, MS 39201.
National Air and Radiation Environmental Laboratory, 540 South
Morris Avenue, Montgomery, AL 36115.
Criminal Investigation Division, Charleston Resident Office, 170
Meeting Street, Suite 300, Charleston, SC 29402.
National Exposure Research Laboratory, MD-75, Research Triangle
Park, NC 27711.
Air Pollution Prevention and Control Division, Research Triangle
Park, NC 27711.
Office of Air Quality Planning and Standards, 411 West Chapel
Hill Street, Durham, NC 27701.
Environmental Research Laboratory, 960 College Station Road,
Athens, GA. 30605.
Human Studies Division, Clinical Research Branch, Health Effects
Research Laboratory, Mason Farm Road, Chapel Hill, NC 27599.
Criminal Investigation Division, Charlotte Resident Office, 227
West Trade Street, Carillon Building, Charlotte, NC 28202.
National Health and Environmental Effects Research Laboratory,
Gulf Ecology Division, 1 Sabine Island Drive, Gulf Breeze, FL
32561.
National Center for Environmental Assessment, 3200 Highway 54,
Research Triangle Park, NC 27711.
National Health and Environmental Effects Research Laboratory,
Research Triangle Park, NC 27711.
Office of Administration and Resources Management, 79TW Alexander
Drive, Research Triangle Park, NC 27711.
Office of Inspector General, Washington Field Division, RTP Sub
Office, Catawba Building, Research Triangle Park, NC 27711.
Area Office of Civil Rights, Building 4201, 79 Alexander Drive,
Research Triangle Park, NC 27711.
Criminal Investigation Division, Miami Resident Office, Brickell
Plaza Federal Building, 909 SE First Street, Suite 700, Miami, FL
33121.
Criminal Investigation Division, Nashville Resident Office,
Cordell Hull Building, 2nd Floor, 425 5th Avenue, North,
Nashville, TN 37243.
Criminal Investigation Division, Knoxville Resident Office, 800
Market Street, Suite 211, Knoxville, TN 37902.
Criminal Investigation Division, Louisville Resident Office, 600
Martin Luther King, Jr. Place, Louisville, KY 40202.
RTP Financial Management Center, 79 TW Alexander Drive,
Administration Building, Research Triangle Park, NC 27711.
Criminal Investigation Division, Tampa Resident Office, 400 North
Tampa Street, Rm. 3123, Tampa, FL 33602.
Criminal Investigation Division, Jacksonville Resident Office,
325 W. Adams Street, Suite 303, Jacksonville, FL 32202.
Eastern District Office, 25089 Central Ridge Road, Westlake, OH
44145.
National Exposure Research Laboratory, Microbiological and
Chemical Exposure Assessment Research Division, 26 West Martin
Luther King Drive, Cincinnati, OH 45268.
Center for Environmental Research Information, 26 West Martin
Luther King Drive, Cincinnati, OH 45268.
National Center for Environmental Assessment Office, 26 West
Martin Luther King Drive, Cincinnati, OH 45268.
Emergency Response Section One, 9311 Groh Road, Gross Ile, MI
48138.
Environmental Research Center, 26 West Martin Luther King Drive,
Cincinnati, OH 45268.
National Risk Management Research Laboratory, 26 West Martin
Luther King Drive, Cincinnati, OH 45268.
ORD Publications Office, Center for Environmental Research
Information, 26 West Martin Luther King Drive, Cincinnati, OH
45268.
Cleveland Area Office, Islander Office Park, Building One, 7550
Lucerne Drive, Suite 305, Middleburg Heights, OH 44130.
National Vehicle and Fuel Emissions Laboratory, 2565 Plymouth
Road, Ann Arbor, MI 48105.
Mid Continent Ecology Division, 6201 Congdon Boulevard, Duluth,
MN 55804.
Area Office of Civil Rights, 26 West Martin Luther King Drive,
Cincinnati, OH 45268.
Office of Senior Official for Research and Development, 26 West
Martin Luther King Drive, Cincinnati, OH 45268.
Research Triangle Park Financial Management Center, 79 TW
Alexander Drive, Research Triangle Park, NC 22771.
Criminal Investigation Division, Detroit Resident Office, 9311
Groh Road, Gross Ile, MI 48138.
Criminal Investigation Division, Indianapolis Resident Office, US
Courthouse, 46 East Ohio Street, Indianapolis, IN 46204.
Great Lakes Research Station, 9311 Groh Road, Gross Ile, MI
48138.
National Environmental Supercomputing Center, 135 Washington
Avenue, Bay City, MI 48708.
Cincinnati Financial Management Center, Cincinnati, OH 45268.
Criminal Investigation Division, Minneapolis Resident Office, 300
South 4th Street, Minneapolis, MN 55415.
Criminal Investigation Division, Chicago Area Office, 300 S.
Riverside, Chicago, IL 60606.
USEPA Region 6 Laboratory, Houston Branch, 10625 Fallstone Road,
Houston, TX 77099.
U.S. Mexico Border Program Office, 4050 Rio Bravo, El Paso, TX
79902.
USEPA Underground Injection Control, Pawhuska Section, PO Box
1495, Pawhuska, OK 74056.
Brownsville Border Office, 3505 Boca Chica, Brownsville, TX
78251.
National Risk Management Research Laboratory, Subsurface
Protection and Remediation Division, Robert S. Kerr Environmental
Research Center, PO Box 1198, Ada, OK 74821.
Criminal Investigation Division, Houston Area Office, 1919 Smith
Street, Suite 925, Houston, TX 77002.
Criminal Investigation Division, Albuquerque Resident Office,
3305 Calle Cuervo, NW, 325, Albuquerque, NM 87114.
Criminal Investigation Division, Baton Rouge Resident Office, 750
Florida Street, Baton Rouge, LA 70801.
Environmental Services Division, 25 Funston Road, Kansas City, KS
66115.
Criminal Investigation Division St. Louis Area Office, 1222
Spruce, St. Louis, MO 63103.
Criminal Investigation Division, Kansas City Resident Office, US
Courthouse, 500 State Avenue, Kansas City, KS 66101.
Montana Operations Office, Federal Building, 301 South Park,
Helena, MT 59286.
National Enforcement Investigations Center, Building 53, Denver,
CO 80225.
Office of Enforcement Compliance and Assurance, Mobile Source
Enforcement, Western Field Office, 12345 West Alameda Parkway,
Lakewood, CO 80228.
Center for Strategic Environmental Enforcement, 12345 West
Alameda Parkway, Lakewood, CO 80228.
USEPA Region 8, Denver Federal Center, Laboratory Services
Program, Building 53, Denver, CO 80225.
National Enforcement Training Institute West, 12345 West Alameda
Parkway, Lakewood, CO 80228.
Criminal Investigation Division, Helena Resident Office, 301
South Park, Helena, MT 59626.
Criminal Investigation Division, Salt Lake City Resident Office,
Wallace F. Bennett Federal Building, 125 South State Street, Salt
Lake City, UT 84138.
Pacific Island Contact Office, P.O. Box 50003, 300 Ala Moana
Boulevard, Honolulu, HI 96850.
Honolulu Resident Office, 449 South Ave., Bldg. 221, 2nd Floor,
Pearl Harbor, HI 96860.
San Diego Border Office, 610 West Ash Street, San Diego, CA
92101.
USEPA Region 9 Laboratory, 1337 South 46th Street, Richmond, CA
94804.
Los Angeles Area Office, 600 South Lake Ave., Suite 202,
Pasadena, CA 91106.
Area Office of Civil Rights, P.O. Box 93478, Las Vegas, NV 89193.
Human Resources Office at Las Vegas, P.O. Box 98516, Las Vegas,
NV 89193.
Criminal Investigation Division, Sacramento Resident Office, 501
Eye Street, Suite 9-800, Sacramento, CA 95814.
Office of Inspector General for Audits, Western Division,
Sacramento Field Audit Office, 801 I Street, Sacramento, CA
95814.
Criminal Investigation Division, San Diego Resident Office, 610
West Ash Street, San Diego, CA 92101.
Environmental Sciences Division, National Exposure Research
Laboratory, P.O. Box 93478, Las Vegas, NV 89193.
Las Vegas Financial Management Center, P.O. Box 98515, Las Vegas,
NV 89193.
Criminal Investigation Division, 600 South Lake Avenue, Pasadena,
CA 91106.
Radiation and Indoor Environments National Laboratory, P.O. Box
98517, Las Vegas, NV 89193.
Criminal Investigation Division, 522 North Central Avenue,
Phoenix, AZ 85004.
Alaska Operations Office, Federal Building, 222 West 7th Avenue,
Anchorage, AK 99513.
Alaska Operations Office, 410 Willoughby Avenue, Juneau, AK
99801.
Oregon Operations Office, 811 S.W. Sixth Avenue, Portland, OR
97204.
Hanford Project Office, 712 Swift Boulevard, Richland, WA 99352.
Idaho Operations Office, 1435 North Orchard Street, Boise, ID
83706.
Boise Resident Office, 877 West Main St., Suite 201, Boise, ID
83702.
Manchester Laboratory, 7411 Beach Drive East, Port Orchard, WA
98366.
Washington Operations Office, 300 Desmond Drive SE, Lacey, WA
98503.
National Health and Environmental Effects Research Laboratory,
Western Ecology Division, 200 S.W. 35th Street, Corvallis, OR
97333.
National Health and Environmental Effects Research Laboratory,
Western Ecology Division, Hatfield Marine Science Drive, 211 SE
Marine Science Drive, Newport, OR 98365.
Criminal Investigation Division, Portland Resident Office, 1001
South West 5th Avenue, Portland, OR 97204.
Criminal Investigation Division, Anchorage Resident Office, 222
West 7th Avenue, Anchorage, AK 99513.
ENVIRONMENTAL PROTECTION AGENCY
Title 40-Protection of Environmental
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY
PART 16--IMPLEMENTATION OF PRIVACY ACT OF 1974
Sec.
16.1 Purpose and scope.
16.2 Definitions.
16.3 Procedures for requests pertaining to individual records in a
record system.
16.4 Times, places, and requirements for identification of individuals
making requests.
16.5 Disclosure of requested information to individuals.
16.6 Special procedures: Medical records.
16.7 Request for correction or amendment of record.
16.8 Initial determination on request for correction or amendment of
record.
16.9 Appeal of initial adverse agency determination on request for
correction or amendment.
16.10 Disclosure of record to person other than the individual to whom
it pertains.
16.11 Fees.
16.12 Penalties.
16.13 General exemptions.
16.14 Specific exemptions.
Authority: 5 U.S.C. 552a.
Source: 40 FR 53582, Nov. 19, 1975, unless otherwise noted.
Sec. 16.1 Purpose and scope.
(a) This part sets forth the Environmental Protection Agency
procedures under the Privacy Act of 1974 as required by 5 U.S.C.
552a(f).
(b) These procedures describe how an individual may request
notification of whether EPA maintains a record pertaining to him or her
in any of its systems of records, request access to the record or to an
accounting of its disclosure, request that the record be amended or
corrected, and appeal an initial adverse determination concerning any
such request.
(c) These procedures apply only to requests by individuals and only to
records maintained by EPA, excluding those systems specifically exempt
under Sec. Sec. 16.13 and 16.14 and those determined as government-wide
and published by the Civil Service Commission in 5 CFR parts 293 and
297.
Sec. 16.2 Definitions.
As used in this part:
(a) The terms ``individual,'' ``maintain,'' ``record,'' ``system of
records,'' and ``routine use'' shall have the meaning given them by 5
U.S.C. 552a (a)(2), (a)(3), (a)(4), (a)(5) and (a)(7), respectively.
(b) ``EPA'' means the Environmental Protection Agency.
(c) ``Working days'' means calendar days excluding Saturdays, Sundays,
and legal public holidays.
Sec. 16.3 Procedures for requests pertaining to individual records
in a record system.
Any individual who wishes to have EPA inform him or her whether a
system of records maintained by EPA contains any record pertaining to
him or her which is retrieved by name or personal identifier, or who
wishes to request access to any such record, shall submit a written
request in accordance with the instructions set forth in EPA's annual
notice of systems for that system of records. This request shall
include:
(a) The name of the individual making the request;
(b) The name of the system of records (as set forth in the EPA notice
of systems) to which the request relates;
(c) Any other information which the system notice indicates should be
included; and
(d) If the request is for access, a statement as to whether a personal
inspection or a copy by mail is desired.
Sec. 16.4 Times, places, and requirements for identification of
individuals making requests.
(a) If an individual submitting a request for access under Sec. 16.3
has asked that EPA authorize a personal inspection of records, and EPA
has granted the request, he or she may present himself or herself at the
time and place specified in EPA's response or arrange another time with
the appropriate agency official.
(b) Prior to inspection of records, an individual shall present
sufficient identification (e.g., driver's license, employee
identification card, social security card, credit card) to establish
that he or she is the individual to whom the records pertain. An
individual who is unable to provide such identification shall complete
and sign, in the presence of an agency official, a statement declaring
his or her identity and stipulating that he or she understands it is a
misdemeanor punishable by fine up to $5,000 to knowingly and willfully
seek or obtain access to records about another individual under false
pretenses.
(c) If an individual, having requested personal inspection of his or
her records, wishes to have another person accompany him or her during
inspection, he or she shall submit a written statement authorizing
disclosure in the presence of the other person(s).
(d) An individual who has made a personal inspection of records may
then request copies of those records. Such requests may be granted, but
fees may be charged in accordance with Sec. 16.11.
(e) If an individual submitting a request under Sec. 16.3 wishes to
have copies furnished by mail, he or she must include with the request
sufficient data to allow EPA to verify his or her identity. Should
sensitivity of the records warrant it, EPA may require a requester to
submit a signed and notarized statement indicating that he or she is the
individual to whom the records pertain and that he or she understands it
is a misdemeanor punishable by fine up to $5,000 to knowingly and
willfully seek or obtain access to records about another individual
under false pretenses. Such mail requests may be granted, but fees may
be charged in accordance with Sec. 16.11.
(f) No verification of identity will be required where the records
sought are publicly available under the Freedom of Information Act, as
EPA procedures under 40 CFR Part 2 will then apply.
Sec. 16.5 Disclosure of requested information to individuals.
(a) Each request received will be acted upon promptly.
(b) Within 10 working days of receipt of a request, the system manager
shall acknowledge the request. Whenever practicable, the acknowledgment
will indicate whether or not access will be granted and, if so, when and
where. When access is to be granted, it shall be provided within 30
working days of first receipt. If the agency is unable to meet this
deadline, the records system manager shall so inform the requester
stating reasons for the delay and an estimate of when access will be
granted.
(c) If a request pursuant to Sec. 16.3 for access to a record is in a
system of records which is exempted, the records system manager will
determine whether the information will nonetheless be made available. If
the determination is to deny access, the reason for denial and the
appeal procedure will be given to the requester.
(d) Any person whose request is initially denied may appeal that
denial to the Privacy Act Officer, who shall make an appeal
determination within 10 working days.
(e) If the appeal under paragraph (d) of this section is denied, the
requester may bring a civil action under 5 U.S.C. 552a(g) to seek review
of the denial.
Sec. 16.6 Special procedures: Medical records.
Should EPA receive a request for access to medical records (including
psychological records) disclosure of which the system manager determines
would be harmful to the individual to whom they relate, EPA may refuse
to disclose the records directly to the individual and instead offer to
transmit them to a physician designated by the individual.
Sec. 16.7 Request for correction or amendment of record.
(a) An individual may request correction or amendment of any record
pertaining to him or her in a system of records maintained by EPA by
submitting to the system manager, in writing, the following:
(1) The name of the individual making the request;
(2) The name of the system, as described in the notice of systems;
(3) A description of the nature and substance of the correction or
amendment request; and
(4) Any additional information specified in the system notice.
(b) Any person submitting a request under this section shall include
sufficient information in support of that request to allow EPA to apply
the standards set forth in 5 U.S.C. 552a (e)(1) and (e)(5).
(c) Any person whose request is denied may appeal that denial to the
Privacy Act Officer.
(d) In the event that appeal is denied, the requester may bring a
civil action to seek review of the denial, under 5 U.S.C. 552a(g).
Sec. 16.8 Initial determination on request for correction or
amendment of record.
(a) Within 10 working days of receipt of a request for amendment or
correction, the system manager shall acknowledge the request, and
promptly either:
(1) Make any correction, deletion, or addition which the requester
believes should be made; or
(2) Inform the requester of his or her refusal to correct or amend the
record, the reason for refusal, and the procedures for appeal.
(b) If the system manager is unable to comply with the preceding
paragraphs within 30 working days of his or her receipt of a request, he
or she will inform the requester of that fact, the reasons, and an
estimate of when a determination will be reached.
(c) In conducting the review of the request, the system manager will
be guided by the requirements of 5 U.S.C. 552a(e)(1) and (e)(5).
(d) If the system manager determines to grant all or any portion of
the request, he or she will:
(1) Advise the individual of that determination;
(2) Make the correction or amendment; and
(3) So inform any person or agency outside EPA to whom the record has
been disclosed, and, where an accounting of that disclosure is
maintained in accordance with 5 U.S.C. 552a(c), note the occurrence and
substance of the correction or amendment in the accounting.
(e) If the system manager determines not to grant all or any portion
of a request for correction or amendment, he or she will:
(1) Comply with paragraph (d)(3) of this section (if necessary);
(2) Advise the individual of the determination and its basis;
(3) Inform the individual that an appeal may be made; and
(4) Describe the procedures for making the appeal.
(f) If EPA receives from another Federal agency a notice of correction
or amendment of information furnished by that agency and contained in
one of EPA's systems of records, the system manager shall advise the
individual and make the correction as if EPA had originally made the
correction or amendment.
Sec. 16.9 Appeal of initial adverse agency determination on request
for correction or amendment.
(a) Any individual whose request for correction or amendment is
initially denied by EPA and who wishes to appeal may do so by letter to
the Privacy Act Officer. The appeal shall contain a description of the
initial request sufficient to identify it.
(b) The Privacy Act Officer shall make a final determination not later
than 30 working days from the date on which the individual requests the
review, unless, for good cause shown, the Privacy Act Officer extends
the 30-day period and notifies the requester. Such extension will be
utilized only in exceptional circumstances.
(c) In conducting the review of an appeal, the Privacy Act Officer
will be guided by the requirements of 5 U.S.C. 552a(e)(1) and (e)(5).
(d) If the Privacy Act Officer determines to grant all or any portion
of an appeal he or she shall so inform the requester and EPA shall make
the correction or amendment and comply with Sec. 16.8(d)(3).
(e) If the Privacy Act Officer determines not to grant all or any
portion of an appeal he or she shall inform the requester:
(1) Of the determination and its basis;
(2) Of the requester's right to file a concise statement of reasons
for disagreeing with EPA's decision;
(3) Of the procedures for filing such statement of disagreement;
(4) That such statements of disagreements will be made available in
subsequent disclosures of the record, together with an agency statement
(if deemed appropriate) summarizing its refusal;
(5) That prior recipients of the disputed record will be provided with
statements as in paragraph (e)(4) of this section, to the extent that an
accounting of disclosures is maintained under 5 U.S.C. 552a(c); and
(6) Of the requester's right to seek judicial review under 5 U.S.C.
552a(g).
Sec. 16.10 Disclosure of record to person other than the individual
to whom it pertains.
EPA shall not disclose any record which is contained in a system of
records it maintains except pursuant to a written request by, or with
the written consent of, the individual to whom the record pertains,
unless the disclosure is authorized by one or more of the provisions of
5 U.S.C. 552a(b).
Sec. 16.11 Fees.
No fees shall be charged for providing the first copy of a record or
any portion to an individual to whom the record pertains. The fee
schedule for reproducing other records is the same as that set forth in
40 CFR 2.120.
Sec. 16.12 Penalties.
The Act provides, in pertinent part:
``Any person who knowingly and willfully requests or obtains any
record concerning an individual from an agency under false pretenses
shall be guilty of a misdemeanor and fined not more than $5,000.'' (5
U.S.C. 552a(i)(3).)
Sec. 16.13 General exemptions.
(a) Systems of records affected.
para.EPA-4 OIG Criminal Investigative Index and Files--EPA/OIG.
para.EPA-17 NEIC Criminal Investigative Index and Files--EPA/NEIC/OCI.
(b) Authority. Under 5 U.S.C. 552a(j)(2), the head of any agency may
by rule exempt any system of records within the agency from certain
provisions of the Privacy Act of 1974, if the system of records is
maintained by an agency or component thereof which performs as its
principal function any activity pertaining to the enforcement of
criminal laws and which consists of:
(1) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, the nature and disposition of
criminal charges, sentencing, confinement, release, and parole and
probation status;
(2) Information compiled for the purpose of a criminal investigation,
including reports of informants and investigators, and associated with
an identifiable individual; or
(3) 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.
(c) Scope of exemption. (1) The EPA-4 system of records identified in
Sec. 16.13(a) is maintained by the Office of Investigations of the
Office of Inspector General (OIG), a component of EPA which performs as
its principal function activities pertaining to the enforcement of
criminal laws. Authority for the criminal law enforcement activities of
the OIG's Office of Investigations is the Inspector General Act of 1978,
5 U.S.C. app.
(2) The EPA-17 system of records identified in Sec. 16.13(a) is
maintained by the Office of Criminal Investigations (OCI) of the
National Enforcement Investigations Center (NEIC), a component of EPA
which performs as its principal function activities pertaining to the
enforcement of criminal laws. Authority for the criminal law enforcement
activities of the NEIC's Office of Criminal Investigations is 28 U.S.C.
533, with appointment letter from Benjamin Civiletti, Attorney General,
to Douglas Costle, Administrator, EPA, dated January 16, 1981.
(3) The systems of records identified in Sec. 16.13(a) are exempted
from the following provisions of the Privacy Act of 1974: 5 U.S.C.
552a(c) (3) and (4); (d); (e) (1), (2), (3), (4) (G), (H), and (I), (5),
and (8); (f); and (g).
(4) To the extent that the exemption claimed under 5 U.S.C. 552a(j)(2)
is held to be invalid for the systems of records identified in
Sec. 16.13(a), then an exemption under 5 U.S.C. 552a(k)(2) is claimed
for these systems of records.
(d) Reasons for exemption. The systems of records identified in
Sec. 16.13(a) are exempted from the above provisions of the Privacy Act
of 1974 for the following reasons:
(1) 5 U.S.C. 552a(c)(3) requires an agency to make the accounting of
each disclosure of records available to the individual named in the
record at his request. These accountings must state the date, nature,
and purpose of each disclosure of a record and the name and address of
the recipient. Accounting for each disclosure would alert the subjects
of an investigation to the existence of the investigation and the fact
that they are subjects of the investigation. The release of such
information to the subjects of an investigation would provide them with
significant information concerning the nature of the investigation, and
could seriously impede or compromise the investigation, endanger the
physical safety of confidential sources, witnesses, law enforcement
personnel and their families, and lead to the improper influencing of
witnesses, the destruction of evidence, or the fabrication of testimony.
(2) 5 U.S.C. 552a(c)(4) requires an agency to inform any person or
other agency about any correction or notation of dispute made by the
agency in accordance with subsection (d) of the Act. Since EPA is
claiming that these systems of records are exempt from subsection (d) of
the Act, concerning access to records, this section is inapplicable and
is exempted to the extent that these systems of records are exempted
from subsection (d) of the Act.
(3) 5 U.S.C. 552a(d) requires an agency to permit an individual to
gain access to records pertaining to him, to request amendment to such
records, to request a review of an agency decision not to amend such
records, and to contest the information contained in such records.
Granting access to records in these systems of records could inform the
subject of an investigation of an actual or potential criminal violation
of the existence of that investigation, of the nature and scope of the
information and evidence obtained as to his activities, of the identity
of confidential sources, witnesses, and law enforcement personnel, and
could provide information to enable the subject to avoid detection or
apprehension. Granting access to such information could seriously impede
or compromise an investigation, endanger the physical safety of
confidential sources, witnesses, law enforcement personnel and their
families, lead to the improper influencing of witnesses, the destruction
of evidence, or the fabrication of testimony, and disclose investigative
techniques and procedures. In addition, granting access to such
information could disclose classified, security-sensitive, or
confidential business information and could constitute an unwarranted
invasion of the personal privacy of others.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual as is relevant and
necessary to accomplish a purpose of the agency required by statute or
by executive order of the President. The application of this provision
could impair investigations and law enforcement, because it is not
always possible to detect the relevance or necessity of specific
information in the early stages of an investigation. Relevance and
necessity are often questions of judgment and timing, and it is only
after the information is evaluated that the relevance and necessity of
such information can be established. In addition, during the course of
the investigation, the investigator may obtain information which is
incidental to the main purpose of the investigation but which may relate
to matters under the investigative jurisdiction of another agency. Such
information cannot readily be segregated. Furthermore, during the course
of the investigation, the investigator may obtain information concerning
the violation of laws other than those which are within the scope of his
jurisdiction. In the interest of effective law enforcement, the EPA
investigators should retain this information, since it can aid in
establishing patterns of criminal activity and can provide valuable
leads for other law enforcement agencies.
(5) 5 U.S.C. 552a(e)(2) requires an agency to collect information to
the greatest extent practicable directly from the subject individual
when the information may result in adverse determinations about an
individual's rights, benefits, and privileges under Federal programs.
The application of this provision could impair investigations and law
enforcement by alerting the subject of an investigation of the existence
of the investigation, enabling the subject to avoid detection or
apprehension, to influence witnesses improperly, to destroy evidence, or
to fabricate testimony. Moreover, in certain circumstances the subject
of an investigation cannot be required to provide information to
investigators, and information must be collected from other sources.
Furthermore, it is often necessary to collect information from sources
other than the subject of the investigation to verify the accuracy of
the evidence collected.
(6) 5 U.S.C. 552a(e)(3) requires an agency to inform each person whom
it asks to supply information, on a form that can be retained by the
person, of the authority under which the information is sought and
whether disclosure is mandatory or voluntary; of the principal purposes
for which the information is intended to be used; of the routine uses
which may be made of the information; and of the effects on the person,
if any, of not providing all or any part of the requested information.
The application of this provision could provide the subject of an
investigation with substantial information about the nature of that
investigation, which could interfere with the investigation. Moreover,
providing such a notice to the subject of an investigation could
seriously impede or compromise on undercover investigation by revealing
its existence and could endanger the physical safety of confidential
sources, witnesses, and investigators by revealing their identities.
(7) 5 U.S.C. 552a(e)(4) (G) and (H) require an agency to publish a
Federal Register notice concerning its procedures for notifying an
individual at his request if the system of records contains a record
pertaining to him, how he can gain access to such a record, and how he
can contest its content. Since EPA is claiming that these systems of
records are exempt from subsection (f) of the Act, concerning agency
rules, and subsection (d) of the Act, concerning access to records,
these requirements are inapplicable and are exempted to the extent that
these systems of records are exempted from subsections (f) and (d) of
the Act. Although EPA is claiming exemption from these requirements, EPA
has published such a notice concerning its notification, access, and
contest procedures because, under certain circumstances, EPA might
decide it is appropriate for an individual to have access to all or a
portion of his records in these systems of records.
(8) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a Federal
Register notice concerning the categories of sources of records in the
system of records. Exemption from this provision is necessary to protect
the confidentiality of the sources of information, to protect the
privacy and physical safety of confidential sources and witnesses, and
to avoid the disclosure of investigative techniques and procedures.
Although EPA is claiming exemption from this requirement, EPA has
published such a notice in broad generic terms in the belief that this
is all subsection (e)(4)(I) of the Act requires.
(9) 5 U.S.C. 552a(e)(5) requires an agency to maintain its records
with such accuracy, relevance, timeliness, and completeness as is
reasonably necessary to assure fairness to the individual in making any
determination about the individual. Since the Act defines ``maintain''
to include the collection of information, complying with this provision
would prevent the collection of any data not shown to be accurate,
relevant, timely, and complete at the moment it is collected. In
collecting information for criminal law enforcement purposes, it is not
possible to determine in advance what information is accurate, relevant,
timely, and complete. Facts are first gathered and then placed into a
logical order to prove or disprove objectively the criminal behavior of
an individual. Material which may seem unrelated, irrelevant, or
incomplete when collected may take on added meaning or significance as
the investigation progresses. The restrictions of this provision could
interfere with the preparation of a complete investigative report,
thereby impeding effective law enforcement.
(10) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable efforts
to serve notice on an individual when any record on such individual is
made available to any person under compulsory legal process when such
process becomes a matter of public record. Complying with this provision
could prematurely reveal an ongoing criminal investigation to the
subject of the investigation.
(11) 5 U.S.C. 552a(f)(1) requires an agency to promulgate rules which
shall establish procedures whereby on an individual can be notified in
response to his request if any system of records named by the individual
contains a record pertaining to him. The application of this provision
could impede or compromise an investigation or prosecution if the
subject of an investigation was able to use such rules to learn of the
existence of an investigation before it could be completed. In addition,
mere notice of the fact of an investigation could inform the subject or
others that their activities are under or may become the subject of an
investigation and could enable the subjects to avoid detection or
apprehension, to influence witnesses improperly, to destroy evidence, or
to fabricate testimony. Since EPA is claiming that these systems of
records are exempt from subsection (d) of the Act, concerning access to
records, the requirements of subsections (f) (2) through (5) of the Act,
concerning agency rules for obtaining access to such records, are
inapplicable and are exempted to the extent that these systems of
records are exempted from subsection (d) of the Act. Although EPA is
claiming exemption from the requirements of subsection (f) of the Act,
EPA has promulgated rules which establish Agency procedures because,
under certain circumstances, it might be appropriate for an individual
to have access to all or a portion of his records in these systems of
records. These procedures are described elsewhere in this Part.
(12) 5 U.S.C. 552a(g) provides for civil remedies if an agency fails
to comply with the requirements concerning access to records under
subsections (d) (1) and (3) of the Act; maintenance of records under
subsection (e)(5) of the Act; and any other provision of the Act, or any
rule promulgated thereunder, in such a way as to have an adverse effect
on an individual. Since EPA is claiming that these systems of records
are exempt from subsections (c) (3) and (4), (d), (e) (1), (2), (3), (4)
(G), (H), and (I), (5), and (8), and (f) of the Act, the provisions of
subsection (g) of the Act are inapplicable and are exempted to the
extent that these systems of records are exempted from those subsections
of the Act.
(e) Exempt records provided by another agency. Individuals may not
have access to records maintained by the EPA if such records were
provided by another agency which has determined by regulation that such
records are subject to general exemption under 5 U.S.C. 552a(j). If an
individual requests access to such exempt records, EPA will consult with
the source agency.
(f) Exempt records included in a nonexempt system of records. All
records obtained from a system of records which has been determined by
regulation to be subject to general exemption under 5 U.S.C. 552a(j)
retain their exempt status even if such records are also included in a
system of records for which a general exemption has not been claimed.
[51 FR 24146, July 2, 1986]
Sec. 16.14 Specific exemptions.
(a) Exemption under 5 U.S.C. 552a(k)(2)--(1) Systems of records
affected.
para.EPA-2 General Personnel Records--EPA.
para.EPA-4 OIG Criminal Investigative Index and Files--EPA/OIG.
para.EPA-5 OIG Personnel Security Files--EPA/OIG.
para.EPA-17 NEIC Criminal Investigative Index and Files-- EPA/NEIC/
OCI.
(2) Authority. Under 5 U.S.C. 552a(k)(2), the head of any agency may
by rule exempt any system of records within the agency from certain
provisions of the Privacy Act of 1974, if the system of records is
investigatory material compiled for law enforcement purposes, other than
material within the scope of subsection (j)(2).
(3) Scope of exemption. (i) The systems of records identified in
Sec. 16.14(a)(1) are exempted from the following provisions of the
Privacy Act of 1974, subject to the limitations set forth in 5 U.S.C.
552a(k)(2): 5 U.S.C. 552a(c)(3); (d); (e)(1), (4) (G), (H), and (I); and
(f).
(ii) An individual is ``denied any right, privilege, or benefit that
he would otherwise be entitled by Federal law, or for which he would
otherwise be eligible, as a result of the maintenance of such
material,'' only if the Agency actually uses the material in denying or
proposing to deny such right, privilege, or benefit.
(iii) To the extent that records contained in the systems of records
identified in Sec. 16.14(a)(1) are maintained by the Office of
Investigations of the OIG or by the Office of Criminal Investigations of
the NEIC, components of EPA which perform as their principal function
activities pertaining to the enforcement of criminal laws, then an
exemption under 5 U.S.C. 552a(j)(2) is claimed for these records.
(4) Reasons for exemption. The systems of records identified in
Sec. 16.14(a)(1) are exempted from the above provisions of the Privacy
Act of 1974 for the following reasons:
(i) 5 U.S.C. 552a(c)(3) requires an agency to make the accounting of
each disclosure of records available to the individual named in the
record at his request. These accountings must state the date, nature,
and purpose of each disclosure of a record and the name and address of
the recipient. Accounting for each disclosure would alert the subjects
of an investigation to the existence of the investigation and the fact
that they are subjects of the investigation. The release of such
information to the subjects of an investigation would provide them with
significant information concerning the nature of the investigation, and
could seriously impede or compromise the investigation, endanger the
physical safety of confidential sources, witnesses, law enforcement
personnel and their families, and lead to the improper influencing of
witnesses, the destruction of evidence, or the fabrication of testimony.
(ii) 5 U.S.C. 552a(d) requires an agency to permit an individual to
gain access to records pertaining to him, to request amendment to such
records, to request a review of an agency decision not to amend such
records, and to contest the information contained in such records.
Granting access to records in these systems of records could inform the
subject of an investigation of an actual or potential criminal violation
of the existence of that investigation, of the nature and scope of the
information and evidence obtained as to his activities, of the identity
of confidential sources, witnesses, and law enforcement personnel, and
could provide information to enable the subject to avoid detection or
apprehension. Granting access to such information could seriously impede
or compromise an investigation, endanger the physical safety of
confidential sources, witnesses, law enforcement personnel and their
families, lead to the improper influencing of witnesses, the destruction
of evidence, or the fabrication of testimony, and disclose investigative
techniques and procedures. In addition, granting access to such
information could disclose classified, security-sensitive, or
confidential business information and could constitute an unwarranted
invasion of the personal privacy of others.
(iii) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual as is relevant and
necessary to accomplish a purpose of the agency required by statute or
by executive order of the President. The application of this provision
could impair investigations and law enforcement, because it is not
always possible to detect the relevance or necessity of specific
information in the early stages of an investigation. Relevance and
necessity are often questions of judgment and timing, and it is only
after the information is evaluated that the relevance and necessity of
such information can be established. In addition, during the course of
the investigation, the investigator may obtain information which is
incidental to the main purpose of the investigation but which may relate
to matters under the investigative jurisdiction of another agency. Such
information cannot readily be segregated. Furthermore, during the course
of the investigation, the investigator may obtain information concerning
the violation of laws other than those which are within the scope of his
jurisdiction. In the interest of effective law enforcement, EPA
investigators should retain this information, since it can aid in
establishing patterns of criminal activity and can provide valuable
leads for other law enforcement agencies.
(iv) 5 U.S.C. 552a(e)(4) (G) and (H) require an agency to publish a
Federal Register notice concerning its procedures for notifying an
individual at his request if the system of records contains a record
pertaining to him, how he can gain access to such a record, and how he
can contest its content. Since EPA is claiming that these systems of
records are exempt from subsection (f) of the Act, concerning agency
rules, and subsection (d) of the Act, concerning access to records,
these requirements are inapplicable and are exempted to the extent that
these systems of records are exempted from subsections (f) and (d) of
the Act. Although EPA is claiming exemption from these requirements, EPA
has published such a notice concerning its notification, access, and
contest procedures because, under certain circumstances, EPA might
decide it is appropriate for an individual to have access to all or a
portion of his records in these systems of records.
(v) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a Federal
Register notice concerning the categories of sources of records in the
system of records. Exemption from this provision is necessary to protect
the confidentiality of the sources of information, to protect the
privacy and physical safety of confidential sources and witnesses, and
to avoid the disclosure of investigative techniques and procedures.
Although EPA is claiming exemption from this reaquirement, EPA has
published such a notice in broad generic terms in the belief that this
is all subsection (e)(4)(I) of the Act requires.
(vi) 5 U.S.C. 552a(f)(1) requires an agency to promulgate rules which
shall establish procedures whereby an individual can be notified in
response to his request if any system of records named by the individual
contains a record pertaining to him. The application of this provision
could impede or compromise an investigation or prosecution if the
subject of an investigation was able to use such rules to learn of the
existence of an investigation before it could be completed. In addition,
mere notice of the fact of an investigation could inform the subject or
others that their activities are under or may become the subject of an
investigation and could enable the subjects to avoid detection or
apprehension, to influence witnesses improperly, to destroy evidence, or
to fabricate testimony. Since EPA is claiming that these systems of
records are exempt from subsection (d) of the Act, concerning access to
records, the requirements of subsections (f) (2) through (5) of the Act,
concerning agency rules for obtaining access to such records, are
inapplicable and are exempted to the extent that these systems of
records are exempted from subsection (d) of the Act. Although EPA is
claiming exemption from the requirements of subsection (f), EPA has
promulgated rules which establish Agency procedures because, under
certain circumstances, it might be appropriate for an individual to have
access to all or a portion of his records in these systems of records.
These procedures are described elsewhere in this Part.
(b) Exemption under 5 U.S.C. 552a(k)(5).--(1) Systems of records
affected.
para.EPA-2 General Personnel Records--EPA.
para.EPA-4 OIG Criminal Investigative Index and Files--EPA/OIG.
para.EPA-5 OIG Personnel Security Files--EPA/OIG.
(2) Authority. Under 5 U.S.C. 552a(k)(5), the head of any agency may
by rule exempt any system of records within the agency from certain
provisions of the Privacy Act of 1974, if the system of records is
investigatory material compiled solely for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, Federal contracts, or access to classified information, but
only to the extent that the disclosure of such material would reveal the
identity of a source who furnished information to the Government under
an express promise that the identity of the source would be held in
confidence, or, prior to September 27, 1975, under an implied promise
that the identity would be held in confidence.
(3) Scope of exemption. (i) The systems of records identified in
Sec. 16.14(b)(1) are exempted from the following provisions of the
Privacy Act of 1974, subject to the limitations of 5 U.S.C. 552a(k)(5):
5 U.S.C. 552a(c)(3); (d); (e)(1), (4) (H) and (I); and (f) (2) through
(5).
(ii) To the extent that records contained in the systems of records
identified in Sec. 16.14(b)(1) reveal a violation or potential violation
of law, then an exemption under 5 U.S.C. 552a(k)(2) is also claimed for
these records.
(4) Reasons for exemption. The systems of records identified in
Sec. 16.14(b)(1) are exempted from the above provisions of the Privacy
Act of 1974 for the following reasons:
(i) 5 U.S.C. 552a(c)(3) requires an agency to make the accounting of
each disclosure of records available to the individual named in the
record at his request. These accountings must state the date, nature,
and purpose of each disclosure of a record and the name and address of
the recipient. Making such an accounting could cause the identity of a
confidential source to be revealed, endangering the physical safety of
the confidential source, and could impair the future ability of the EPA
to compile investigatory material for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, Federal contracts, or access to classified information.
(ii) 5 U.S.C. 552a(d) requires an agency to permit an individual to
gain access to records pertaining to him, to request amendment to such
records, to request a review of an agency decision not to amend such
records, and to contest the information contained in such records.
Granting such access could cause the identity of a confidential source
to be revealed, endangering the physical safety of the confidential
source, and could impair the future ability of the EPA to compile
investigatory material for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment, Federal
contracts, or access to classified information.
(iii) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual as is relevant and
necessary to accomplish a purpose of the agency required by statute or
by executive order of the President. The application of this provision
could impair investigations, because it is not always possible to detect
the relevance or necessity of specific information in the early stages
of an investigation. Relevance and necessity are often questions of
judgment and timing, and it is only after the information is evaluated
that the relevance and necessity of such information can be established.
(iv) 5 U.S.C. 552a(e)(4)(H) requires an agency to publish a Federal
Register notice concerning its procedures for notifying an individual at
his request how he can gain access to any record pertaining to him and
how he can contest its content. Since EPA is claiming that these systems
of records are exempt from subsections (f) (2) through (5) of the Act,
concerning agency rules, and subsection (b) of the Act, concerning
access to records, these requirements are inapplicable and are exempted
to the extent that these systems of records are exempted from
subsections (f) (2) through (5) and (d) of the Act. Although EPA is
claiming exemption from these requirements, EPA has published such a
notice concerning its access and contest procedures because, under
certain circumstances, EPA might decide it is appropriate for an
individual to have access to all or a portion of his records in these
systems of records.
(v) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a Federal
Register notice concerning the categories of sources of records in the
system of records. Exemption from this provision is necessary to protect
the confidentiality of the sources of information, to protect the
privacy and physical safety of confidential sources, and to avoid the
disclosure of investigative techniques and procedures. Although EPA is
claiming exemption from this requirement, EPA has published such a
notice in broad generic terms in the belief that this is all subsection
(e)(4)(I) of the Act requires.
(vi) 5 U.S.C. 552a(f) (2) through (5) require an agency to promulgate
rules for obtaining access to records. Since EPA is claiming that these
systems of records are exempt from subsection (d) of the Act, concerning
access to records, the requirements of subsections (f) (2) through (5)
of the Act, concerning agency rules for obtaining access to such
records, are inapplicable and are exempted to the extent that this
system of records is exempted from subsection (d) of the Act. Although
EPA is claiming exemption from the requirements of subsections (f) (2)
through (5) of the Act, EPA has promulgated rules which establish Agency
procedures because, under certain circumstances, it might be appropriate
for an individual to have access to all or a portion of his records in
this system of records. These procedures are described elsewhere in this
part.
(c) Exemption under 5 U.S.C. 552a(k)(1)--(1) System of records
affected.
para.EPA-5 OIG Personnel Security Files--EPA/OIG.
(2) Authority. Under 5 U.S.C. 552a(k)(1), the head of any agency may
by rule exempt any system of records within the agency from certain
provisions of the Privacy Act of 1974, if the system of records is
subject to the provisions of 5 U.S.C. 552(b)(1). A system of records is
subject to the provisions of 5 U.S.C. 552(b)(1) if it contains records
that are specifically authorized under criteria established by an
Executive order to be kept secret in the interest of national defense or
foreign policy and are in fact properly classified pursuant to such
Executive order. Executive Order 12356 establishes criteria for
classifying records which are to be kept secret in the interest of
national defense or foreign policy.
(3) Scope of exemption. To the extent that the system of records
identified in Sec. 16.14(c)(1) contains records provided by other
Federal agencies that are specifically authorized under criteria
established by Executive Order 12356 to be kept secret in the interest
of national defense or foreign policy and are in fact properly
classified by other Federal agencies pursuant to that Executive order,
the system of records is exempted from the following provisions of the
Privacy Act of 1974: 5 U.S.C. 552a(c)(3); (d); (e)(1), (4) (G), (H), and
(I); and (f).
(4) Reasons for exemption. The system of records identified in
Sec. 16.14(c)(1) is exempted from the above provisions of the Privacy
Act of 1974 for the following reasons:
(i) 5 U.S.C. 552a(c)(3) requires an agency to make the accounting of
each disclosure of records available to the individual named in the
record at his request. These accountings must state the date, nature,
and purpose of each disclosure of a record and the name and address of
the recipient. Making such an accounting could result in the release of
properly classified information, which would compromise the national
defense or disrupt foreign policy.
(ii) 5 U.S.C. 552a(d) requires an agency to permit an individual to
gain access to records pertaining to him, to request amendment to such
records, to request a review of an agency decision not to amend such
records, and to contest the information contained in such records.
Granting such access could cause the release of properly classified
information, which would compromise the national defense or disrupt
foreign policy.
(iii) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual as is relevant and
necessary to accomplish a purpose of the agency required by statute or
by executive order of the President. The application of this provision
could impair personnel security investigations which use properly
classified information, because it is not always possible to know the
relevance or necessity of specific information in the early stages of an
investigation. Relevance and necessity are often questions of judgment
and timing, and it is only after the information is evaluated that the
relevance and necessity of such information can be established.
(iv) 5 U.S.C. 552a(e)(4) (G) and (H) require an agency to publish a
Federal Register notice concerning its procedures for notifying an
individual at his request if the system of records contains a record
pertaining to him, how he can gain access to such a record, and how he
can contest its content. Since EPA is claiming that this system of
records is exempt from subsection (f) of the Act, concerning agency
rules, and subsection (d) of the Act, concerning access to records,
these requirements are inapplicable and are exempted to the extent that
this system of records is exempted from subsections (f) and (d) of the
Act. Although EPA is claiming exemption fromn these requirements, EPA
has published such a notice concerning its notification, access, and
contest procedures because, under certain circumstances, EPA might
decide it is appropriate for an individual to have access to all or a
portion of his records in this system of records.
(v) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a Federal
Register notice concerning the categories of sources of records in the
system of records. Exemption from this provision is necessary to prevent
the release of properly classified information, which would compromise
the national defense or disrupt foreign policy. Although EPA is claiming
exemption from this requirement, EPA has published such a notice in
broad generic terms in the belief that this is all subsection (e)(4)(I)
of the Act requires.
(vi) 5 U.S.C. 552a(f)(1) requires an agency to promulgate rules which
shall establish procedures whereby an individual can be notified in
response to his request if any system of records named by the individual
contains a record pertaining to him. The application of this provision
could result in the release of properly classified information, which
would compromise the national defense or disrupt foreign policy. Since
EPA is claiming that this system of records is exempt from subsection
(d) of the Act, concerning access to records, the requirements of
subsections (f) (2) through (5) of the Act, concerning agency rules for
obtaining access to such records, are inapplicable and are exempted to
the extent that this system of records is exempted from subsection (d)
of the Act. Although EPA is claiming exemption from the requirements of
subsection (f) of the Act, EPA has promulgated rules which establish
Agency procedures because, under certain circumstances, it might be
appropriate for an individual to have access to all or a portion of his
records in this system of records. These procedures are described
elsewhere in this part.
(d) Exempt records provided by another agency. Individuals may not
have access to records maintained by the EPA if such records were
provided by another agency which has determined by regulation that such
records are subject to general exemption under 5 U.S.C. 552a(j) or
specific exemption under 5 U.S.C. 552a(k). If an individual requests
access to such exempt records, EPA will consult with the source agency.
(e) Exempt records included in a nonexempt system of records. All
records obtained from a system of records which has been determined by
regulation to be subject to specific exemption under 5 U.S.C. 552a(k)
retain their exempt status even if such records are also included in a
system of records for which a specific exemption has not been claimed.
[51 FR 24146, July 2, 1986]