[Privacy Act Issuances (2005)]
[From the U.S. Government Publishing Office, www.gpo.gov]
SMALL BUSINESS ADMINISTRATION
APPENDIX A
Headquarters: 409 Third St., SW., Washington, DC 20416.
Boston Regional Office: 10 Causeway St., Suite 812, Boston, MA
02222-1093.
New York Regional Office: 26 Federal Plaza, Suite 3108, New York,
NY 10278.
Philadelphia Regional Office: 900 Market St., 5th Floor,
Philadelphia, PA 19107.
Atlanta Regional Office: 233 Peachtree St., NE., South Tower,
Suite 496, Atlanta, GA 30303.
Chicago Regional Officec: 500 West Madison St., Suite 1250,
Chicago, IL 60661-2511.
Dallas Regional Office: 4300 Amon Carter Blvd., Suite 114, Fort
Worth, TX 76155.
Kansas City Regional Office: 323 West 8th St., Suite 307, Kansas
City, MO 64105.
Denver Regional Office: 721 19th St., Suite 101, Denver, CO
80202.
San Francisco Regional Office: 455 Market St., Suite 2200, San
Francisco, CA 94105.
Seattle Regional Office: 1200 Sixth Ave., Suite 1805, Seattle, WA
98101-1128.
SBA District Offices
Region I
Maine District Office: 40 Western Ave., Room 512, Augusta, ME
04330.
Massachusetts District Office: 10 Causeway St., Suite 265,
Boston, MA 02222-1093.
New Hampshire District Office: 55 Pleasant St., Suite 3101,
Concord, NH 03301.
Connecticut District Office: 330 Main St., 2nd Floor, Hartford,
CT 06106.
Vermont District Office: 87 State St., Suite 205, Montpelier, VT
05602.
Rhode Island District Office: 380 Westminster Mall, 5th Floor,
Providence, RI 02903.
Springfield Branch Office: 1441 Main St., Suite 410, Springfield,
MA 01103.
Region II
Buffalo District Office: 111 West Huron St., Room 1311, Buffalo,
NY 14202.
Elmira Branch Office: 333 E. Water St., 4th Floor, Elmira, NY
14901.
Melville Branch Office: 35 Pinelawn Road, Suite 207, Melville, NY
11747.
New Jersey District Office: Two Gateway Center, 15th Floor,
Newark, NJ 07102.
New York District Office: 26 Federal Plaza, Rm. 3108, New York,
NY 10278.
Puerto Rico & Virgin Islands District Office: 252 Ponce De Leon
Blvd., Hato Rey, Puerto Rico 00918.
Rochester Branch Office: 100 State Street, Suite 410, Rochester,
NY 14614.
Syracuse District Office: 401 South Salina St., 5th Floor,
Syracuse, NY 13202.
St. Croix Branch Office: Sunny Isle Professional Building, Suites
5&6, Christiansted, VI 00820.
St. Thomas Branch Office: 3800 Crown Bay Street, St. Thomas, VI
00802.
Region III
Baltimore District Office: 10 S. Howard St., Suite 6220,
Baltimore, MD 21201-2525.
Charleston Branch Office: 405 Capitol St., Suite 412, Charleston,
WV 25301.
West Virginia District Office: Federal Center, Suite 330, 320
West Pike St., Clarksburg, WV 26301.
Harrisburg Branch Office: 100 Chestnut St., Suite 107,
Harrisburg, PA 17101.
Philadelphia District Office: 900 Market St., 5th Floor,
Philadelphia, PA 19107.
Pittsburgh District Office: Federal Building, Rm. 1128, 1000
Liberty Ave., Pittsburgh, PA 15222-4004.
Richmond District Office: 400 North 8th St., 11th Floor,
Richmond, VA 23240-0126.
Washington District Office: 1110 Vermont Ave., NW., Suite 900,
Washington, DC 20005.
Wilkes-Barre Branch Office: 7 North Wilkes-Barre Blvd, Suite 407,
Wilkes-Barre, PA 18702.
Delaware District Office: 1318 North Market, Wilmington, DE
19801-3011.
Region IV
Georgia District Office: 233 Peachtree Rd., NE., Suite 1800,
Atlanta, GA 30303.
Alabama District Office: 801 Tom Martin Dr., Suite 201,
Birmingham, AL 35211.
North Carolina District Office: 6302 Fairview Rd., Suite 300,
Charlotte, NC 28210-2227.
South Carolina District Office: 1835 Assembly St., Rm. 358,
Columbia, SC 29201.
Gulfport Branch Office: 2909 13th St., Suite 203, Gulfport, MS
39501-1949.
Mississippi District Office: 210 E. Capitol St., Suite 210E,
Jackson, MS 39201.
Jacksonville--North Florida District Office: 7825 Baymeadows
Way., Suite 100-B, Jacksonville, FL 32256-7504.
Kentucky District Office: 600 Dr. M.L. King Jr. Place, Rm. 188,
Louisville, KY 40202.
Miami--South Florida District Office: 100 S. Biscayne Blvd, 7th
Floor, Miami, FL 33131.
Tennessee District Office: 50 Vantage Way, Suite 201, Nashville,
TN 37228-1500.
Region V
Illinois District Office: 500 West Madison St., Chicago, IL
60661-2511.
Cincinnati Branch Office: 525 Vine St., Suite 870, Cincinnati, OH
45202.
Cleveland District Office: 1111 Superior Ave., Suite 630,
Cleveland, OH 44114-2507.
Columbus District Office: 2 Nationwide Plaza, Suite 1400,
Columbus, OH 43215-2542.
Michigan District Office: 477 Michigan Ave., Suite 515, Detroit,
MI 48226.
Indiana District Office: 429 North Pennsylvania St., Suite 100,
Indianapolis, IN 46204-1873.
Wisconsin District Office: 310 West Wisconsin Ave., Suite 400,
Madison, WI 53203.
Minnesota Branch Office: 100 North 6th St., 210-C, Minneapolis,
MI 55403.
Wisconsin Branch Office: 310 West Wisconsin Ave., Milwaukee, WI
53203.
Minnesota District Office: 100 North 6th St., Minneapolis, MN
55403-1563.
Springfield Branch Office: 511 W. Capitol Ave., Suite 302,
Springfield, IL 62704.
Region VI
New Mexico District Office: 625 Silver Ave., SW., Suite 320,
Albuquerque, NM 87102.
Corpus Christi Branch Office: 3649 Leopard St., Suite 411, Corpus
Christi, TX 78408.
Dallas/Ft. Worth District Office: 4300 Amon Carter Blvd., Suite
108, Dallas, TX 76155.
El Paso District Office: 10737 Gateways West, Suite 320, El Paso,
TX 79935.
Houston District Office: 8701 S. Gessner Dr., Suite 1200,
Houston, TX 77074.
Arkansas District Office: 2120 Riverfront Dr., Suite 100, Little
Rock, AR 72202.
Lower Rio Grande Valley District Office: 222 E. Van Buren St.,
Rm. 500, Harlingen, TX 78550-6855.
Lubbock District Office: 1205 Texas Ave., Suite 408, Lubbock, TX
79401-2693.
New Orleans District Office: 365 Canal St., Suite 2820, New
Orleans, LA 70130.
Oklahoma District Office: 301 Northwest 6th St., Suite 116,
Oklahoma City, OK 73102.
San Antonio District Office: 727 E. Durango Blvd., 5th Floor, San
Antonio, TX 78206.
Region VII
Cedar Rapids Branch Office: 215 4th Ave., SE., Suite 200, Cedar
Rapids, IA 52401-1806.
Des Moines District Office: 210 Walnut St., Room 749, Des Moines,
IA 50309-2186.
Kansas City District Office: 323 West 8th Ave., Suite 501, Kansas
City, MO 64105-1500.
Nebraska District Office: 11145 Mill Valley Rd., Omaha, NB 68154.
Springfield Branch Office: 830 East Primrose, Suite 101,
Springfield, MO 65807-52540.
St. Louis District Office: 815 Olive Street, St. Louis, MO 63101.
Wichita District Office: 271 West Third St., Suite 2500, Wichita,
KS 67202-1212.
Region VIII
Wyoming District Office: 100 East B Street, Rm. 4001, Casper, WY
82601.
Denver District Office: 721 19th St., Suite 426, Denver, CO
80202.
North Dakota District Office: 657 Second Ave. North, Room 219,
Fargo, ND 58108.
Montana District Office: 10 West 15th St., Suite 1100, Helena, MT
59626.
Utah District Office: 125 South State St., Room 2237, Salt Lake
City, UT 84138.
South Dakota District Office: 2329 North Career Ave., Suite 105,
Sioux Falls, SD 57107.
Region IX
Agana Branch Office: 400 Route 8, Suite 302, Hagatna, GU 96910-
2003.
Fresno District Office: 2719 North Air Fresno Dr., Suite 200,
Fresno, CA 93727-1547.
Hawaii District Office: 300 Ala Moana Blvd., Rm. 2-235, Honolulu,
HI 96850-4981.
Nevada District Office: 300 Las Vegas Blvd., Suite 110, Las
Vegas, NV 89101.
Los Angeles District Office: 330 North Brand Blvd., Suite 1200,
Glendale, CA 91203-2304.
Arizona District Office: 2828 North Central Ave., Suite 800,
Phoenix, AZ 85004-1025.
Sacramento District Office: 650 Capital Mall, Suite 7-500,
Sacramento, CA 95814-2413.
San Diego District Office: 550 West C St., Suite 550, San Diego,
CA 92101-3500.
San Francisco District Office: 455 Market St., 6th Floor, San
Francisco, CA 94105-2445.
Santa Ana District Office: 200 West Santa Ana Blvd., Suite 700,
Santa Ana, CA 92701.
Region X
Alaska District Office: 50 L St., Suite 310, Anchorage, AK 99501.
Boise District Office: 380 East Parkcenter Blvd., Boise, ID
83706.
Portland District Office: 1515 S.W. 5th Ave., Suite 1050,
Portland, OR 97201-5494.
Seattle District Office: 1200 6th Ave., Rm. 1700, Seattle, WA
98101-1128.
Spokane Branch Office: 801 West Riverside, Suite 200, Spokane, WA
99201.
Spokane District Office: 801 West Riverside Ave., Suite 200,
Spokane, WA 99201-0901.
SBA Area Disaster Offices
Disaster Area 1 Office: 360 Rainbow Blvd., South, 3rd Floor,
Niagara Falls, NY 14303.
Disaster Area 2 Office: One Baltimore Place, NE., Suite 300,
Atlanta, GA 30308.
Disaster Area 3 Office: 14925 Kingsport Rd., Fort Worth, TX
76155-2643.
Disaster Area 4 Office: P.O. Box 419004, Sacramento, CA 95841-
9004, or 6501 Sylvan Rd., Citrus Heights, CA 95610-5017.
SBA Home Loan Servicing Centers
Birmingham Home Loan Servicing Center: 2121 8th Ave. North, Suite
200, P.O. Box 12247, Birmingham, AL 35202-2247.
New York Home Loan Servicing Center: 201 Varick St., Rm. 628, New
York, NY 10014.
El Paso Home Loan Servicing Center: 10737 Gateway West, Suite
300, El Paso, TX 79935.
Santa Ana Loan Servicing & Liquidation Office: 200 W. Santa Ana
Blvd., Santa Ana, CA 92701.
Commercial Loan Servicing Centers
Fresno Commercial Loan Servicing Center: 2719 N. Fresno Dr.,
Suite 107, Fresno, CA 93727-1547.
Little Rock Commercial Loan Servicing Center: 2120 Riverfront
Dr., Suite 100, Little Rock, AR 72202.
Office of the Inspector General
Office of Inspector General, 409 Third Street, SW., Washington,
DC 20416.
Office of Inspector General Investigation Division, 409 Third
Street, SW., Washington, DC 20416.
Office of Inspector General Auditing Division, 409 Third Street,
SW., Washington, DC 20416.
Atlanta Inspector General Auditing Division, 233 Peachtree St.,
NE., Atlanta, GA 30303.
Dallas/Fort Worth Inspector General Auditing, 4300 Amon Carter
Blvd., Suite 116, Fort Worth, TX 76155-2654.
Los Angeles Inspector General Auditing Division, 330 North Brand
Blvd., Suite 660, Glendale, CA 91203-2304.
Atlanta Inspector General Investigations Division, 233 Peachtree
St., NE., Atlanta, GA 30303.
Chicago Inspector General Investigations Division, 500 West
Madison St., Suite 3370, Chicago, IL 60661.
Dallas/Fort Worth Inspector General Investigations Division, 4300
Amon Carter Blvd., Suite 116, Fort Worth, TX 76155-2653.
Houston Investigations Division Resident Office, 9301 Southwest
Freeway, Suite 550, Houston, TX 77074-1591.
Kansas City Inspector General Investigations Division, 323 W. 8th
St., Room 305, Kansas City, MO 64105.
Los Angeles Inspector General Investigation Division, 330 North
Brand Blvd., Suite 1280, Glendale, CA 91203-2304.
New York Inspector General Investigations Division, 26 Federal
Plaza, Rm. 41-100, New York, NY 10278.
Philadelphia Inspector General Investigations Division, 625
Walnut St., Suite 860B-W, Philadelphia, PA 19106.
Seattle Inspector General Investigations Division, 1200 Sixth
Ave., Suite 1807, Seattle, WA 98101-1128.
Syracuse Inspector General Investigations Division, 401 South
Salina St., 5th Floor, Syracuse, NY 13202.
Appendix B
Federal Archives and Records Center, GSA, 380 Trapelo Road,
Waltham, MA 02154
Federal Archives and Records Center, GSA, Military Ocean
Terminal, Bldg. 22, Bayonne, NJ 07002
Federal Archives and Records Center, GSA, 5000 Wissahickon
Ave., Philadelphia, PA 19114
Federal Records Center, GSA, Naval Supply Depot, Bldg. 308,
Mechanicsburg, PA 17055
Washington National Records Center, Washington, DC 20409
Federal Archives and Records Center, GSA, 1557 St. Joseph Ave.,
East Point, GA 30344
Federal Archives and Records Center, GSA, 7358 South Pulaski
Road, Chicago, IL 60629
Federal Records Center, GSA, 3150 Bertwynn Drive, Dayton, OH
45439
Federal Archives and Records Center, GSA, 3150 Springboro Road,
Dayton, OH 45439
Federal Archives and Records Center, GSA, 2306 East Bannister
Road, Kansas City, MO 64131
National Personnel Records Center, GSA, (Civilian Personnel
Records), 111 Winnebago Street, St. Louis, MO 63118
Federal Archives and Records Center, GSA, 4900 Hemphill Street,
P0 Box 6216, Fort Worth, TX 76115
Federal Archives and Records Center, GSA, Bldg. 48, Denver
Federal Center, Denver, CO 80225
Federal Archives and Records Center, GSA, 1000 Commodore Drive,
San Bruno, CA 94096
Federal Archives and Records Center, GSA, P0 Box 6719, Laguna
Niguel, CA 92677-6719
Federal Archives and Records Center, GSA, 6125 Sandy Point Way,
Seattle, WA 98115
Table of Contents
SBA 1--Administrative Claims
SBA 2--Administrator's Executive Secretariat Files
SBA 3--Advisory Council Files
SBA 4--Office of Inspector General Records Other Than
Investigations Records
SBA 5--Business and Community Initiatives Resource Files
SBA 6--Civil Rights Compliance Files
SBA 7--Combined Federal Campaign
SBA 8--Correspondence and Inquiries
SBA 9--Cost Allocation Data System
SBA 10--Employee Identification Card Files
SBA 11--Entrepreneurial Development--Management Information
System
SBA 12--Equal Employment Opportunity Pre-Complaint Counseling
SBA 13--Equal Employment Opportunity Complaint Cases
SBA 14--Freedom of Information/Privacy Act Records
SBA 15--Grievance and Appeals Files
SBA 16--Investigative Files
SBA 17--Investigations Division Management Information System
SBA 18--Legal Work Files on Personnel Cases
SBA 19--Litigation and Claims Files
SBA 20--Disaster Loan Case Files
SBA 21--Loan System
SBA 22--Outside Employment Files
SBA 23--Payroll Files
SBA 24--Personnel Security Files
SBA 25--Portfolio Review Files
SBA 26--Power of Attorney Files
SBA 27--Security and Investigations Files
SBA 28--Small Business Persons and Advocate Awards
SBA 29--Standards of Conduct
SBA 30--Servicing and Contracts System/Minority Enterprise
Development Headquarters Repository
SBA 31--Temporary Disaster Employee Files
SBA 32--Tort Claims
SBA 33--Travel Files
SBA 035--Combined Federal Campaign
SBA 040--Congressional Inquiries and Correspondence
SBA 045--EEO Pre-Complaint Counseling
SBA 050--EEO Complaint Cases
SBA 055--Employee Identification Card Files
SBA 060--Grievances and Appeals
SBA 065--Legal Work Files on Personnel Problems
SBA 070--Litigation and Claims Files
SBA 075--Loan Case Files
SBA 080--Occupational Injuries
SBA 085--Official Travel Files
SBA 090--Outside Employment Files
SBA 095--Payroll Files
SBA 100--Personnel Security Files
SBA 105--Portfolio Reviews
SBA 110--SCORE/ACE Master Files
SBA 115--Power of Attorney Files
SBA 120--Security and Investigations Files
SBA 125--Office of Inspector General Referrals
SBA 130--Investigations Division Management Information System
SBA 135--Small Business Person and Advocate Awards
SBA 140--Standards of Conduct Files
SBA 145--Former and Current Disaster Employees
SBA 150--Tort Claims
SBA 155--SBA Employee Activity Files
SBA 160--Freedom of Information Act and Privacy Act Case Files
SBA 165--Civil rights Compliance Files
SBA 170--Entrepreneurial Development--Management Information
System
SBA 171--Loan Monitoring System (LMS)
SBA 175--Cost Allocation Data System (CADS)
SBA 180--Servicing and Contracts System/Minority Enterprise
Development Headquarters Repository
SBA 1
System name:
Administrative Claims--SBA 1.
System location:
Headquarters (HQ) and Field Offices.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Individuals involved in accidents or other incidents of loss or
damage to government property.
Categories of records in the system:
Case report and supporting materials compiled in cases that
involve loss or damage to government property. Records of claims up
to $5,000 are in District Offices; claims more than $5,000 are in the
Office of General Counsel (OGC).
Authority for maintenance of the system:
15 U.S.C. 634 (b)(1), 28 CFR 14.11.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the General Services Administration, the court and other
parties in litigation, when a suit has been initiated.
b. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By name of involved individual(s).
Safeguards:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with National Archives and Records Administration
General Records Schedule 6.10.
System manager(s) and address:
HQ and Field Systems Managers. See Appendix A.
Notification procedure:
An individual may submit a record inquiry either in person or in
writing to either the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Involved individuals, witnesses and Agency investigation.
SBA 2
System name:
Administrator's Executive Secretariat Files--SBA 2.
System location:
Headquarters (HQ). See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Individuals who correspond with the SBA Administrator.
Categories of records in the system:
Correspondence in Controlled Documents System from October 1,
1987.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To oversee and maintain Agency correspondence with Government
officials, Members of Congress, and the public.
b. To oversee and maintain memoranda or documents detailing
policy and operational decisions made by the Administrator.
c. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
d. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By document number, can be cross-referenced by name, subject,
keyword, phrase, date, constituent and organizational name.
Safeguards:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with Standard Operating Procedure 00 41 2 00:01.
System manager(s) and address:
Executive Secretariat, HQ. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Correspondence, memoranda authors, and other sources that could
engender communication by the SBA Administrator.
SBA 3
ADVISORY COUNCIL FILES
System location:
SBA Headquarters, 409 Third Street SW., 7th floor, Washington, DC
20416.
Categories of individuals covered by the system:
Individuals currently serving as members on SBA's federal
advisory councils and individuals who formerly served.
Categories of records in the system:
The system contains completed SBA Forms 898 submitted by
individuals nominated to serve as members on SBA's federal advisory
councils. The form requests current personal and business contact
information, birthplace and date of birth, and information on the
current status or history of application for SBA assistance or actual
receipt of it. The system may also contain nominees' professional
resumes and other correspondence.
Authority for maintenance of the system:
15 U.S.C. 637(b)(13), 648(i)(1), 657(c), Section 203, 7510-10;
Pub. L. 106-50; and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED BY, DISCLOSED OR REFERRED TO:
a. Appointed liaisons in SBA program offices, including but not
limited to:
(1) Office of Government Contracting;
(2) Investment Division;
(3) Office of Financial Assistance;
(4) Office of Procurement and Grants Management;
(5) Office of Inspector General;
(6) Office of Strategic Alliances; and
(7) Office of General Counsel.
The purpose of the disclosure is to facilitate the performance of
the appointed liaisons' duty to determine whether the program office
has any information pertaining to a past or current relationship
between the nominee and SBA and to provide such information to the
SBA's Committee Management Officer who vets nominees for conflict of
interest or the appearance of conflict of interest in accordance with
SOP 90 54 5, Chapter 7.
b. Member of Congress or his/her staff when the Member is
inquiring on the individual's behalf, provided that the Agency
determines the disclosure of the records is a use of the information
contained in the records that is compatible with the purpose for
which the information was collected. Under these circumstances, the
Member's access rights are no greater than the individual's rights.
c. Agency volunteers, interns, grantees, experts and contractors
who have been engaged by the Agency to assist in the performance of a
service related to this system of records and who need access to the
records in order to perform this activity. Recipients of these
records shall be required to comply with the requirements of the
Privacy Act of 1974, as amended, in accordance with their employment
contracts.
d. The Department of Justice (DOJ) when any of the following is a
party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the agency to be relevant
and necessary to the litigation, provided, however, that in each
case, the agency determines the disclosure of the records to the DOJ
is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his/her official capacity;
(3) Any employee of the agency in his/her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
e. A court, or adjudicative body, or a dispute resolution body
before which any of the following is a party to litigation or has an
interest in litigation, provided however, that the agency determines
that the use of such records is relevant and necessary to the
litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is like to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
Retaining and Disposing of Records:
Storage:
Paper files only.
Retrieval:
Records are organized according to advisory council and
retrievable by the name of the current and former member.
Safeguards:
Access to SBA Headquarters is controlled and monitored by
security personnel. Access to SBA program offices is limited to SBA
employees with key cards. Records are maintained in locked files
located in locked rooms. Access to records is limited to persons
whose official duties require access to the information contained in
the records.
Retention and disposal:
Permanent records are maintained for 2 years and then transferred
to the Federal Records Center in accordance with SOP 00 41 2,
Appendix 24, 95:01.
Systems Manager(s) and address:
Committee Management Officer, Office of the Administrator, U.S.
Small Business Administration, 409 Third Street SW., 7th floor,
Washington, DC 20416.
Notification procedure:
If you want to determine whether your personal information is
maintained in this system of records, send a request in writing to
inspect relevant records to the Committee Management Officer, Office
of the Administrator, U.S. Small Business Administration, 409 Third
Street SW., 7th floor, Washington, DC 20416.
Access Procedures:
The CMO will make relevant records available for inspection upon
written request, with sufficient notice as determined by the CMO,
during normal business hours.
Contesting Procedures:
Contact the CMO using notification procedures listed above and
state reason(s) for contesting his or her findings and the proposed
amendment sought.
Source Categories:
Record subject, Congressional offices, Agency employees, Media,
Advisory Council members, Federal Register.
SBA 4
System name:
Office of Inspector General Records Other Than Investigations
Records--SBA 4.
System location:
Office of the Inspector General (OIG) Investigations Division,
Audit Division, Headquarters (HQ) duty stations, Agency District and
Field Offices and Federal Records Center (FRC). See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Individuals covered by the system include the assigned auditor or
evaluator, other OIG staff, the audit or evaluation requestor, the
interviewee, persons examined by the audit and persons providing
information used by the auditors.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Records consist of materials compiled and/or generated in
connection with audits, evaluations, and other non-audit services
performed by OIG staff. These materials include information regarding
the planning, conduct, and resolution of audits and evaluations of
SBA programs and participants in those programs, information
requests, responses to such requests, reports of findings, etc.
Authority for MAINTENANCE OF THE SYSTEMS:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising
by general or program statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement
negotiations when presenting evidence.
c. To any private or governmental source or person, to secure
information relevant to an investigation or audit.
d. To other Federal agencies conducting background checks, to the
extent that the information is relevant to their function.
e. To any domestic, foreign, international or private agency or
organization, including those which maintain civil, criminal or other
enforcement information, for the assignment, hiring or retention of
an individual, issuance of a security clearance, reporting of an
investigation of an individual, letting of a contract or issuance of
a license, grant or other benefit, to the extent the information is
relevant to the agency's decision on the matter.
f. To Federal, State or local bar associations and other
professional, regulatory or disciplinary bodies for use in
disciplinary proceedings and inquiries.
g. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
h. To provide data to the General Accounting Office (GAO) for
periodic reviews of SBA.
i. To the Office of Government Ethics for any purpose consistent
with their mission.
j. To the General Accounting Office and to the General Services
Administration's (GSA) Board of Contract Appeals in bid protest cases
involving an agency procurement.
k. To any Federal agency which has the authority to subpoena
other Federal agencies' records.
l. To the Department of the Treasury and the DOJ when an agency
is seeking an ex parte court order to obtain taxpayer information
from the Internal Revenue Service.
m. To debt collection contractors for collecting delinquent debts
as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
n. To a ``consumer reporting agency'' as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681 a(f)) and the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)), to obtaining
information during an investigation or audit.
o. To personnel responsible for Program Fraud Civil Remedies Act
litigation, the tribunal and defendant's counsel.
p. To a grand jury agent pursuant to a Federal or State grand
jury subpoena or to a prosecution request that records be introduced
to a grand jury.
q. To the public under the Freedom of Information Act (FOIA), 5
U.S.C. 552.
r. To the DOJ to obtain advice regarding FOIA disclosure
obligations.
s. To the Office of Management and Budget to obtain advice
regarding PA obligations.
t. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
u. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
v. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
w. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By name and cross-referenced to related IG Audit files.
Safeguards:
Sensitive reports are kept in locked filing cabinets, while
others are provided lesser levels of security as appropriate.
Retention and disposal:
Following final agency action as the result of an audit, records
are maintained in the respective field offices for five years and
then transferred to the FRC, which destroys them after 20 years.
Alphabetical indices are maintained on all investigations for an
indefinite period of time.
System manAGER(S) AND ADDRESS:
Assistant Inspector General for Auditing or designee. See
Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individuals, Agency personnel, third parties, the FBI and
other investigative Government agencies.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt
from the application of all provisions of section 552a except
sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7),
(9), (10), (11), and (i), to the extent that it consists of (A)
information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, confinement, release, and
parole and probation status; (B) information compiled for the purpose
of criminal investigation, including reports of informants and
investigators, and associated with an identifiable individual; or (C)
reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision. This system is exempted in order to
maintain the efficacy and integrity of the OIG's criminal law
enforcement function.
SBA 5
System name:
Business and Community Initiatives Resource Files--SBA 5.
System location:
Headquarters (HQ) and Field Offices. See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Users of Business and Community Initiatives training materials,
potential speakers, counselors, authors and reviewers.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Information relating to individuals: Biographical sketches,
correspondence, copies of travel vouchers and counseling reports,
files of accomplishments, publications, news releases and clippings.
Authority for maintenance of the system:
5 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To provide university coordinators with information about
potential speakers at management training sessions.
b. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By name.
Safeguards:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with Standard Operating Procedure 00 41 2 65:01,
65:02, 65:03, 65:04, 65:05, 65:07 and 65:09.
System manAGER(S) AND ADDRESS:
Field Office Director and PA Officer. See Appendix A.
Notification procedure:
An individual may submit a record inquiry either in person or in
writing to the Systems Managers for Field Office Records or PA
Officer for HQ Records.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Record subject, Agency employees, media, educators, universities,
professional and civic organizations.
SBA 6
System name:
Civil Rights Compliance Files--SBA 6.
System location:
Headquarters. See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
SBA recipients of Federal financial assistance and individuals
who have filed allegations of discrimination against SBA recipients
of Federal financial assistance or against Agency programs or program
offices based on disability.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Reviews, correspondence, supporting documents, interview
statements, program files, information developed in allegation/
complaint investigation.
Authority for maintenance of the system:
44 U.S.C. 3101, Civil Rights Compliance SOP 90 30 3 and 13 CFR
parts 112, 113, and 117.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
b. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
c. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
d. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By complainant's name, address and four digit fiscal year/order
in which received during that fiscal year (four digit number is keyed
to Complaint Log for that fiscal year).
Safeguards:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with National Archives and Records Administration
General Records Schedule 1.25.a and d(2).
System manAGER(S) AND ADDRESS:
Assistant Administrator for Equal Employment Opportunity and
Civil Rights Compliance (EEO/CRC). See Appendix A.
Notification procedure:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
SBA recipient of Federal financial assistance reviewed by EEO/CRC
personnel and complainants.
SBA 7
System name:
Combined Federal Campaign--SBA 7.
System location:
Headquarters (HQ) Office and Field Offices. See Appendix A.
Categories of individuals covered by the system:
SBA employees.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Information pertaining to SBA employees involved with the
campaign.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the public, the names and addresses of employees connected
with the drive are released.
b. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By name and/or Social Security Number.
Safeguards:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with National Archives and Records Administration
General Record Schedule 2.15.
System manAGER(S) AND ADDRESS:
HQ and Field Office Supervisors. See Appendix A.
Notification procedure:
An individual may submit a record inquiry either in person or in
writing to the Systems Managers or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Subject employee.
SBA 8
System name:
Correspondence and Inquiries--SBA 8.
System location:
Headquarters (HQ) and Field Offices. See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Individuals who have corresponded with the Agency.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Correspondence.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To oversee and maintain correspondence to the Agency.
b. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By name of correspondent.
Safeguards:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with Standard Operating Procedure 00 41 2 00:01.
System manAGER(S) AND ADDRESS:
PA Officer for HQ records and Field Managers for field records.
See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individual, Agency personnel, case files and
Congressional correspondence.
SBA 9
System name:
Cost Allocation Data System--9.
System location:
Office of the Chief Financial Officer (CFO), Headquarters.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
All SBA employees.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Individual information on all SBA employees, i.e., name, social
security number, office code, pay dates, survey results on the
percentage of time spent on administration of various SBA programs
and activities. Also, Agency-wide costs, i.e., rent, postage,
telecommunications, centralized printing, centralized training,
employees' relocation costs, credit report costs, performance
management appraisal system awards, contractors costs, Agency loan
count and SBA employment full time equivalent counts.
Authority for maintenance of the system:
44 U.S.C. 3101 (Records Management by Federal Agencies), Public
Law 101-576 (Chief Financial Officers Act) and Public Law 103-62
(Government Performance and Results Act).
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Agency cost contractor for use in the Agency's cost
accounting activity.
b. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
The electronic form is maintained in a database which is behind
the Agency's firewall.
Retrievability:
Employee's Social Security Number and first and last name
retrieve survey result.
Safeguards:
Access and use of the CADS are accomplished via the use of
restricted password. Access and use are limited to Project Leader and
Group members and only those other Agency employees whose official
duties require such access.
Retention and disposal:
In accordance with National Archives and Records Administration
General Records Retention Schedule 8.1, 8.5, 8.6, 8.7 and 8.8.
System manager(s) and address:
Chief Financial Officer, HQ. See Appendix A.
Notification procedure:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
SBA employees.
SBA 10
System name:
Employee Identification Card Files--SBA 10.
System location:
Office of Human Capital Management (Headquarters), Denver Human
Capital Management Operations Division and Disaster Area Offices
(DAO). See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
SBA employees.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Employee name and their identification card numbers.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
b. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
c. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
d. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By name or identification card number.
Safeguards:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with National Archives and Records Administration
General Records Retention Schedule 1.6.
System manager(s) and address:
Assistant Administrator/Human Capital Management (HQ) and DAO
Directors. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Subject employee, individuals and agency personnel records.
SBA 11
System name:
Entrepreneurial Development--Management Information System--SBA
11.
System location:
Headquarters.
Categories of individuals covered by the system:
Individuals using SBA's business counseling and assistance
services.
Categories of records in the system:
Individual and business information on SBA clients.
Authority for maintenance of the system:
Public Law 85-536, 15 U.S.C. 631 (Small Business Act), sec.
7(j)(1), (Business Counseling), 15 U.S.C. 648 sec. 21 (Small Business
Development Centers), 15 U.S.C. 656 sec. 29 (Women's Business
Centers), Public Law 106-50 (Veterans' Entrepreneurship and Small
Business Development Act of 1999), 44 U.S.C. 3101 (Records Management
by Federal Agencies) and Public Law 103-62 (Government Performance
and Results Act).
Routine uses of records mainTAINED BY THE SYSTEM, INCLUDING
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Agency service provider (resource partner) who
initially collected the individual's information.
b. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
c. To the Federal, state, local or foreign agency or organization
which investigates, prosecutes, or enforces violations, statutes,
rules, regulations, or orders issued when an agency identifies a
violation or potential violation of law, arising by general or
program statute, or by regulation, rule or order.
d. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Electronic form in secured database on a dedicated computer.
RETRIEVAL:
By SBA Customer Number and cross-referenced by individual or
business name.
Safeguards:
Access and use over the Internet with a restricted numerical
password. Access and use is limited to Federal officials with a need-
to-know and to designated resource partners. SBA resource partners
will have access only to those individuals that were collected by
that particular resource partner. Designated program managers in HQ
and district directors will have access to individual records only as
needed for program management.
Retention and disposal:
In accordance with EDMIS N1-309-03-06.
System manager(s) and address:
Associate Deputy Administrator for Entrepreneurial Development
and designee in Headquarters.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Office.
ACCESS PROCEDURES:
The Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individuals or businesses.
SBA 12
System name:
Equal Employment Opportunity Pre-Complaint Counseling--SBA 12.
System location:
Headquarters and Field Offices. See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Current/former SBA employees, members of a group (class
complaints) who have requested counseling regarding employment
discrimination.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Case files may include employee and interview statements. The
Equal Employment Opportunity (EEO) Counselor's Report becomes part of
the EEO Complaint case.
Authority for maintenance of the system:
29 CFR part 1611.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To report counseling activity to the Office of Equal
Employment Opportunity and Civil Rights Compliance (EEO/CRC).
b. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By employee name.
Safeguards:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification code.
Retention and disposal:
In accordance with National Archives and Records Administration
General Records Schedule 1.25.a.
System manager(s) and address:
Assistant Administrator for EEO&CRC and Field Office Systems
Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Employee requesting counseling, other employees, EEO Counselor,
personnel and employment records.
SBA 13
System name:
Equal Employment Opportunity Complaint Cases--SBA 13.
System location:
Headquarters (HQ). See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Current/former SBA employees and/or members of a class complaint
who have requested counseling regarding employment discrimination.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Complaint files, Equal Employment Opportunity (EEO) Counselor's
Report, information from investigations, notes, hearing report,
Hearing Examiner's recommendations and Agency action. Closed cases
are included.
Authority for maintenance of the system:
29 CFR part 1611.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To report to the Equal Employment Opportunity Commission
(EEOC).
b. To the EEOC when there is a hearing, these records will be
used in the case.
c. To the EEOC when a complaint is appealed, these records will
be used by the Office of Equal Employment Opportunity and Civil
Rights Compliance (EEO/CRC) in their decision making.
d. To the Office of General Counsel and the Department of Justice
(DOJ) when a complaint results in a suit in a Federal court, these
records will be referred and used to prepare and present the case in
court.
e. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
f. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
g. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
h. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By name of complainant.
Safeguards:
Access and use is limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with National Archives and Records Administration
General Records Schedule 1.25.a.
System manager(s) and address:
Assistant Administrator for EEO/CRC and Field Office Systems
Managers and the Office of the Inspector General (OIG). See Appendix
A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer. See Appendix A.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORY:
Complainant, witnesses, hearing transcript, personnel and
employment records, examiner's recommendations and agency
investigation.
Systems exempted from certain provisions of the act:
(1) Pursuant to 5 U.S.C. 552a(j)(2), records in this system of
records which belong to the OIG are exempt from the application of
all provisions of section 552a except sections (b), (c)(1) and (2),
(e)(4)(A) through (F),(e)(6), (7), (9), (10), (11), and (i), to the
extent that it consists of (A) information compiled for the purpose
of identifying individual criminal offenders and alleged offenders
and consisting only of identifying data and notations of arrests,
confinement, release, and parole and probation status; (B)
information compiled for the purpose of criminal investigation,
including reports of informants and investigators, and associated
with an identifiable individual; or (C) reports identifiable to an
individual compiled at any stage of the process of enforcement of the
criminal laws from arrest or indictment through release from
supervision. This system is exempted in order to maintain the
efficacy and integrity of the Office of the Inspector General's
criminal law enforcement function.
(2) Pursuant to 5 U.S.C. 552a(k)(2)and (k)(5), except as
otherwise provided therein, all OIG's investigatory material compiled
for law enforcement purposes for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, Federal contracts, or access to classified information
contained in this system of records is exempt from sections 3(c)(3),
(d), (e)(1), (e)(4)(G) through (I), and (f) of the PA, 5 U.S.C. 552a
(c)(3), (d), (e)(1), (e)(4)(G) through (I) and (f). This exemption is
necessary in order to protect the confidentiality of sources of
information and to maintain access to sources necessary in making
determinations of suitability for employment.
SBA 14
System name:
Freedom of Information and Privacy Acts Records--SBA 14.
System location:
Headquarters (HQ) and Field Offices. See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Persons who have submitted requests or appeals under either of
the Acts.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Files created for Freedom of Information/Privacy Acts (FOI/PA)
appeals and agency-wide database to track FOI/PA requests and
appeals.
Authority for maintenance of the system:
44 U.S.C. 3101, 15 U.S.C. 634(b)(6), 5 U.S.C. 552 and 5 U.S.C.
552a.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To review individual cases, keep logs and records, comply with
statutory time limitations and prepare mandated reports.
b. To the Federal, State, local or foreign agency or professional
organization, including SBA offices, which investigates prosecutes or
enforces violations, statutes, rules, regulations or orders issued
when the Agency identifies a violation or potential violation of law
whether arising by general or program statute, or by regulation, rule
or order.
c. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
d. To agency personnel responsible for bringing Program Civil
Remedies Act litigation to the tribunal hearing litigation or any
appeals and to counsel for the defendant party in any such
litigation.
e. To a grand jury agent pursuant to a Federal or State grand
jury subpoena or to a prosecution request that records be released
for introduction to a grand jury.
f. To a Federal agency which has the authority to subpoena other
Federal agencies records and has issued a valid subpoena.
g. To the public pursuant to the provisions of the FOIA, 5 U.S.C.
552.
h. To the Department of Justice (DOJ) in order to obtain that
department's advice regarding an agency's FOIA disclosure
obligations.
i. To the Office of Management and Budget to obtain that office's
advice regarding an agency's PA obligations.
j. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
k. To the DOJ when any of the following is a party to litigation
or has an interest in such litigation, and the use of such records by
the DOJ is deemed by the agency to be relevant and necessary to the
litigation, provided, however, that in each case, the agency
determines the disclosure of the records to the DOJ is a use of the
information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
l. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Locked file cabinets and electronic files.
RETRIEVAL:
By name or database number.
Safeguards:
Access and use limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
Retention is in accordance with National Archives and Records
Administration's General Records Schedule 14.
System manager(s) and address:
PA Officer for HQ records and Field Managers for field records.
See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager.
ACCESS PROCEDURES:
The Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Correspondence submitted directly to and replies from the SBA.
SBA 15
System name:
Grievances and Appeals--SBA 15.
System location:
Servicing Personnel Office and the Office of Hearings and Appeals
(OHA) where grievances or appeals have been filed. See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
SBA employees who have filed grievances or disputes under
applicable procedures or Personnel Practices Appeals Procedures.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Correspondence, supporting documents, hearing transcripts,
investigation appeal information and decisions.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101, Collective Bargaining
Agreements with Unions which represent SBA employees, SOP 37 71-1 and
13 CFR part 134.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Union pursuant to the grievance procedure.
b. To the Office of Personnel Management (OPM) or used in
reporting to the OPM on labor-management relations activity.
c. To a Hearing Examiner from the record of an individual in
response to another Agency's inquiry, pursuant to established
procedures.
d. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
e. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
f. To the Office of the Special Counsel for any purpose
consistent with their mission.
g. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
h. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
Name of filing employee.
Safeguards:
Access and use limited to persons whose official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
Retention is in accordance with Standard Operating Procedure 00
41 2 30:02.
System manager(s) and address:
Assistant Administrator for OHA, Chief Human Capital Officer and
Field Managers. See Appendix A.
Notification procedure:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Grievants, appellants, employees, Union, personnel and employment
records.
SBA 16
System name:
Investigative Files--SBA 16.
System location:
Office of the Inspector General (OIG), Investigations Division
and Federal Records Center (FRC). See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Persons against whom are made allegations that are within the
jurisdiction of the OIG to investigate; persons identified as making
such allegations; or persons cross-referenced in investigative file
or subsequent investigations. Applicants to, and participants in SBA
programs, their principals, representatives and resource partners;
contractors and parties to cooperative agreements and their
principals, representatives, and other interested parties;
governmental entities; SBA employees, members of the Advisory
Councils, Service Corps of Retired Executive volunteers in connection
with allegations of wrongdoing that are within the jurisdiction of
the OIG to investigate.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Material provide to, gathered or created by OIG in investigating,
or otherwise dealing with allegations that are within the
jurisdiction of the OIG to investigate, documentation of allegations,
consultations, decisions, interviews, records reviews, reports of
investigations, and various correspondence.
Authority for maintenance of the system:
5 U.S.C. App. 3 (The Inspector General Act of 1978), 15 U.S.C.
Chapters 14A and 14B and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising
by general or program statute, or by regulation, rule or order.
b. To a grand jury, court, magistrate or administrative tribunal,
including disclosures to opposing counsel in the course of such
proceedings or in settlement negotiations.
c. To other Federal agencies conducting background checks; only
to the extent the information is relevant to the requesting agencies'
function.
d. To any Federal, State, local, foreign or international agency,
in connection with such entity's assignment, hiring and retention of
an individual, issuance of a security clearance, reporting of an
investigation of an individual, letting of a contract or issuance of
a license, grant or other benefit, to the extent that the information
is relevant and necessary to such agency's decision on the matter.
e. To a domestic, foreign, or international government agency
maintaining civil, criminal, relevant enforcement or other pertinent
information, for the assignment hiring or retention of an individual,
the issuance of a security clearance, the letting of a contract, or
the issuance of a license, grant, or other benefit.
f. To Federal, State or local bar associations and other
professional regulatory or disciplinary bodies for use in
disciplinary proceedings and inquiries.
g. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
h. To the General Accounting Office (GAO) for periodic reviews of
SBA.
i. To the Office of Government Ethics for any purpose consistent
with their mission.
j. To the GAO, and to the General Services Administration's Board
of Contract Appeals in bid protest cases involving an agency
procurement.
k. To any Federal agency which has the authority to subpoena
otherFederal agencies records and has issued a valid subpoena.
l. To the Department of Treasury and the Department of Justice
(DOJ) when an agency is seeking an ex parte court order to obtain
taxpayer information from the Internal Revenue Service.
m. To debt collection contractors for collecting delinquent
debtsas authorized by the Debt Collection Act of 1982, 31 U.S.C.
3718.
n. To a ``consumer reporting agency'' as that term is defined in
the Fair Credit Reporting Act (15 U.S.C. 1681 a (f) and the Federal
Claims Collection Act of 1966 (31 U.S.C. 701(a)(3)), to obtain
information during an investigation or audit.
o. To agency personnel responsible for Program Civil Remedies Act
litigation, the tribunal and defendant's counsel.
p. To a grand jury agent pursuant either to a Federal or State
grand jury subpoena or to a prosecution request that records be
introduced to a grand jury.
q. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
r. To the DOJ when any of the following is a party to litigation
or has an interest in such litigation, and the use of such records by
the DOJ is deemed by the agency to be relevant and necessary to the
litigation, provided, however, that in each case, the agency
determines the disclosure of the records to the DOJ is a use of the
information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
s. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that iscompatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
File folders in filing cabinets and safes, and electronic files.
RETRIEVAL:
Indexed by name of the investigated individual and cross-
referenced to the number(s) of the investigative file(s) containing
related materials.
Safeguards:
All filing cabinets are locked. Access to and use limited to
those persons with official need to know; computers are protected by
password and user identification codes.
Retention and disposal:
In accordance with Standard Operating Procedure 00 41 2 Item Nos.
90:10 and 90:12. Cut off at the end of the calendar year. Transfer to
FRC 6 years after cutoff. Destroy 15 years after cutoff.
System manager(s) and address:
Assistant Inspector General for Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in writing or in person
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individual, Agency personnel, informants, the Federal
Bureau of Investigation and other investigative Government agencies.
Systems exempted from certain provisions of the act:
(1) Pursuant to 5 U.S.C. 552a(j)(2), records in this system of
records are exempt from the application of all provisions of section
552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F),
(e)(6), (7), (9), (10), (11), and (i), to the extent that it consists
of (A) information compiled for the purpose of identifying individual
criminal offenders and alleged offendersand consisting only of
identifying data and notations of arrests, confinement, release, and
parole and probation status;
(B) information compiled for the purpose of criminal
investigation, including reports of informants and investigators, and
associated with an identifiable individual; or (C) reports
identifiable to an individual compiled at any stage of the process of
enforcement of the criminal laws from arrest or indictment through
release from supervision. This system is exempted in order to
maintain the efficacy and integrity of the Office of the Inspector
General's criminal law enforcement function.
(2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all
investigatory material in the record compiled for law enforcement
purposes or for the purpose of determining suitability, eligibility,
or qualifications for Federal civilian employment, Federal contracts,
or access to classified information is exempt from the notification,
access, and contest requirements (under 5 U.S.C. 552a (c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f) of the Agency regulations.
This exemption is necessary in order to fulfillcommitments made to
protect the confidentiality of sources and to protect subjects of
investigations from frustrating the investigatory process.
SBA 17
System name:
Investigations Division Management Information System--SBA 17.
System location:
Office of the Inspector General (OIG), Investigations Division.
See Appendix A.
Categories of individuals COVERED IN THE SYSTEM INCLUDES:
Persons against whom are made allegations that are within the
OIG's jurisdiction to investigate, persons identified as making
allegations or persons who are cross-referenced to an investigative
file, principals, representatives of applicants, participants,
contractors, grantees, participants in cooperative agreements,
resource partners and their principals and representatives and other
interested parties participating in SBA programs, and members of
Advisory Councils and SCORE/ACE volunteers.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Material gathered or created during preparation for, conduct of
and follow-up on investigations conducted by OIG, the FBI and other
Federal, State, local, or foreign regulatory or law enforcement
agency. May include alphabetical indices of names and case numbers
and information about allegations, decisions, investigative
assignments and special techniques, and reports and results of
investigations and time spent by investigators.
Authority for maintenance of the system:
5 U.S.C. App. 3 (The Inspector General Act of 1978), 15 U.S.C.
Chapters 14A and 14B; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising
by general or program statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement
negotiations when presenting evidence.
c. To the General Accounting Office for periodic reviews of the
SBA.
d. To the Office of Government Ethics for any purpose consistent
with their mission.
e. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
f. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
g. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Self-contained system and computer disks.
RETRIEVAL:
Subjects' name, company name, case number, agent's name, Social
Security Number or agent's identification number.
Safeguards:
Access to and use of these records is limited to those persons
whose official duties require such access; computers are protected by
password and user identification codes.
Retention and disposal:
In accordance with Standard Operating Procedure 00 41 2 Items
90:10 and 90:12. Retained on computer disks indefinitely. Hard copies
are made monthly, retained for five years before being destroyed.
System manager(s) and address:
Assistant Inspector General for Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individual, Agency personnel, informants, the Federal
Bureau of Investigation and other investigative Government agencies.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory
material in the record compiled for law enforcement purposes or for
the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment, Federal contracts, or
access to classified requirements (under 5 U.S.C. 552a (c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f) of the Agency regulations.
This exemption is necessary in order to fulfill commitments made to
protect the confidentiality of sources and to protect subjects of
investigations from frustrating the investigatory process.
SBA 18
System name:
Legal Work Files on Personnel Cases--SBA 18.
System location:
Headquarters (HQ), Office of the Inspector General (OIG) and
Field Offices. See Appendix A.
Categories of individuals covered by the system:
SBA employees.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Opinions, advice, transcripts, witness statements, etc.
maintained by the Office of General Counsel (OGC) on personnel cases.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6).
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
b. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
c. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
d. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By employee name.
Safeguards:
Access to and use limited to those persons with official need to
know to know; computers are protected by password and user
identification codes.
Retention and disposal:
In accordance with Standard Operating Procedure 00 41 2 70:01,
70:07 and 70:11.
System manager(s) and address:
OGC and OIG. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or the PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Office of Human Capital Management and third party witnesses.
SBA 19
System name:
Litigation and Claims Files--SBA 19.
System location:
Headquarters (HQ), Field Offices, Disaster Area Offices (DAO) and
Disaster Home Loan Servicing Centers (DHLSC). See Appendix A for
addresses.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
All Disaster Home Loan recipients and individuals involved in
lawsuits or claims pertaining to SBA.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Records relating to recipients classified as ``in litigation''
and all individuals involved in claims by or against the Agency.
Wherever applicable: affidavits, briefs, pleadings, depositions and
interrogatories, loan status summaries with litigation progress,
opinions, copies of Department of Justice (DOJ) papers concerning
loan case litigation, summary foreclosures, chattel lien searches,
requests and responses under the Freedom of Information Act, loan
modifications, recipients' attorneys' names, amount of liability,
narrative report of actual and contingent liabilities and related
correspondence.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or organization
that investigates, prosecutes or enforces violations, statutes,
rules, regulations or orders issued when the agency identifies a
violation or potential violation of law arising by general or program
statute, or by regulation, rule or order.
b. To the Federal, State or local private credit agency
maintaining civil, criminal or other relevant information to
determine an applicant's suitability for a loan; this may be
requested individually or part of a computer match program.
c. To a request from a State or Federal agency in connection with
the issuance of a grant, loan or other benefit by that agency which
is relevant to their decision on the matter; this may be requested
individually or part of a computer match. SBA will provide
information to the Department of Housing and Urban Development (HUD)
to be maintained in a central repository where agencies can request
information on a case-by-case basis or as part of a computer match.
d. To another Federal agency, including Defense Manpower Data
Center, U.S. Postal Service and HUD, to conduct computer matching
programs to locate delinquent SBA borrowers who are receiving Federal
salaries or benefit payments.
e. To a consumer reporting agency.
f. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement
negotiations when presenting evidence.
g. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
h. To a grand jury agent pursuant either to a federal or state
grand jury subpoena or to a prosecution request that such record be
introduced to a grant jury.
i. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
j. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or here individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
k. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosures of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By recipient and claimant name.
Safeguards:
Access to and use limited to those persons with official need to
know to know; computers are protected by password and user
identification codes.
Retention and disposal:
In accordance with SOP 00 41 2 70:09 and 70:13.
System manager(s) and address:
DAO and DHLSC Directors and Office of General Counsel. See
Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
Retention and disposal:
In accordance with Standard Operating Procedure 00 41 2 Item Nos.
70:07, 70:08, 70:09, 70:10, 70:11, 70:13, 70:14 and 70:15, OGC NI-
309-88-1, OGC NI 309-99-1, OGC NI-309-88-1. In accordance with
National Archives and Records Administration General Records Schedule
14.11.
System manager(s) and address:
OGC and Field Office Systems Manager. See Appendix A.
SOURCE CATEGORIES:
Subject employee, Agency personnel, the public, the DOJ,
bankruptcy notices, court records, title companies, and Loan Case
Files.
SYSTEM EXEMPTED FROM certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), all investigatory
material in the record compiled for law enforcement purposes or for
the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment, Federal contracts, or
access to classified information is exempt from the notification,
access, and contest requirements (under 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f) of the Agency regulations.
This exemption is necessary in order for the Agency legal staff to
properly perform its functions.
SBA 20
System name:
Disaster Loan Case File--SBA 20.
System location:
Office of Disaster Assistance, DCMS Operations Center, Herndon,
Virginia. Data hosting by contractor off site in secure locations per
SBA Office of Chief Information Officer (``OCIO'') standards. SBA
Disaster Area Offices and SBA Loan Servicing Offices. See Appendix A
for SBA Disaster Area Office and Loan Servicing Office addresses.
Categories of individuals Covered By the System Includes:
Applicants and recipients of disaster home and business loans;
registrants for disaster assistance who are provided disaster home
and business loan applications.
Categories of Records in the System Includes:
Information relating to pre-application registrants, disaster
home and business loan applicants and recipients of disaster home and
business loans from the time of pre-application registration. These
records include:
Loan applications, supporting documents, personal history,
financial statements, credit information investigative reports,
appraisers' reports, waivers, loan record transfers, correspondence,
recommendations, authorizations, disbursement amount, term and rate,
payment history, collateral, UCC filings and re-filings, collection
and liquidation activities, financial statements, settlements and
compromises, participating bank information, field visit reports,
borrowers insurance information and loan accounting information.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the Purposes of Such Uses, These Records May
Be Used, Disclosed or Referred:
f. To provide data to the Government Accountability Office
(``GAO'') for periodic reviews of SBA.
g. In response, to a request from a State or Federal agency in
connection with the issuance of a grant, loan or other benefit by
that agency which is relevant to their decision on the matter; this
may be requested individually or as part of a computer match.
h. To other Federal agencies to conduct computer matching
programs to locate delinquent SBA borrowers who are receiving Federal
salaries or benefit payments and programs to identify delinquent SBA
borrowers receiving federal salaries or benefit payments. Disclosure
will be made if the records indicate the loan is in default, at least
30 days past due or to update a previous disclosure. SBA will make
the disclosures to obtain repayments of debts under the provisions of
the Debt Collection Act of 1982 by voluntary repayment, or by
administrative or salary offset procedures.
p. To transmit data to U.S. Department of the Treasury to effect
issuance of loan funds to borrowers.
q. To the Federal Emergency Management Agency (``FEMA'') to
coordinate the issuance of federal disaster assistance to disaster
victims and monitor for duplication.
r. To the public under the Freedom of Information Act (``FOIA''),
5 U.S.C. 552.
Policies and practices for storing, retrieving, accessing,
Retaining and Disposing of Records:
Retrieval:
By applicant/recipient name, cross-referenced loan number or
borrower's Social Security Number or Employer Identification Number.
Safeguards:
Access and use limited to persons with official need to know to
know; electronic data access is protected by password and user
identification codes.
Retention and disposal:
In accordance with Standard Operating Procedure 00 41 2, Appendix
18.
System manager(s) and address:
Disaster Area Office Directors. See Appendix A.
Director, DCMS Operations Center, 1175 Herndon Parkway, Herndon,
VA 20170.
Contesting Procedures:
Notify the officials listed above, state the reason(s) for
contesting it and the proposed amendment sought.
Source Categories:
Subject, individuals, Agency employees, financial institutions,
commercial credit reporting agencies, law enforcement agencies,
Internal Revenue Service and Federal Emergency Management Agency. .
SBA 21
System name:
Loan System--SBA 21.
System location:
Headquarters (HQ), Regional Offices, District Offices, Branch
Offices, Processing Centers, and Servicing Centers. See Appendix A.
Categories of individuals covered by the system:
Individuals (i.e., borrowers, guarantors, principals of
businesses named in loan records), throughout the life of SBA's
interest in a loan, under all of the Agency's business (non-disaster)
loan programs.
Categories of records in the system:
Personal and commercial information (i.e., credit history,
financial information, identifying number or other personal
identifier ) on individuals named in business loan files, throughout
the life of SBA's interest in the loan, under all of the Agency's
business (non-disaster) loan programs.
Authority for maintenance of the system:
Public Law 85-536, 15 U.S.C. 631 et seq. (Small Business Act, all
provisions relating to loan programs); 44 U.S.C. 3101 (Records
Management by Federal Agencies); and Public Law 103-62 (Government
Performance and Results Act).
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED, OR REFERRED:
a. To the SBA Resource Partner, its successors or assigns, (i.e.,
participating lender, certified development company, micro lender)
who initially collected the individual's information for the purpose
of making and servicing loans.
b. To a Congressional office from an individual's record when the
office is inquiring on the individual's behalf. The Member's access
rights are no greater than the individual's.
c. To the Federal, state, local or foreign agency or organization
which investigates, prosecutes, or enforces violations, statues,
rules, regulations, or orders issued when an agency identifies a
violation or potential violation of law, arising by general or
program statute, or by regulation, rule, or order.
d. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
e. To qualified investors who have signed a confidentiality
agreement related to review of files for the purpose of evaluating,
negotiating and implementing the purchase of loans from the Agency as
a part of the Agency's Asset Sales program.
f. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
g. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
h. To request information from a Federal, State, local agency or
a private credit agency maintaining civil, criminal or other
information relevant to determining an applicant's suitability for a
business loan. This applies to individuals involved in business
loans.
i. To a recipient who has provided the agency with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable.
j. To 7(a) and 504 lenders and/or participating contractors for
purposes of the Loan and Lender Monitoring System (L/LMS).
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Electronic Records are in a secured server and paper records are
in files. Loan files are in a secured area in either locked files or
locked file rooms.
Retrievability:
Electronic Records: By individual name, personal identifier, SBA
Identifier, Participating Lender Identifier, Participating Lender
Name, business name, and business identifier.
Paper Records: By individual name, personal identifier and SBA Identifier.
Safeguards:
Electronic Records: Access and use is limited to Agency officials
acting in their official capacities, with a need-to-know, and to SBA
Resource Partners. Access and use by SBA Resource Partners will
generally be via the Internet, with restricted password(s)/
passcode(s). SBA Resource Partners, their successors or assigns, will
have access only to those individual records that were collected by
that particular partner.
Information contained in files will be available only to
potential asset sale purchasers who have executed a confidentiality
agreement. Only SBA employees in the performance of their official
duties, who are granted access to the records by Agency issuance of
User ID and/or passcode, may amend or review the records.
Paper Records: Access and use is limited to Agency officials
acting in their official capacities, with a need-to-know. SBA
Resource Partners, their successors or assigns, will have access only
to those individual records that were collected by that particular
partner. Information contained in loan files will be available only
to potential asset sale purchasers who have executed a
confidentiality agreement. Only those SBA employees in the
performance of their official duties may amend or review the records.
Retention and disposal:
In accordance with SBA Standard Operating Procedure 00 41 2, Item
Nos. 50:04, 50:08, 50:09, 50:10, 50:11, 50:12, 50:13, 50:19, 50:22,
55:02. Records are retained for the life of SBA's interest in the
business loan and are disposed of according to the reference in the
SOP that pertains to a particular type of record; retention period
varies according to the type of record.
System manAGERS AND ADDRESSES:
Associate Administrator for Capital Access, Associate
Administrator for Lender Oversight, Associate Administrator for
Financial Assistance, Regional Administrators, District Directors,
Branch Managers, Loan Service Center Director and Loan Processing
Centers Directors. See Appendix A.
Notification procedure:
An individual may submit a written record inquiry to the
appropriate Systems Manager or PA Officer.
RECORDS ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
Contesting record procedures:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought.
Record source categories:
Subject individuals and businesses, financial institutions,
credit reporting agencies, law enforcement agencies and SBA resource
partners.
SBA 22
System name:
Outside Employment Files--SBA 22.
System location:
Headquarters (HQ) and Field Offices. See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
SBA employees who have requested permission for outside
employment.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Correspondence concerning requests for outside employment.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To a Congressional office from an individual's record, when
office is inquiring on the individual's behalf; the Member's access
rights are no greater than the individual's.
b. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
c. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
d. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By employee name.
Safeguards:
Access and use limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with Standard Operating Procedure 00 41 2 Item 2
30.01.
System manager(s) and address:
HQ and Field Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Requesting employee and other Agency personnel.
SBA 23
System name:
Payroll Files--SBA 23.
System location:
Office of Human Capital Management, Headquarters (HQ). See
Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Active and inactive SBA employees.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Employee name, Social Security Number (SSN), date of birth,
grade, step, and salary; organization, retirement and FICA codes and
date as applicable; Federal, State and local tax deductions; savings
bond and charity deductions; co-owner and/or beneficiary of bonds,
insurance deduction and plan or code; cash award data; union dues
deductions; type and amount of allotments; financial institution code
and account number; status and data on all types of leave; time and
attendance records, including breakdown of hours worked; mailing
address; marital status and number of dependents; notification of
Personnel Actions; unemployment records; register of separations;
annual leave restoration; over-payment indebtedness; correspondence
from employees concerning payroll.
Authority for maintenance of the system:
Title 6 General Accounting Office (GAO) Policy and Procedures
Manual, 31 U.S.C. 285, sections 112(a) and 113 of the Budget and
Accounting Procedures Act of 1950 and 5 U.S.C. Chapters 55 through
63.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising
by general or program statute, or by regulation, rule or order.
b. To transmit data to U.S. Department of Treasury to effect
issuance of paychecks to employees and distribution of pay according
to employee directions for savings bonds, allotments, financial
institutions, and other authorized purposes.
c. To the GAO for audit purposes.
d. To Internal Revenue Service and appropriate State and local
authorities when reporting tax withholding; FICA deductions to the
Social Security Administration; dues deductions to labor unions;
withholdings for health insurance to insurance carriers and the
Office of Personnel Management; charity contribution deductions to
agents of charitable institutions; annual W-2 statements to taxing
authorities and the individual.
e. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
f. To the Office of Child Support Enforcement, Administration for
Children and Families, Department of Health and Human Services to
locate individuals in order to establish paternity and modify orders
of child support, identify sources of income, and other child support
enforcement actions as required by the Personal Responsibility and
Work Opportunity Reconciliation Act (Welfare Reform law, Pub. L. 104-
193), SBA will provide the names, SSN, home addresses, dates of birth
and hire, quarterly earnings, employer identifying information, and
State of hire of employees.
g. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
h. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
i. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By employee name and/or SSN.
Safeguards:
Physical, technical and administrative security is maintained and
admission to record storage areas limited to authorized personnel.
Retention and disposal:
In accordance with National Archives and Records Administration
General Record Schedule 2.
System manager(s) and address:
Chief Human Capital Officer, Headquarters. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer. See Appendix A.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
Subject employee, individuals, supervisors, timekeepers, official
personnel records, and IRS.
SBA 24
System name:
Personnel Security Files--SBA 24.
System location:
Office of Inspector General (OIG), Investigations Division,
Office of Security Operations (OSO). See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Active and inactive SBA employees.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Active and inactive personnel security files, employee or former
employee's name, background information, personnel actions, Office of
Personnel Management (OPM) and/or authorized contracting firm
background investigations.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101, Executive Order 10450.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising
by general or program statute, or by regulation, rule or order.
b. To other Federal Agencies, upon request, that are conducting
background checks.
c. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement
negotiations when presenting evidence.
d. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
e. To the Office of Personnel Management in accordance with that
agency's authority to evaluate Federal personnel management.
f. To the Merit Systems Protection Board in connection with its
consideration of appeals of personnel actions.
g. To physicians conducting fitness for duty examinations.
h. To any Federal, State, local, foreign or international agency,
in connection with their assignment, hiring or retention of an
individual, issuance of a security clearance, reporting of an
investigation of an individual, letting of a contract or issuance of
a license, grant or other benefit, to the extent the information is
relevant to their decision on the matter.
i. To a grand jury agent pursuant either to a Federal or State
grand jury subpoena or to a prosecution request that record be
released for introduction to a grand jury.
j. To the Office of Government Ethics for any purpose consistent
with their mission.
k. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
l. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
m. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Rotary diebold power files and electronic data systems. OPM
National Agency checks that are not immediately referred to OPM are
maintained in locked safes.
RETRIEVAL:
By employee name.
Safeguards:
All file cabinets are locked. Access and use limited to persons
with official need to know; computers are protected by password and
user identification codes.
Retention and disposal:
Upon separation of an employee from SBA, OIG/OSO destroys all
non-derogatory information, derogatory information is retained by
OIG/OSO and transferred to Federal Records Centers (FRC) five years
after cutoff (date of separation). After 15 years, FRC destroys the
files.
System manager(s) and address:
Assistant Inspector General for Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Inspector General or designee.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting and the proposed amendment sought.
SOURCE CATEGORIES:
SBA employees, Office of Human Capital Management, witnesses and
OPM.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(5), all investigatory material in
the record compiled for law enforcement purposes or for the purpose
of determining suitability, eligibility, or qualifications for
Federal civilian employment, Federal contracts, or access to
classified information is exempt from the notification, access and
contest requirements (under 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (H), and (I) and (f) of the Agency regulations. This
exemption is necessary in order to fulfill commitments made to
protect the confidentiality of sources and to maintain access to
sources necessary in making determinations of suitability for
employment.
SBA 25
System name:
Portfolio Reviews--SBA 25.
System location:
Headquarters (HQ), Disaster Area Offices (DAO) and Disaster Home
Loan Service Centers (DHLSC). See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Recipients of SBA Disaster Home Loans.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Reports compiled by the Office of Portfolio Review during review
of field office loan processing. Disaster Home Loans may be included.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the General Accounting Office in the course their review of
the Agency.
b. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
c. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By borrower's name, loan number and Social Security Number.
Safeguards:
Access and use limited to persons with official need to know to
know; personnel screening and computer passwords used to prevent
unauthorized disclosure.
Retention and disposal:
In accordance with SOP 00 41 2 Item Nos. 95:04 and 95:06.
System manager(s) and address:
DAO and DHLSC Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Office of Portfolio Review, Loan Case Files, SBA personnel and
field visits to borrowers.
SBA 26
System name:
Power of Attorney Files--SBA 26.
System location:
Field Offices. See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Insurance agents who have the authority to execute a surety bond.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Records that identify individuals authorized to execute bonds for
surety companies.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6) and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
b. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
c. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
d. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By agent and broker name.
Safeguards:
Access and use limited to persons with an official need to know;
personnel screening and computer passwords used to prevent
unauthorized disclosure.
Retention and disposal:
In accordance with SOP 00 41 2 Item No. 50:21.
System manAGER(S) AND ADDRESSES:
Field Office Systems Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a records inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Authorizing surety company.
SBA 27
System name:
Security and Investigations Files--SBA 27.
System location:
Office of the Inspector General (OIG), Investigations Division,
Headquarters duty stations in the field and Federal Record Center
(FRC). See Appendix for SBA addresses.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Active SBA employees that are subjects of investigations
involving alleged administrative violations or irregularities that
may warrant administrative disciplinary action. Inactive SBA
employees that are subject of Workers' Compensation Investigations.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Material gathered or created during preparation for, conduct of
and follow-up on investigations conducted by OIG, the Federal Bureau
of Investigation (FBI) and other Federal, State, local or foreign
regulatory or law enforcement agencies as well as other material
submitted to or gathered by OIG in furtherance of its investigative
function. These records include FBI and other Federal, State, local
and foreign regulatory or law enforcement investigative reports,
personal history statements, background character checks, field
investigations, arrest and conviction records, parole and probation
data, recommendations and related correspondence.
Authority for maintenance of the system:
5 U.S.C. App. 3 (The Inspector General Act of 1978), 15 U.S.C.
Chapters 14A and 14B; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising
by general or program statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement
negotiations when presenting evidence.
c. To any private or governmental source or person to secure
information relevant to an investigation or audit.
d. To other Federal conducting background checks, to the extent
the information is relevant to their function.
e. To any Federal, State, local, foreign, international, private
agency or organization for the hiring or retention of an individual,
issuance of a security clearance, reporting of an investigation of an
individual, letting of a contract or issuance of a license, grant or
other benefit, to the extent the information is relevant to their
decision on the matter.
f. To Federal, State or local bar associations and other
professional regulatory or disciplinary bodies for use in
disciplinary proceedings and inquiries.
g. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
h. To the General Accounting Office (GAO) for periodic reviews of
this SBA.
i. To the Office of Government Ethics for any purpose consistent
with their mission.
j. To the GAO and to the General Service Administration's Board
of Contract Appeals in bid protest cases involving an agency
procurement.
k. To any Federal agency which has the authority to subpoena
other Federal agencies records and has issued a valid subpoena.
l. To the Department of the Treasury and the Department of
Justice (DOJ) when an agency is seeking an ex parte court order to
obtain taxpayer information from the Internal Revenue Service.
m. To debt collection contractors collecting delinquent
authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
n. To a ``consumer reporting agency'' as that term is defined in
the Fair Credit Reporting Act (15 U.S.C. 1681 a(f)) and the Federal
Claims Collection Act of 1966 (31 U.S.C. 701(a)(3)), to obtain
information during an investigation or audit.
o. To agency personnel responsible for Program Civil Remedies Act
litigation, the tribunal and defendant's counsel.
p. To a grand jury agent pursuant to a Federal or State grand
jury subpoena or to a prosecution request that records be introduced
to a grand jury.
q. To the public under the Freedom of Information Act (FOIA), 5
U.S.C. 552.
r. To the DOJ to obtain advice regarding FOIA disclosure
obligations.
s. To the Office of Management and Budget to obtain that advice
regarding PA obligations.
t. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
u. To the DOJ when any of the following is a party to litigation
or has an interest in such litigation, and the use of such records by
the DOJ is deemed by the agency to be relevant and necessary to the
litigation, provided, however, that in each case, the agency
determines the disclosure of the records to the DOJ is a use of the
information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
v. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for storing, retrieving, accessing,
RETAINING AND DISPOSING OF RECORDS:
Storage:
Rotary diebold power files, file cabinets and electronic systems.
RETRIEVAL:
By name and referenced to the number of the IG file(s) containing
related material.
Safeguards:
Records are stored in locked filing cabinets or in filing
cabinets located in locked rooms. Access and use limited to persons
with official need to know; computers are protected by password and
user identification codes.
Retention and disposal:
In accordance with Standard Operating Procedure 00 41 2 Item No.s
90:10 and 90:12. Cut off on separation of employee. OIG destroys
records of a non-adverse nature. Records containing adverse
information are retained by OIG and transferred to FRC five years
after cutoff. Destroy 15 years after cutoff.
System manager(s) and address:
Assistant Inspector General for Investigations or designee. See
Appendix A.
Notification procedure:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer. See Appendix A.
ACCESS PROCEDURES:
IG or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Subject individual, Agency personnel, informants, the FBI and
investigative Government agencies.
Systems exempted from certain provisions of the act:
(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is
exempt from the application of all provisions of section 552a except
sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7),
(9), (10), (11), and (i), to the extent that it consists of (A)
information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, confinement, release, and
parole and probation status; (B) information compiled for the purpose
of criminal investigation, including reports of informants and
investigators, and associated with an identifiable individual; or (C)
reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision. This system is exempted in order to
maintain the efficacy and integrity of the OIG's criminal law
enforcement function.
(2) Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), except as
otherwise provided therein, all investigatory material compiled for
law enforcement purposes or for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, Federal contracts, or access to classified information
contained in this system of records is exempt from sections 3(c)(3),
(d), (e)(1), (e)(4)(G) through (I), and (f) of the PA. 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G) through (I) and (f). This
exemption is necessary in order to protect the confidentiality of
sources of information and to maintain access to sources necessary in
making determinations of suitability for employment.
SBA 28
System name:
Small Business Person and Advocate Awards--SBA 28.
System location:
Headquarters (HQ) and Field Offices. See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Candidates and winners of the Small Business Person of the Year
Awards, Advocate Awards, Minority Small Business Person and Phoenix
Award.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Information regarding the candidacy and selection of Small
Business Person of the Year, Minority Small Business Person and
Advocate of the Year in field offices, applications, biographical
summaries, correspondence, recommendations and narratives. The record
of Community Development Awards in HQ includes biographical and
qualifying information as well as recommendations from field offices.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the news media for public disclosure of the name, address,
and biography of award recipients.
b. To communicate with State and local governments about the
status of a particular candidate.
c. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
d. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS, RETENTION AND DISPOSAL OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By individual name.
Safeguards:
Access and use limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with National Archives and Records Administration
General Records Schedule 16.8.
System manager(s) and address:
Field Office Systems Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORY:
Subject individual, recommendations from individual sponsors,
Advisory Council members, Agency personnel, research publications,
directories and news media.
SBA 29
System name:
Standards of Conduct Files--SBA 29.
System location:
Headquarters (HQ), Office of the Inspector General and Field
Offices. See Appendix A.
Categories of individuals covered by the system:
SBA employees.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Confidential employment and financial statements of employees
Grade 13 and above, Grade 12 Branch Managers and other designated
individuals. Ad Hoc Committee decisions and memoranda concerning
standards of conduct questions used as precedent for later decisions
(HQ only). Correspondence concerning conflicts of interest. List of
all SBA employees who have been indicted or convicted in matters
involving SBA business.
Authority for maintenance of the system:
13 CFR 105 parts 101 and 401.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED OR REFERRED:
a. To the Federal, State, local or foreign agency or professional
organization which investigates, prosecutes or enforces violations,
statutes, rules, regulations or orders issued when the Agency
identifies a violation or potential violation of law whether arising
by general or program statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or administrative tribunal,
opposing counsel during such proceedings or in settlement
negotiations when presenting evidence.
c. To the Office of Personnel Management when requested.
d. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
e. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
f. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
g. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS, RETENTION AND DISPOSAL OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By employee name and/or Social Security Number.
Safeguards:
Access strictly limited to those employees with an official need
to know; computers secured by passwords and user identification
codes.
Retention and disposal:
In accordance with National Archives and Records Administration
General Records Schedule 1.1.
System manager(s) and address:
Systems Managers. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Confidential statement of employment and financial interests by
the employee. Any adverse information could come from other employees
or from a member of the general public with specific knowledge of the
matter reported.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(5), all investigatory material in
the record compiled for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment,
Federal contracts, or access to classified information is exempt from
the notification, access, and contest requirements (under 5 U.S.C.
552a (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the
Agency regulations. This exemption is necessary in order to fulfill
communications made to protect the confidentiality of sources and
maintain access to sources necessary in making determinations of
suitability.
SBA 30
System name:
Servicing and Contracts System/Minority Enterprise Development
Headquarters Reporitory--SBA 30.
System location:
SBA Headquarters and all SBA district offices. See Appendix A.
Categories of individuals COVERED BY THE SYSTEM INCLUDE:
Applicants and program participants in SBA's 8(a) Business
Development program (8(a).
Categories OF RECORDS IN THE SYSTEM INCLUDE:
8(a) Business Development program applications, business
development working files, business plan files and contract files
containing personal and financial information.
Authority for maintenance of the system:
Public Law 100-656, Small Business Act 15 U.S.C. 636, section (j)
(Technical and Management Assistance); Public Law 100-656, 15 U.S.C.
637, section 8(a) (Business Development).
PURPOSE:
To collect confidential business and financial information used
to determine if applicants and current 8(a) participants are in
compliance with statutory and regulatory requirements for continued
eligibility for program participation. This information facilitates
the Agency in carrying out the functions of the Office of 8(a)
Business Development.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED, OR REFERRED:
a. To a Congressional office, when the office is inquiring on the
individual's behalf; the Member's access rights are no greater than
the individual's.
b. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
c. To the Federal, state, local or foreign agency or professional
organization which investigates, prosecutes, or enforces violation or
potential violation of law, arising by general or program statute, or
by regulation, rule, or order.
d. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for STORAGE, RETRIEVAL, ACCESS, RETENTION
AND DISPOSAL OF RECORDS:
Storage:
Electronic database records reside on the SBA secured mainframe
system.
RETRIEVAL:
Name of individual and business name.
Safeguards:
Access and use is limited to persons whose official duties
designate such a need; personnel screening by password is used to
prevent unauthorized disclosure.
Retention and disposal:
In accordance with SACS/MEDHR NI-309-03-4.
System manager(s) and address:
PA Officer, Associate Administrator for 8(a) Business Development
and the Field Office Systems Manager. See Appendix A.
NOTIFICATION PROCEDURES:
An individual, who is inquiring whether the System of Records
contain information about him or her, may submit a record inquiry
either in person or in writing to the PA Officer, Associate
Administrator for 8(a) Business Development or, Field Office Systems
Manager.
ACCESS PROCEDURES:
PA Officer or Field Office Systems Manager will determine
procedures.
CONTESTING PROCEDURES:
Individuals seeking to contest or amend information contained in
this system of records should contact the system manager listed
above, state the reason(s) for contesting the record and the proposed
amendment sought.
Record source categories:
Small business concerns who have applied to or are participants
in the 8(a) Business Development program.
SBA 31
System name:
Temporary Disaster Employees--SBA 31.
System location:
Office of Disaster Assistance (ODA): HQ and Field locations. See
Appendix A.
Categories of individuals covered by the system:
Employees who have been temporarily employed by the ODA.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Name, address, telephone number, Social Security Number (SSN),
Disaster Area, job series, grade and title, dates of employment,
reason for termination, supervisor's name and job and summary of
supervisor's evaluation. Possible violations of the Agency's
Standards of Conduct (13 CFR Part 105) and information, if any,
concerning official investigations and disciplinary actions taken.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED, OR REFERRED:
a. To verify previous employment with SBA when a former employee
is considered for reemployment.
b. To locate current or former employees with special skills or
language capabilities needed in specific situations.
c. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
d. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS, RETENTION AND DISPOSAL OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By name and/or SSN.
Safeguards:
Access and use limited to persons with official need to know;
computers are protected by password and user identification codes.
Retention and disposal:
In accordance with National Records and Archives Administration
General Records Schedule 1.10.
System manager(s) and address:
Assistant Administrator for Disaster Assistance. See Appendix A.
Notification procedure:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Disaster Area Offices.
SBA 32
System name:
Tort Claims--SBA 32.
System location:
Headquarters (HQ), Field Offices, Disaster Area Offices (DAO) and
Federal Records Center (FRC). See Appendix A for SBA addresses.
Categories of individuals COVERED BY THE SYSTEM INCLUDES:
Government employees and other individuals involved in accidents.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Contains reports on accidents which result in tort claims
involving the Government.
Authority for maintenance of the system:
44 U.S.C. 3101, 42 U.S.C. 3211.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED, OR REFERRED:
a. To the Department of Justice (DOJ) for handling of the suit
and the preparation and presentation of the case in the event that a
tort claim results in a court suit.
b. To the General Services Administration for reporting on
accidents and tort claims.
c. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
d. To a rental car company responsible for personal injuries and
property damage.
e. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
f. To the DOJ when any of the following is a party to litigation
or has an interest in such litigation, and the use of such records by
the DOJ is deemed by the agency to be relevant and necessary to the
litigation, provided, however, that in each case, the agency
determines the disclosure of the records to the DOJ is a use of the
information contained in the records that is compatible with the
purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
g. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS, RETENTION AND DISPOSAL OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
Name of involved individual.
Safeguards:
Locked cabinets. Access and use limited to persons with official
need to know; computers are protected by password and user
identification codes.
Retention and disposal:
In accordance with National Archives and Records Administration
General Records Schedule 6.10.
System manager(s) and address:
Field Office Systems Manager or DAO Director. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Individuals involved in accident, witnesses, investigation of the
accident.
SBA 33
System name:
Travel Files--SBA 33.
System location:
All SBA offices, Denver Financial Center, Denver and Federal
Records Center (FRC). See Appendix A.
Categories of individuals covered by the system:
SBA employees.
Categories OF RECORDS IN THE SYSTEM INCLUDES:
Employee travel vouchers.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the PURPOSES OF SUCH USES, THESE RECORDS MAY
BE USED, DISCLOSED, OR REFERRED:
a. To the General Accounting Office in the course of an audit of
the SBA.
b. To the appropriate Federal, State, local or foreign agency or
professional organization which has responsibility for investigating,
prosecuting or enforcing violations, statutes rules, regulations or
orders issued when the Agency identifies a violation or potential
violation of law arising by general or program statute, by
regulation, rule or order.
c. To a Congressional office from an individual's record, when
the office is inquiring on the individual's behalf; the Member's
access rights are no greater than the individual's.
d. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system of records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
e. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
f. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS, RETENTION AND DISPOSAL OF RECORDS:
Storage:
Paper and electronic files.
RETRIEVAL:
By employee name.
Safeguards:
Access and use limited to persons with official need to know;
computers are protected by passwords and user identification codes.
Retention and disposal:
Records are maintained according to National Archives and Records
Administration's General Record Schedule 6.1.a.
System manager(s) and address:
Chief Financial Officer. See Appendix A for address.
NOTIFICATION PROCEDURES:
An individual may submit a record inquiry in person or in writing
to the Systems Manager or PA Officer. See Appendix A.
ACCESS PROCEDURES:
System Manager or PA Officer will determine procedures.
CONTESTING PROCEDURES:
Notify the official listed above, state the reason(s) for
contesting it and the proposed amendment sought.
SOURCE CATEGORIES:
Employees Travel Vouchers.
SBA 035
System name: Combined Federal Campaign--SBA 035.
System location:
Central Office and Regional Offices. See appendix A for these
addresses.
Categories of individuals covered by the system:
SBA employees.
Categories of records in the system:
5 U.S.C. 301, 15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Names and addresses of those employees who are connected with the
planning and accomplishments of the fund-raising drive may be
released to the media.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders or binders, which are
usually stored in file cabinets.
Retrievability:
Records are indexed by name and/or Social Security Number.
Safeguards:
Records are used by authorized persons only, on a need to know
basis.
Retention and disposal:
These records are destroyed after one year.
System manager(s) and address:
Privacy Act Officer and Regional Directors. See appendix A for
addresses.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to him or her by addressing a request in person or
in writing to:
Privacy Act Officer for Central Office Records
Regional Director for Regional and District Office Records.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to him or her, the Privacy
Act Officer or the Regional Director will set forth the procedures
for gaining access to these records. If there is no record of the
individual, he or she will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the above paragraph, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Employee on whom the record is maintained.
SBA 040
System name: Congressional Inquiries and Correspondence--SBA
040.
System location:
Central Office. See appendix A for address.
Categories of individuals covered by the system:
Congressional Representatives who have inquired of, or
corresponded with the Agency.
Categories of records in the system:
This system of records contains correspondence which is filed by
a Congressional Representative's name.
Authority for maintenance of the system:
5 U.S.C. 301, 15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in the records may be used:
To organize any correspondence which the Agency may have with a
Congressional Representative.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders, magnetic tape,
index cards and may be in computer data files.
Retrievability:
These records are indexed by the Congressional Representative's
name.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure.
Retention and disposal:
These records are retained for no more than three years and then
disposed of.
System manager(s) and address:
Privacy Act Officer. See appendix A for address.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to the Privacy Act Officer. See appendix A for address.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer will set forth the procedures for gaining access to these
records. If there is no record of the individual, they will be so
advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Individual to whom record pertains, Agency personnel, case files,
Congressional correspondence.
SBA 045
System name: EEO Pre-Complaint Counseling--SBA 045.
System location:
Central Office and Regional Offices. See appendix A for
addresses.
Categories of individuals covered by the system:
SBA employees who have requested counseling regarding
discrimination in employment.
Categories of records in the system:
File on each counseling case, compiled by Equal Employment
Opportunity Counselor in each office. File may include statements
made by the employee being counseled and other persons interviewed,
record of attempts to resolve the problem, and EEO Counselor's Report
becomes part of the EEO Complaint case.
Authority for maintenance of the system:
5 CFR part 713, 13 CFR 105.735-5-4.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used to report counseling activity to the
Office of Personnel Management, but such reports do not name the
individuals who received counseling.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Files are kept in file folders.
Retrievability:
Records are indexed by the name of the person requesting
counseling.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
utilized to prevent unauthorized disclosure.
Retention and disposal:
Some offices dispose of records after the problem is resolved.
Others retain the records for a period of years or indefinitely.
System manager(s) and address:
Privacy Act Officer and Regional Directors. See appendix A for
addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records
Regional Director for Regional Office Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer or Regional Director will set forth the procedures for
gaining access to these records. If there is no record of the
individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Person requesting counseling, other employees, EEO Counselor, and
Personnel and employment records.
SBA 050
System name: EEO Complaint Cases--SBA 050.
Categories of individuals covered by the system:
SBA employees who have filed a complaint regarding discrimination
in employment.
Categories of records in the system:
Files on each complaint case, compiled by the Office of Equal
Employment Opportunity. File may include statements made by the
complainant and other persons interviewed, EEO Counselor's Report,
other information developed in the investigation of a complaint,
notes of attempts to resolve the complaint, report of a hearing,
Hearing Examiner's Recommendations, and Agency action on the case.
Files also include closed cases.
Authority for maintenance of the system:
5 CFR part 713, 13 CFR 105.735-5-4.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used to report to the Office of Personnel
Management.
In the event that a complaint results in a hearing, records in
this system will be used in preparing and presenting the case before
a Complaints Examiner designated by the Office of Personnel
Management.
In the event that a complaint is appealed to the Office of
Personnel Management, these records will be used by the Appeals
Review Board in making a decision on the case.
In the event that a complaint results in a suit in a Federal
court, these records will be referred to the Department of Justice
and used by that Department to prepare and present the case in court.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or, adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or .
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Files are maintained in file folders.
Retrievability:
Records are indexed by the name of the person filing a complaint.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
used to prevent unauthorized disclosure.
Retention and disposal:
Records are kept indefinitely.
System manager(s) and address:
Privacy Act Officer. See appendix A for address.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to the Privacy Act Officer, at the address listed in appendix
A.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer will set forth the procedures for gaining access to these
records. If there is no record of the individual, they will be
informed.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Complainant, witnesses, hearing transcript, complaints examiner's
recommendations, agency investigation, personnel and employment
records.
Systems exempted from certain provisions of the act:
(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is
exempt from the application of all provisions of section 552a except
sections (b), (c) (1) and (2), (e)(4) (A) through (F), (e) (6), (7),
(9), (10), (11), and (i) to the extent that it consists of (A)
information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, confinement, release, and
parole and probation status; (B) information compiled for the purpose
of criminal investigation, including reports of informants and
investigators, and associated with an identifiable individual; or (C)
reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision. This system is exempted in order to
maintain the efficacy and integrity of the Office of Inspector
General's criminal law enforcement function.
(2) Pursuant to 5 U.S.C. 552a (k)(2) and (k)(5), except as
otherwise provided therein, all investigatory material compiled for
law enforcement purposes for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment,
Federal contracts, or access to classified information contained in
this system of records is exempt from sections 3(c)(3), (d), (e)(1),
(e)(4) (G) through (I) and (f) of the Privacy Act. 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4) (G) through (I) and (f). This
exemption is necessary in order to protect the confidentiality of
sources of information and to maintain access to sources necessary in
making determinations of suitability for employment.
SBA 055
System name: Employee Identification Card Files--SBA 055.
System location:
Central Office, Regional Offices, District Offices and Branch
Offices. See appendix A for addresses.
Categories of individuals covered by the system:
SBA employees.
Categories of records in the system:
These files contain names of employees and the identification
card numbers issued to them.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Internal Agency use only.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are kept in file folders, card files or computer data
files.
Retrievability:
Records are indexed by employee name or identification card
number.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
utilized to prevent unauthorized disclosure.
Retention and disposal:
Records are retained indefinitely or until employee terminates
service with SBA.
System manager(s) and address:
Privacy Act Officer, Regional and District Directors and Branch
Managers. See appendix A for addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records
Regional Director for Regional Office Records
District Director for District Office Records
Branch Manager for Branch Office Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer, Regional Director, District Director or Branch Manager will
set forth the procedures for gaining access to these records. If
there is no record of the individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Individual on whom record is maintained, agency personnel
records.
SBA 060
System name: Grievances and Appeals--SBA 060.
System location:
Central Office, Office of Hearings and Appeals, Regional Offices
where grievances or personnel practices appeals have been filed. See
appendix A for addresses.
Categories of individuals covered by the system:
SBA employees who have filed grievances under Union grievances
procedures or Personnel Practices Appeals Procedures.
Categories of records in the system:
This system of records includes correspondence, supporting
documents, transcripts of hearings, information developed in
investigating a grievance or appeal, and other information related to
the processing of the grievance or appeal. These cases may be
processed under a Union grievance procedure, or procedures
established by the Agency in SOP 37 71-1 and 13 CFR part 134, to
ensure that merit principles and personnel laws and regulations are
carried out, where other procedures are not applicable.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101, Collective Bargaining Agreements
with Unions which represent SBA employees, SOP 37 71-1 and 13 CFR
101.2-8.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
Information in these records may be communicated to the Union
pursuant to the grievance procedure.
These records may be reviewed by the Office of Personnel
Management or used in reporting to the Office of Personnel Management
on labor-management relations activity.
Records may be disclosed to a Hearing Examiner from the record of
an individual in response to an inquiry from outside the Agency,
pursuant to established procedures.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed by name of the employee filing the grievance
or appeal.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure.
Retention and disposal:
Records are retained for seven years.
System manager(s) and address:
Privacy Act Officer, AA/OHA and Regional Directors. See appendix
A for addresses.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to him or her by addressing a request in person or
in writing to:
Privacy Act Officer and AA/OHA for Central Office Records
Regional Director for Field Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to him or her, the Privacy
Act Officer, AA/OHA or Regional Director will set forth the
procedures for gaining access to these records. If there is no record
of the individual, he or she will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the above paragraph, stating the reasons for the contesting it and
the proposed amendment to the information sought.
Record source categories:
Individual who files grievance or appeal, other employees, Union,
Personnel and employment records.
SBA 065
System name: Legal Work Files on Personnel Problems--SBA 065.
System location:
SBA Central Office. See appendix A for address.
Categories of individuals covered by the system:
SBA employees.
Categories of records in the system:
These work files include opinions, advice, transcripts, witness
statements, etc. maintained by the General Counsel's Office on
personnel cases.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6); 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
For internal agency use only.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records kept in file folders which are stored in file cabinets
and computer data files.
Retrievability:
Records are indexed by employee's name.
Safeguards:
Access limited to those employees in General Counsel's Office
involved in these cases.
Retention and disposal:
These work files are kept indefinitely.
System manager(s) and address:
Privacy Act Officer. See appendix A for address.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to: Privacy Act Officer for Central Office Records.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer or Regional Director will set forth the procedures for
gaining access to these records. If there is no record of the
individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Office of Personnel, third party witnesses.
SBA 070
System name: Litigation and Claims Files--SBA 070.
System location:
Central Office, District and Branch Office, and Federal Records
Centers. See appendix A for SBA addresses and appendix B for FRC
addresses.
Categories of individuals covered by the system:
All Disaster Home Loan recipients and other individuals who are
parties to lawsuits or claims involving the SBA.
Categories of records in the system:
This system of records contains information relating to
recipients who have been classified as ``in litigation'' and all
individuals involved in claims asserted by or against the Agency.
These records include wherever applicable: Affidavits, briefs,
pleadings, depositions and interrogatories, summaries of loan status
with entries of progress of litigation, opinions, copies of
Department of Justice papers concerning loan cases in litigation,
summary foreclosures, chattel lien searches, requests and answers
under disclosure of information, modifications of loan terms and
conditions, recipients' attorneys' names, amount of liability,
narrative report of actual and contingent liabilities and related
correspondence.
Authority for maintenance of the system:
5 U.S.C. 301, 15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in the records may be used:
In the event that a system of records maintained by this Agency
to carry out its function indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred as a routine use, to
the appropriate agency, whether Federal, State, local or foreign,
charged with the responsibility of investigation or prosecution or
such violation, or charged with enforcing or implementing the
statute, or rule, regulation or order issued pursuant thereto.
In the course of presenting evidence to a court, magistrate,
administrative tribunal, or grand jury including disclosures to
opposing counsel in the course or settlement negotiations.
These records may be disclosed, as a routine use, to a Member of
Congress who submits an inquiry on behalf of an individual when the
Member of Congress informs the appropriate agency official that the
individual to whom the record pertains has authorized the Member of
Congress to have access. In such cases, the member has no greater
right to the record than does the individual.
These records may be disclosed, as a routine use, to a grand jury
agent pursuant either to a Federal or State grand jury subpoena or to
a prosecution request that such record be released for the purpose of
its introduction to a grand jury.
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The SBA, or any component thereof, or
(b) Any employee of the SBA in his or her official capacity; or
(c) Any employee of the SBA in his or her official capacity where
the Department of Justice has agreed to represent the employee; or
(d) The United States, where the SBA determines that litigation
is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation,
and the use of such records by the Department of Justice is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The SBA, or any component thereof; or
(b) Any employee of the SBA in his or her official capacity; or
(c) Any employee of the SBA in his or her individual capacity
where the SBA has agreed to represent the employee; or
(d) The United States, where the SBA determines that litigation
is likely to affect the SBA or any of its components,
is a party to litigation or has an interest in such litigation,
and the agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
To request information from Federal, state or local agency or a
private credit agency maintaining civil, criminal or other
information relevant to determining an applicant's suitability for a
loan. Such information may be requested individually or as part of a
computer matching program.
To provide information to state and Federal agencies, in response
to their requests, in connection with the issuance of a grant, loan,
or other benefit by the requesting agency to the extent that the
information is relevant and necessary to the agency's decision on the
matter. Such information may be requested and provided on a case-by-
case basis or as part of a computer match. SBA will provide such
information to the Department of Housing and Urban Development to be
maintained in a central repository where agencies can request
information on a case-by-case basis or as part of a computer match.
To provide information to another Federal agency, including the
Defense Manpower Data Center of the Department of Defense, the US
Postal Service and the Department of Housing and Urban Development,
to conduct computer matching programs for the purpose of identifying
and locating delinquent SBA borrowers who are receiving Federal
salaries or Federal benefit payments.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders, binders, index
cards and computer data files.
Retrievability:
These records are indexed by the name of recipient and claimant.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure. All filing cabinets are
locked.
Retention and disposal:
Following final agency action, records are maintained in the
respective offices until they are transferred to the Federal Records
Center, which destroys them after 20 years. An alphabetical indices
is maintained on all investigations for an indefinite period of time.
System manager(s) and address:
Privacy Act Officer, District Director and Branch Manager. See
Appendix A for addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office
Records District Director for District Office Records
Branch Manager for Branch Office Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer, District Director or Branch Manager will set forth the
procedures for gaining access to these records. If there is no record
of the individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Individual to whom the record pertains, Agency personnel,
Department of Justice, interviews and correspondence with individuals
outside of the Agency, bankruptcy notices, court records, title
companies, and Loan Case Files.
System exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), all investigatory
material in the record compiled for law enforcement purposes or for
the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment, Federal contracts, or
access to classified information is exempt from the notification,
access, and contest requirements (under 5 U.S.C. 552a (c)(3), (d),
(e)(1), (e)(4) (G), (H), and (I), and (f) of the Agency regulations.
This exemption is necessary in order for the Agency legal staff to
properly perform its functions.
SBA 075
System name: Loan Case File--SBA 075.
System location:
Area Disaster Offices, District and Branch Offices and Loan
Servicing Centers (See appendix A for list of addresses) and HUD.
Categories of individuals covered by the system:
Applicants and recipients of disaster home loans.
Categories of records in the system:
This system of records contains information relating to an
individual who has applied for, or is receiving a disaster home loan
from the time of the individual's application until the date of
payment in full or charge-off is approved; or until the date of an
official denial if declined. These records include:
Loan applications and supporting documents
Personal history and financial statements
Credit information
Investigative reports
Appraisers' reports
Waivers
Loan Record Transfers
Correspondence and recommendations of responsible SBA official
including approval authorizations
Disbursement amount, term and rate
History of repayments
Collateral and UCC filings and refilings
Collection and liquidation activities
Related correspondence
Financial Statements
Settlements and compromises
Participating bank information
Field visit reports
Borrowers insurance information
Loan accounting information
Authority for maintenance of the system:
5 U.S.C. 301, 15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in the records may be used:
To provide information to the public on an approved loan. Such
information is limited to the name and address of the recipient, term
and rate of the loan, and the apportioned amount of the loan for real
or personal property loss.
To provide information, under certain conditions, to the general
public on losses incurred by the government due to non-payment of
obligations by individuals. In these cases, the name and address of
the borrower amount charged-off will not be released for public
information purposes unless the individual borrower consents to the
release, or the release is required by the Freedom of Information
Act, 5 U.S.C. 552.
In the event that a system of records maintained by this Agency
to carry out its function indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local or foreign,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
rule, regulation or order issued pursuant thereto.
To request information from a Federal, State or local agency or a
private credit agency maintaining civil, criminal or other
information relevant to determining an applicant's suitability for a
loan. Such information may be requested individually or as part of a
computer matching program.
To provide data to the General Accounting Office for periodic
reviews of this Agency.
To provide information or disclose to State and Federal agencies,
in response to their requests, in connection with the issuance of a
grant, loan, 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. Such information may be requested
and provided on a case-by-case basis or as part of a computer match.
SBA will provide such information to the Department of Housing and
Urban Development to be maintained in a central repository where
agencies can request information on a case-by-case basis or as part
of a computer match.
To provide the Internal Revenue Service, in response to its
request, with access to an individual's records for an official audit
to the extent that the information is relevant and necessary to the
IRS' function.
A record from this system 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 such proceedings or in settlement
negotiations.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
To provide information to another Federal agency, including the
Defense Manpower Data Center of the Department of Defense, the US
Postal Service and the Department of Housing and Urban Development,
to conduct computer matching programs for the purpose of identifying
and locating delinquent SBA borrowers who are receiving Federal
salaries or Federal benefit payments. Such disclosure will be made if
the system of records indicates that the loan is in default or at
least 30 days past due or to update a previous disclosure. SBA will
make the disclosures to obtain repayments of debts under the
provisions of the Debt Collection Act of 1982 by voluntary repayment,
or by administrative or salary offset procedures.
To provide information to a court or other adjudicative body, or
a local, state or Federal agency, when SBA determines that such
referral is appropriate for servicing or collecting the borrower's
loan. Such disclosure will only be made if the system of records
indicates that the loan is in default or is at least 30 days past due
or to update a previous disclosure. Disclosure will only be made if
such court or other adjudicative body, or a local, state or Federal
agency, has authority by contract, statute or regulation to determine
liability of the borrower, collect the loan, or offset the debt
against money which would otherwise be paid to the borrower.
To make disclosure to a consumer reporting agency.
Agency volunteers and interns in the course of their official
duties.
To provide information to potential investors who are interested
in bidding on loans made available by the Agency in a sale of assets.
Investors will be required to execute a confidentiality agreement
prior to reviewing any record of information.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders, binders, index
cards and computer data files.
Retrievability:
These records are indexed by applicant and recipient name as well
as a cross-referenced loan number.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure.
Retention and disposal:
Records on approved loans are retained for one year after the
loan is paid or charged-off and then forwarded to a Federal Records
Center where they are destroyed four years later. Records on
withdrawn, declined or cancelled applications are retained for two
years after notification of final action and are then destroyed.
Computer records may be permanently retained.
System manager(s) and address:
Area Disaster Office Managers, District Directors, Branch
Managers and Loan Service Center Directors (see Appendix A for
addresses).
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Area Disaster Manager for Field Records
Regional Director for Regional Office Records
District Director for District Office Records
Branch Manager for Branch Office Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to him or her, the Area
Disaster Manager, Regional Director, District Director or Branch
Manager will set forth the procedures for gaining access to these
records. If there is no record of the individual, he or she will be
so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Individual to whom the record pertains, Agency employees,
financial institution reports, law enforcement agencies, and Federal
Disaster Assistance Administration.
SBA 080
System name: Occupational Injuries--SBA 080.
System location:
Central and Regional Offices. See appendix A for address.
Categories of individuals covered by the system:
SBA employees who have been involved in an accident or injured on
the job.
Categories of records in the system:
Records include report forms on accidents and injuries, medical
reports, medical bills and other information pertinent to the
accident or injury.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101, 29 U.S.C. 651-78.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records in this system are used to report accidents and injuries
to the Department of Labor.
Records in the system may be used in processing claims for
compensation for on-the-job injuries, by the appropriate Agency or a
court.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are kept in file folders.
Retrievability:
Records are indexed by employee's name.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
used to prevent unauthorized disclosure.
Retention and disposal:
Files are retained indefinitely.
System manager(s) and address:
Privacy Act Officer and Regional Director. See appendix A for
addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records
Regional Director for Regional Office Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer or Regional Director will set forth the procedures for
gaining access to these records. If there is no record of the
individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Employees involved in accidents, witnesses, other Agency
personnel.
SBA 085
System name: Official Travel Files--SBA 085.
System location:
Central Office at address listed in appendix A. Federal Records
Centers, at addresses listed in appendix B.
Categories of individuals covered by the system:
SBA employees.
Categories of records in the system:
Files include Travel Vouchers submitted by each employee.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records are reviewed by the General Accounting Office in the
course of an audit of the Agency.
In the event that a system of records maintained by this Agency
to carry out its function indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulatory rule or order issued pursuant thereto, the relevant
records in the system or records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local or foreign,
charged with the responsibility of investigation or prosecution of
such violation, or charged with enforcing or implementing the
statute, rule, regulation or order issued pursuant thereto.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are kept in file folders and computer data files.
Retrievability:
Records are indexed by employee name.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
utilized to prevent unauthorized disclosure.
Retention and disposal:
Records are maintained for two years after the end of a fiscal
year, or until a GAO audit. Records are then transferred to a Federal
Records Center, where they will be disposed of 6 years and 3 months
after the end of the fiscal year in which the records were compiled.
System manager(s) and address:
Privacy Act Officer. See appendix A for address.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request to: Privacy Act
Officer for Central Office Records.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer will set forth the procedures for gaining access to these
records. If there is no record of the individual, they will be so
advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Travel Vouchers submitted by employees.
SBA 090
System name: Outside Employment Files--SBA 090.
System location:
Central Office and Regional Offices. See appendix A for
addresses.
Categories of individuals covered by the system:
SBA employees who have requested permission for outside
employment.
Categories of records in the system:
Records include requests for outside employment, correspondence
concerning such requests, for notification of Agency approval or
disapproval of outside employment.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Internal use only.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official, capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are kept in file folders and computer data files.
Retrievability:
Records are indexed by name of employee.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
used to prevent unauthorized disclosure.
Retention and disposal:
Records are retained indefinitely.
System manager(s) and address:
Privacy Act Officer and Regional Director. See appendix A for
addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records
Regional Director for Regional Office Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer or Regional Director will set forth the procedures for
gaining access to these records. If there is no record of the
individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Employee requesting approval of outside employment and other
Agency personnel.
SBA 095
System name: Payroll Files--SBA 095.
System location:
Central Office. See appendix A for address.
Categories of individuals covered by the system:
SBA employees, active and inactive.
Categories of records in the system:
Name, Social Security Number, employee number, grade, step, and
salary; organization, retirement or FICA date as applicable; Federal,
State and local tax deductions; savings bonds and charity deductions;
co-owner and/or beneficiary of bonds, insurance deduction and plan or
code; cash award data; union dues deductions; allotments, by type and
amount; financial institution code and employee account number; leave
status and leave data of all types; time and attendance records,
including number of regular, overtime, holiday, Sunday, and other
hours worked; mailing address; marital status and number of
dependents; notification of Personnel Actions; unemployment records;
register of separations; annual leave restoration; over-payment
indebtedness; correspondence from employees concerning payroll
problems.
Authority for maintenance of the system:
Title 6 GAO Policy and Procedures Manual, pursuant to 31 U.S.C.
66(a), and sections 112(a) and 113 of the Budget and Accounting
Procedures Act of 1950.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in this system of records may be used:
In the event that a system of records maintained by this Agency
to carry out its function indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule, or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State,
local, or foreign, charged with the responsibility of investigation
or prosecution of such violation or charged with enforcing or
implementing the statute or rule, regulation or order issued pursuant
thereto.
To transmit data to U.S. Treasury to effect issuance of paychecks
to employees and distribution of pay according to employee directions
for savings bonds, allotments, financial institutions, and other
authorized purposes.
By the General Accounting Office for audit purposes.
In reporting tax withholding to Internal Revenue Service and
appropriate State and local taxing authorities; FICA deductions to
the Social Security Administration; dues deductions to labor unions;
withholdings for health insurance to insurance carriers and the
Office of Personnel Management; charity contribution deductions to
agents of charitable institutions; annual W-2 statements to taxing
authorities and the individual.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual, machine-readable and computer data files.
Retrievability:
By name and/or employee or Social Security Number.
Safeguards:
Physical, technical and administrative security is maintained
with admission to records storage areas limited to authorized
personnel.
Retention and disposal:
Retained on site until after GAO audit, then disposed of, or
transferred to Federal Records Centers in accordance, with the fiscal
records program approved by GAO, as appropriate, or General Record
Schedules of GSA.
System manager(s) and address:
Privacy Act Officer. See appendix A for address.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to: Privacy Act Officer for Central Office Records.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer will set forth the procedures for gaining access to these
records. If there is no record of the individual, they will be so
advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Subject, individuals, supervisors, timekeepers, official
personnel records, and IRS.
SBA 100
System name: Personnel Security Files--SBA 100.
System location:
Operational Support and Security Division. See appendix A for
address.
Categories of individuals covered by the system:
Active and inactive SBA employees.
Categories of records in the system:
This system contains the active and inactive personnel security
files, which include the employee's or former employee's name,
background information, personnel actions and Office of Personnel
Management (OPM) full field investigations. Also included in this
system are the OPM's National Agency checks and the names of those
employees in sensitive positions requiring full field investigations.
Authority for maintenance of the system:
5 U.S.C. 301, 15 U.S.C. 634(b)(6), 44 U.S.C. 3101, Executive
Order 10450.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In the event that a system of records maintained by the SBA to
carry out its function indicates a violation or potential violation
of law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute or
regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local or foreign,
charged with the investigation or prosecution or such violations or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
Full field investigations and National Agency checks are returned
to the OPM when employee becomes inactive.
Records in the active and inactive personnel security files are
forwarded to other Federal agencies conducting background checks.
A record from this system of records may be disclosed, as a
routine use, in the course of presenting evidence to a court,
magistrate, grand jury or administrative tribunal, including
disclosures to opposing counsel in the course of such proceedings or
in settlement negotiations.
These records may be disclosed, as a routine use, to a Member of
Congress who submits an inquiry on behalf of an individual when the
Member of Congress informs the appropriate agency official that the
individual to whom the record pertains has authorized the Member of
Congress to have access. In such cases, the member has no greater
right to the record than does the individual.
Records may be disclosed to OPM in accordance with that agency's
authority to evaluate Federal personnel management.
Records may be disclosed to the Merit Systems Protection Board in
connection with its consideration of appeals of personnel actions.
Records may be disclosed to physicians conducting fitness for
duty examinations.
These records may be disclosed, as a routine use, to any federal,
state, local, foreign or international agency, in connection with
such entity's assignment, hiring or retention of an individual,
issuance of a security clearance, reporting of an investigation of an
individual, letting of a contract or issuance of a license, grant or
other benefit, to the extent that the information is relevant and
necessary to such agency's decision on the matter.
These records may be disclosed, as a routine use, to the Office
of Government Ethics for any purpose consistent with that office's
mission, including the compilation of statistical data.
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The SBA or any component thereof; or
(b) Any employee of the SBA in his or her official capacity or
(c) Any employee of the SBA in his or her official capacity where
the Department of Justice has agreed to represent the employee; or
(d) The United States, where the SBA determines that litigation
is likely to affect the SBA or any of its components,
is a party to litigation or has an interest in such litigation,
provided, however, that in each case, the agency determines that
disclosure of the records to the Department of Justice is a use of
the information contained in the records that is compatible with the
purpose for which the records were collected.
It shall be a routine use of records maintained by the agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear, when:
(a) The SBA, or any component thereof, or
(b) Any employee of the SBA in his or her official capacity; or
(c) Any employee of the SBA in his or her individual capacity
where the SBA has agreed to represent the employee; or
(d) The United States, where the SBA determines that litigation
is likely to affect the SBA or any of its components
is a party to litigation or has an interest in such litigation,
and the SBA determines that use of such records is relevant and
necessary to the litigation provided, however, that in each case, the
SBA determines that disclosure of the records to a court or other
adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
These records may be disclosed, as a routine use, to a grand jury
agent pursuant either to a federal or state grand jury subpoena or to
a prosecution request that such record be released for the purpose of
its introduction to a grand jury.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The active and inactive personnel security files are maintained
in rotary diebold power files, computer data files. OPM National
Agency checks are maintained in locked safes.
Retrievability:
Records are retrieved by employee's name.
Safeguards:
Personnel screening. Information released only to authorized
persons. All file cabinets are locked.
Retention and disposal:
OPM National Agency checks are kept until the employee leaves
government service and then returned to OPM. On the separation of an
employee from SBA, Operational Support and Security Division strips
the file and forwards the full field portion of an investigation to
OPM. Remaining information of a nonderogatory nature is destroyed,
while derogatory information is kept indefinitely.
System manager(s) and address:
Deputy Assistant Inspector General/Operational Support and
Security. See appendix A for address.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to The Inspector General.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Inspector
General will set forth the procedures for gaining access to these
records. If there is no record of the individual, they will be so
advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment.
Record source categories:
SBA employees, SBA Personnel Office, third party witnesses,
Office of Personnel Management.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(5), all investigatory material in
the record compiled for law enforcement purposes or for the purpose
of determining suitability, eligibility, or qualifications for
Federal civilian employment, Federal contracts, or access to
classified information is exempt from the notification, access and
contest requirements (under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)
(G), (H), and (I) and (f) of the Agency regulations. This exemption
is necessary in order to fulfill commitments made to protect the
confidentiality of sources and to maintain access to sources
necessary in making determinations of suitability for employment.
SBA 105
System name: Portfolio Reviews--SBA 105.
System location:
Central Office and Area Disaster Offices. See appendix A for
addresses.
Categories of individuals covered by the system:
Recipients of SBA Disaster Home Loans.
Categories of records in the system:
This system consists of reports compiled by the Office of
Portfolio Review in the course of reviewing field office handling of
all loans. Disaster Home Loans are included in these reviews only
occasionally.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 5 U.S.C. 301, 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records in this system may be examined by the General Accounting
Office in the course of a review of the Agency.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are kept in file folders.
Retrievability:
Records are indexed by office. Some information within the
records is retrievable by loan name and numbers.
Safeguards:
Access to and use of these records is limited to those persons
whose official duties require such access. Personnel screening is
used to prevent unauthorized disclosure.
Retention and disposal:
Reports are retained indefinitely. Line cards in Central Office
are retained until the next report, then disposed of.
System manager(s) and address:
Privacy Act Officer and Area Disaster Office Managers. See
appendix A for addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records
Area Disaster Office Manager for Field Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer or Regional Director will set forth the procedures for
gaining access to these records. If there is no record of the
individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Office of Portfolio Review, Loan Case Files, SBA personnel and
field visits to borrowers.
SBA 110
System name: SCORE/ACE Master Files--SBA 110.
System location:
Central Office and Washington District Office. See appendix A for
addresses.
Categories of individuals covered by the system:
Service Corps of Retired Executives and Active Corps of
Executives.
Categories of records in the system:
This system of records is a master list of all retired and active
executives who volunteer their services to give business counseling
to SBA recipients and applications for membership (Form 610). These
records contain information as to personal qualifications and
expertise and cases which they have counseled.
Authority for maintenance of the system:
5 U.S.C. 301, 15 U.S.C. 634(b)(6), and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Internal Agency use only.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained on magnetic tape and in a binder and
in computer data files.
Retrievability:
These records are indexed by SCORE and ACE volunteer's name as
well as serial number.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure.
Retention and disposal:
The master tape is updated periodically and maintained
indefinitely. When a SCORE and ACE volunteer's name is withdrawn from
active duty, the record is maintained for three years and is then
destroyed.
System manager(s) and address:
Privacy Act Officer, District Director and Assistant District
Director for Business Development in the Washington District Office.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records
Washington District Director for Field Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer or District Director will set forth the procedures for
gaining access to these records. If there is no record of the
individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Individual to whom record pertains, SCORE/ACE registration forms.
SBA 115
System name: Power of Attorney Files--SBA 115.
System location:
SBA Regional Offices.
Categories of individuals covered by the system:
Insurance agents who have the authority to execute a surety bond.
Categories of records in the system:
Information in this system of records identifies those
individuals who are authorized to execute bonds for surety companies.
Authority for maintenance of the system:
5 U.S.C. 301, 15 U.S.C. 634(b)(6) and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
For internal use only.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed by agent's and broker's names.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure.
Retention and disposal:
Records are retained until the SBA is notified that the authority
to execute bonds has been rescinded, at which time the records are
destroyed.
System manager(s) and address:
Regional Directors. See appendix A for addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to: Regional Directors for Regional Office Records.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Regional
Director will set forth the procedures for gaining access to these
records. If there is no record of the individual, they will be so
advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Surety company for which the agency broker is authorized to
execute bonds.
SBA 120
System name:
Security and Investigations Files--SBA 120.
System location:
Office of Inspector General (OIG), Investigations Division,
Central Office duty stations in the field, and Federal Records
Centers. See Appendices A and B for addresses.
Categories of individuals covered by the system:
Applicants for, recipients of, and other parties in interest
(e.g., guarantors) to SBA disaster loans. Principals and
representatives of applicant and recipient businesses and other
parties in interest to, as well as governmental entities,
participating in the various SBA programs, including but not limited
to all types of direct and guaranteed loans and other guarantee
programs, the Small Business Investment Company (SBIC) program, the
state, local, and Certified Development Company programs, the section
7(j) assistance program and section 8(a) business development
program, as well as other contractors, grantees, and participants in
cooperative agreements with SBA. Records are also maintained on the
principal SBIC directors and stockholders. In addition, records are
maintained on persons who supply information and the information
supplied on SBA employees against whom allegations have been made and
investigations conducted; and on members of Advisory Councils, the
Service Corps of Retired Executives, and the Active Corps of
Executives volunteers.
Categories of the Records in the System:
This system of records contains material gathered or created
during the preparation for, conduct of, and follow up on,
investigations conducted by OIG, the Federal Bureau of Investigation
(FBI) and other Federal, state, local or foreign regulatory or law
enforcement agencies as well as other material submitted to or
gathered by OIG in furtherance of its investigative function. These
records include FBI and other Federal, state, local and foreign
regulatory or law enforcement investigative reports and include
personal history statements, background character checks, field
investigations, arrest and conviction records, parole and probation
data, recommendations and related correspondence.
Authority for maintenance of the system:
5 U.S.C. app.; 15 U.S.C. chs. 14A and 14B; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In the event that a system of records maintained by this Agency
to carry out its functions indicates a violation or potential
violation of law, whether civil, criminal or administrative in
nature, and whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, state,
local, foreign, international, private agency or organization
involved in investigation or prosecution of such violations or
charged with enforcing or implementing the statute or rule,
regulation or order issued pursuant thereto.
A record from this system of records may be disclosed, as a
routine use, in the course of presenting evidence in or to a court,
magistrate, administrative tribunal, or grand jury, including
disclosures to opposing counsel in the course of such proceedings or
in settlement negotiations.
A record from this system of records which indicates either by
itself or in combination with other information within the agency's
possession, a violation or potential violation of law, whether civil,
criminal or regulatory and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, may be disclosed, as a routine use, to the
appropriate Federal, state, local, foreign, international, private
agency or organization charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing or investigating or prosecuting such violation or
charged with enforcing or implementing the statute or rule,
regulation or order issued pursuant thereto.
These records may be disclosed, as a routine use, to any source
or person, either private or governmental, to the extent necessary to
secure from such source information relevant to, and sought in
furtherance of, a legitimate investigation concerning a violation of
any Federal, state, local or foreign law, rule, regulation or order
or the commission of an offense.
These records may routinely be disclosed to other Federal
agencies, in response to their requests in connection with the
conduct of background checks. Disclosure will be made only to the
extent that the information is relevant and necessary to the
requesting agencies' function.
These records may be disclosed, as a routine use, to any Federal,
state, local, foreign, international, private agency or organization
in connection with such entity's assignment, hiring or retention of
an individual, issuance of a security clearance, reporting of an
investigation of an individual, letting of a contract or issuance of
a license, grant or other benefit, to the extent that the information
is relevant and necessary to such agency's decision on the matter.
These records may be disclosed as a routine use, to a domestic,
foreign, or international governmental agency maintaining civil,
criminal or other relevant enforcement information, or other
pertinent information, in order to obtain information relevant to an
agency decision concerning the assignment, hiring or retention of an
individual, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
These records may be disclosed to Federal, state or local bar
associations and other professional regulatory or disciplinary bodies
for use in disciplinary proceedings and inquiries preparatory
thereto.
These records may be disclosed, as a routine use, to a Member of
Congress who submits an inquiry on behalf of an individual when the
Member of Congress informs the appropriate agency official that the
individual to whom the record pertains has authorized the Member of
Congress to have access. In such cases, the member has no greater
right to the record than does the individual. These records may be
used to provide data to the General Accounting Office for periodic
reviews of this Agency.
These records may be disclosed, as a routine use, to the Office
of Government Ethics for any purpose consistent with that office's
mission, including the compilation of statistical data.
These records may be disclosed, as a routine use, to the General
Accounting Office and to the General Services Administration's Board
of Contract Appeals in bid protest cases involving an agency
procurement.
These records may be disclosed, as a routine use, to any Federal
agency which has the authority to subpoena other Federal agencies'
records and which has issued a facially valid subpoena for the
record.
These records may be disclosed, as a routine use, to the
Department of the Treasury and the Department of Justice when an
agency is seeking an ex parte court order to obtain taxpayer
information from the Internal Revenue Service.
These records may be disclosed, as a routine use, to debt
collection contractors for the purpose of collecting delinquent debts
as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
These records may be disclosed, as a routine use, to a ``consumer
reporting agency'' as that term is defined in the Fair Credit
Reporting Act (15 U.S.C. 1681a(f)) and the Federal Claims Collection
Act of 1966 (31 U.S.C. 3701(a)(3)), for the purposes of obtaining
information in the course of an investigation.
These records may be disclosed, as a routine use, to agency
personnel responsible for bringing Program Fraud Civil Remedies Act
litigation, to the persons constituting the tribunal hearing such
litigation or any appeals therefrom, and to counsel for the defendant
party in any such litigation.
These records may be disclosed, as a routine use, to a grand jury
agent pursuant either to a Federal or state grand jury subpoena or to
a prosecution request that such record be released for the purpose of
its introduction to a grand jury.
These records may be disclosed, as a routine use, to members of
the public under the Freedom of Information Act, 5 U.S.C. 552.
These records may be disclosed, as a routine use, to the U.S.
Department of Justice in order to obtain that department's advice
regarding an agency's disclosure obligations under the Freedom of
Information Act.
These records may be disclosed, as a routine use, to the Office
of Management and Budget in order to obtain that office's advice
regarding an agency's obligations under the Privacy Act.
It shall be routine use of the records in this system of records
to disclose them to the Department of Justice when:
(a) SBA, or any component thereof; or
(b) Any employee of SBA in his or her official capacity; or
(c) Any employee of SBA in his or her individual capacity where
the Department of Justice has agreed to represent the employee; or
(d) The United States, where SBA determines that litigation is
likely to affect SBA or any of its components, is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice is deemed by SBA to be relevant
and necessary to the litigation, provided, however, that in each
case, the Agency determines that disclosures of the records to the
Department of Justice is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
These records may be disclosed, as a routine use, to the Agency's
legal representative, to include the Department of Justice and other
outside counsel, where the Agency is a party in litigation or has an
interest in litigation when:
(a) SBA, or any component thereof; or
(b) Any employee of SBA in his or her official capacity; or
(c) Any employee of SBA in her or her individual capacity, where
the Department of Justice has agreed or is considering a request to
represent the employee; or
(d) The United States, where SBA determines that litigation is
likely to affect SBA or any of its components, is a party to
litigation or has an interest in such litigation, and SBA determines
that the use of such records by the Department of Justice is relevant
and necessary to litigation; provided however, that in each case, SBA
determines that disclosures to the records to the Department of
Justice is a use of the information contained in the records that is
compatible with the purpose for which the records were collected.
It shall be a routine use of records maintained by SBA to
disclose them in a proceeding before a court, grand jury or
adjudicative body before which SBA is authorized to appear, when:
(a) SBA or any component thereof; or
(b) Any employee of SBA in his or her official capacity; or
(c) Any employee of SBA in his or her individual capacity where
SBA has agreed to represent the employee; or
(d) The United States, where SBA determines that litigation is
likely to affect SBA or any of its components, is a party to
litigation or has an interest in such litigation, and the SBA
determines that the use of such record is relevant and necessary to
the litigation; provided, however, that in each case SBA determines
that disclosure of the records is a use of the information contained
in the records that is compatible with the purpose for which the
records were collected.
These records may be disclosed, as a routine use, to the public
when: (1) The matter under investigation has become public knowledge,
or (2) when the Inspector General determines that such disclosure is
necessary (a) to preserve confidence in the integrity of the OIG
investigative process, or (b) to demonstrate the accountability of
SBA officers, or employees, or other individuals covered by this
system; unless the Inspector General determines that disclosure of
the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy.
These records may be disclosed, as a routine use, to the news
media and public when there exists a legitimate public interest
(e.g., to provide information on events in the criminal process, such
as indictments), or when necessary for protection from imminent
threat to life or property.
These records may be disclosed, as a routine use, to members of
the President's Council on Integrity and Efficiency, for the
preparation of reports to the President and Congress on the
activities of the Inspectors General.
These records may be disclosed, as a routine use, to members of
the President's Council on Integrity and Efficiency, the Department
of Justice, the Federal Bureau of Investigation, or the U.S. Marshals
Service, as necessary, for the purpose of conducting qualitative
assessment reviews of the investigative operations of SBA OIG to
ensure that adequate internal safeguards and management procedures
are maintained.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are currently maintained in rotary diebold power
files, filing cabinets, file folders and computer databases.
Retrievability:
These records are indexed by name and cross-referenced to OIG
files containing related material.
Safeguards:
Information is released only to authorized persons. Files are
maintained in secure, controlled access rooms.
Retention and disposal:
Following final agency action as the result of an investigation,
field investigation records are transferred to the Central Office. In
accordance with established record retention schedules, records are
maintained in the Investigations Division's file room for six years
and then transferred to the Federal Records Center, which destroys
them after fifteen years. An electronic alphabetical index is
maintained on all investigations for an indefinite period of time.
System manager(s) and address:
Assistant Inspector General for Investigations or Designee. See
Appendix A for Central Office address.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to him or her by addressing a request in writing to
the Inspector General. The address of OIG is contained in Appendix A.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to him or her, the Inspector
General will set forth the procedures for gaining access to these
records. If there is no record of the individual, he or she will be
so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the above paragraph, stating the reasons for contesting it and the
proposed amendment.
Record source categories:
Individuals to whom the records pertain, Agency personnel, third
party informants, the Department of Justice, the Federal Bureau of
Investigation, the U.S. Marshals Service, and other investigative
Government agencies.
Exemptions claimed for the system:
(1) Pursuant to 5 U.S.C. 522a(j)(2), this system of records is
exempt from the application of all provisions of section 522a except
sections (b), (c)(1) and (2), (e)(4)(A) thorough (F), (e)(6), (7),
(9), (10), (11), and (i), to the extent that it consists of (A)
information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, confinement, release, and
parole and probation status; (B) information compiled for the purpose
of criminal investigation, including reports of informants and
investigators, and associated with an identifiable individual; or (C)
reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision. This system is exempted in order to
maintain the efficacy and integrity of the OIG's criminal law
enforcement function.
(2) Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), except as
otherwise provided therein, all investigatory material compiled for
law enforcement purposes or for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, military service, Federal contracts, or access to
classified information contained in this system to records is exempt
from sections (c)(3), (d), (e)(1), (e)(4)(G) through (I), and (f) of
the Privacy Act. This exemption is necessary in order to protect the
confidentiality of sources of information and to maintain access to
sources necessary in making determinations of suitability for
employment.
SBA 125
System name: Office of Inspector General Referrals--SBA 125.
System location:
Regional, District and Branch Offices. See appendix A for
addresses.
Categories of individuals covered by the system:
SBA employees and applicants and recipients of SBA assistance.
Categories of records in the system:
This system of records contains referrals to the Office of
Inspector General (OIG) for investigations and reports of the above
individuals in order to determine whether fraudulent activities or
misconduct has taken place. This system sometimes includes copies of
the completed report by the OIG as well as other material submitted
to or gathered by OIG in the furtherance of its investigative
function. These records include: Personal statements of any arrests,
indictments and convictions, SBA Form 912, allegations of
irregularities, informants statements from outside investigative
sources, recommendations from the field offices and related
correspondence.
Authority for maintenance of the system:
15 U.S.C. 634(b)(6), 15 U.S.C. 645(a), 18 U.S.C. 1001.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In the event that a system of records maintained by this Agency
to carry out its function indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule, or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State,
local, or foreign, charged with the responsibility of investigation
or prosecution of such violation or charged with enforcing or
implementing the statute or rule, regulation or order issued pursuant
thereto.
A record from this system of records may be disclosed, as a
routine use, in the course of presenting evidence to a grand jury,
court, magistrate or administrative tribunal, including disclosures
to opposing counsel in the course of such proceedings or in
settlement negotiations.
A record from a system of records, which indicates either by
itself or in combination with other information within the agency's
possession, a violation or potential violation of law, whether civil,
criminal or regulatory and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, may be disclosed, as a routine use, to the
appropriate Federal, foreign, state or local agency or professional
organization charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
or investigating or prosecuting such violation or charged with
enforcing or implementing the statute or rule, regulation or order
issued pursuant thereto.
These records may routinely be disclosed to other Federal
agencies, in response to their requests, in connection with the
conduct of background checks. Disclosure will be made only to the
extent that the information is relevant and necessary to the
requesting agencies' function.
These records may be disclosed, as a routine use, to any Federal,
State, local, foreign or international agency, in connection with
such entity's assignment, hiring or retention of an individual,
issuance of a security clearance, reporting of an investigation of an
individual, letting of a contract or issuance of a license, grant or
other benefit, to the extent that the information is relevant and
necessary to such agency's decision on the matter.
These records may be disclosed, as a routine use, to a domestic,
foreign, or international governmental agency maintaining civil,
criminal or other relevant enforcement information, or other
pertinent information, in order to obtain information relevant to an
agency decision concerning the assignment hiring or retention of an
individual, the issuance of a security clearance, the letting of a
contract, or the issuance of a license, grant, or other benefit.
These records may be disclosed to Federal, State or local bar
associations and other professional regulatory or disciplinary bodies
for use in disciplinary proceedings and inquiries preparatory
thereto.
These records may be disclosed, as a routine use, to a Member of
Congress who submits an inquiry on behalf of an individual when the
Member of Congress informs the appropriate agency official that the
individual to whom the record pertains has authorized the Member of
Congress to have access. In such cases, the member has no greater
right to the record than does the individual.
These records may be used to provide data to the General
Accounting Office for periodic reviews of this Agency.
These records may be disclosed, as a routine use, to the Office
of Government Ethics for any purpose consistent with that office's
mission, including the compilation of statistical data.
These records may be disclosed, as a routine use, to the United
States General Accounting Office, and to the General Services
Administration's Board of Contract Appeals in bid protest cases
involving an agency procurement.
These records may be disclosed, as a routine use, to any Federal
agency which has the authority to subpoena other Federal agencies
records and which has issued a facially valid subpoena for the
record.
These records may be disclosed, as a routine use, to the
Department of Treasury and the Department of Justice when an agency
is seeking an ex parte court order to obtain taxpayer information
from the Internal Revenue Service.
These records may be disclosed, as a routine use, to debt
collection contractors for the purpose of collecting delinquent debts
as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718.
These records may be disclosed, as a routine use, to a ``consumer
reporting agency'' as that term is defined in the Fair Credit
Reporting Act (15 U.S.C. 1681(a)(f) and the Federal Claims Collection
Act of 1966 (31 U.S.C. 3701(a)(3)), for the purposes of obtaining
information in the course of an investigation or audit.
These records may be disclosed, as a routine use, to agency
personnel responsible for bringing Program Civil Remedies Act
litigation, to the persons constituting the tribunal hearing such
litigation or any appeals therefrom and to counsel for the defendant
party in any such litigation.
These records may be disclosed, as a routine use, to a grand jury
agent pursuant either to a Federal or state grand jury subpoena or to
a prosecution request that such record be released for the purpose of
its introduction to a grand jury.
It shall be a routine use of the records in this system of
records to disclosed them to the Department of Justice when:
(a) The SBA, or any component thereof; or
(b) Any employee of the SBA in his or her official capacity; or
(c) Any employee of the SBA in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the SBA determines that litigation
is likely to affect the SBA or any of its components,
is a party to litigation or has an interest in such litigation,
and the use of such records by the Department of Justice is deemed by
the use of such records by the Department of Justice is deemed by the
SBA to be relevant and necessary to the litigation, provided,
however, that in each case, the SBA determines that disclosure of the
records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court, grand jury or
adjudicative body before which the SBA is authorized to appear, when:
(a) The SBA, or any component thereof; or
(b) Any employee of the SBA in his or her official capacity; or
(c) Any employee of the SBA in his or her individual capacity
where the SBA has agreed to represent the employee; or
(d) The United States, where the SBA determines that litigation
is likely to affect the SBA or any of its components,
is a party to litigation or has an interest in such litigation,
and the SBA determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the SBA determines that disclosure of the records to a court, grand
jury or other adjudicative body is a use of the information contained
in the records that is compatible with the purpose for which the
records were collected.
These records may be disclosed, as a routine use, to an agency's
legal representative, to include the Department of Justice and other
outside counsel, where the agency is a party in litigation or has an
interest in litigation when:
(a) The SBA, or any component thereof;
(b) Any employee of the SBA in his or her official capacity;
(c) Any employee of the SBA in his or her individual capacity,
where the Department of Justice has agreed or is considering a
request to represent the employee;
(d) The United States, where the SBA determines that litigation
is likely to affect the SBA or any of its components,
is a party to litigation or has an interest in such litigation,
and the SBA determines that the use of such records by the Department
of Justice is relevant and necessary to the litigation; provided
however, that in each case, the SBA 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.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders and index cards.
Retrievability:
These records are indexed by the name of the individual to be
investigated.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure. All filing cabinets are
locked.
Retention and disposal:
These records are retained for five years in the Investigations
Division and are then transferred to the Federal Records Center for
twenty years after which they are destroyed.
System manager(s) and address:
Assistant Inspector General for Investigations, Deputy Assistant
Inspector General/Operational Support and Security. See appendix for
Addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to him or her by addressing a request in person or
in writing to: Office of Inspector General, Washington, DC.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to him or her, the Inspector
General will set forth the procedures for gaining access to these
records. If there is no record of the individual, they will be so
advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment.
Record source categories:
Individual to whom the record pertains. Agency personnel, third
party informants and the FBI and other investigative Government
agencies.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), all investigatory
material in the record compiled for law enforcement purposes or for
the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment, Federal contracts, or
access to classified information is exempt from the notification,
access, and contest requirements (under 5 U.S.C. 552a (c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f) of the Agency regulations.
This exemption is necessary in order to fulfill commitments made to
protect the confidentiality of sources and to protect subjects of
investigations from frustrating the investigatory process.
SBA 130
System name:
Investigations Division Management Information System--SBA 130.
System location:
Office of Inspector General (OIG), Investigations Division.
Categories of individuals covered by the system:
Principals and representatives of applicants, participants,
contractors, grantees, participants in cooperative agreements, and
other parties in interest to, as well as governmental entities
participating in, SBA programs. Records are also maintained on SBA
employees against whom allegations have been made and investigations
conducted; members of Advisory Councils; the Service Corps of Retired
Executives; and the Active Corps of Executives volunteers.
Categories of records in the system:
This system of records contains material gathered or created
during preparation for, conduct of, and follow-up on, investigations
conducted by OIG, the Federal Bureau of Investigation (FBI) and other
Federal, state, local, or foreign regulatory or law enforcement
agency. This system of records contains alphabetical indices of names
and case numbers. These records include FBI and other Federal, state,
local and foreign regulatory or law enforcement investigative reports
and referrals and include arrest, indictment, and conviction records,
parole and probation data and related information.
Authority for maintenance of the system:
5 U.S.C. app.; 15 U.S.C. chs. 14A and 14B; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the Purpose of Such Uses:
In the event that a system of records maintained by this Agency
to carry out its functions indicates a violation or potential
violation of law, whether civil, criminal, or administrative in
nature, and whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, state, local
or foreign, charged with responsibility for, or otherwise involved
in, investigation or prosecution of such violations or charged with
enforcing or implementing the statute or rule, regulation or order
issued pursuant thereto.
A record from this system of records may be disclosed, as a
routine use, in the course of presenting evidence in or to a court,
magistrate, administrative tribunal or grand jury including
disclosures to opposing counsel in the course of such proceedings or
in settlement negotiations.
A record from this system of records, which indicates either by
itself or in combination with other information within the agency's
possession, a violation or potential violation of law, whether civil,
criminal or regulatory and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, may be disclosed, as a routine use, to the
appropriate Federal, foreign, state, or local agency or professional
organization charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
or investigating or prosecuting such violation or charged with
enforcing or implementing the statute or rule, regulation or order
issued pursuant thereto.
These records may be disclosed, as a routine use, to provide data
to the General Accounting Office for periodic reviews of this Agency.
These records may be disclosed, as a routine use, to the Office
of Government Ethics for any purpose consistent with that office's
mission, including the compilation of statistical data.
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) SBA, or any component thereof; or
(b) Any employee of SBA in his or her official capacity; or
(c) Any employee of SBA in his or her individual capacity where
the Department of Justice has agreed to represent the employee; or
(d) The United States, where SBA determines that litigation is
likely to affect the agency or any of its components, is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice is deemed by SBA to be relevant
and necessary to the litigation, provided, however, that in each
case, the agency determines that disclosure of the records to the
Department of Justice is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court, grand jury or
adjudicative body before which SBA is authorized to appear, when:
(a) SBA, or any component thereof; or
(b) Any employee of SBA in his or her official capacity; or
(c) Any employee of SBA in his or her individual capacity where
the Department of Justice has agreed to represent the employee; or
(d) The United States, where SBA determines that litigation is
likely to affect the agency or any of its components, is a party to
litigation or has an interest in such litigation, and SBA determines
that use of such records is relevant and necessary to the litigation,
provided, however, that in each case, SBA determines that disclosure
of the records to a court, grand jury or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected.
These records may be disclosed, as a routine use, to the public
when: (1) The matter under investigation has become public knowledge,
or (2) when the Inspector General determines that such disclosure is
necessary (a) to preserve confidence in the integrity of the OIG
investigative process, or (b) to demonstrate the accountability of
SBA officers, or employees, or other individuals covered by this
system; unless the Inspector General determines that disclosure of
the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy.
These records may be disclosed, as a routine use, to the news
media and public when there exists a legitimate public interest
(e.g., to provide information on events in the criminal process, such
as indictments), or when necessary for protection from imminent
threat to life or property.
These records may be disclosed, as a routine use, to members of
the President's Council on Integrity and Efficiency, for the
preparation of reports to the President and Congress on the
activities of the Inspectors General.
These records may be disclosed, as a routine use, to members of
the President's Council on Integrity and Efficiency, the Department
of Justice, the Federal Bureau of Investigation, or the U.S. Marshals
Service, as necessary, for the purpose of conducting qualitative
assessment reviews of the investigative operations of SBA OIG to
ensure that adequate internal safeguards and management procedures
are maintained.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in a secured electronic database
system and on computer disks.
Retrievability:
These records are indexed by the subject's name, subject's Social
Security Number, company name, case number, agent's name, or agent's
identification number.
Safeguards:
Access to and use of these records is limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure.
Retention and disposal:
These records are retained on computer disks and deleted when the
investigative case file is destroyed. In accordance with established
record retention schedules, investigative case files are maintained
in the Investigations Division's file room for six years and then
transferred to the Federal Records Center, which destroys them after
fifteen years.
System manager(s) and address:
Assistant Inspector General for Investigations or Designee. See
Appendix A for address.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to the Inspector General. The address of OIG is contained in
Appendix A.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to him or her, the Inspector
General will set forth the procedures for gaining access to these
records. If there is no record of the individual, he or she will be
so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment.
Record source categories:
Individuals to whom the records pertain, Agency personnel, third
party informants, the Department of Justice, the Federal Bureau of
Investigation, the U.S. Marshals Service, and other investigative
Government agencies.
Exemptions claimed for the system:
(1) Pursuant to 5 U.S.C. 522a(j)(2), this system of records is
exempt from the application of all provisions of section 522a except
sections (b), (c)(1) and (2), (e)(4)(A) thorough (F), (e)(6), (7),
(9), (10), (11), and (i), to the extent that it consists of (A)
information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, confinement, release, and
parole and probation status; (B) information compiled for the purpose
of criminal investigation, including reports of informants and
investigators, and associated with an identifiable individual; or (C)
reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision. This system is exempted in order to
maintain the efficacy and integrity of the OIG's criminal law
enforcement function.
(2) Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), except as
otherwise provided therein, all investigatory material compiled for
law enforcement purposes or for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, military service, Federal contracts, or access to
classified information contained in this system to records is exempt
from sections (c)(3), (d), (e)(1), (e)(4) (G) through (I), and (f) of
the Privacy Act. This exemption is necessary in order to protect the
confidentiality of sources of information and to maintain access to
sources necessary in making determinations of suitability for
employment.
SBA 135
System name: Small Business Person and Advocate Awards--SBA 135.
System location:
Central, Regional and District Offices of the SBA. See appendix A
for addresses.
Categories of individuals covered by the system:
Candidates and winners of the Small Business Person of the Year
Awards and Advocate Awards.
Categories of records in the system:
This system of records contains information relating to the
candidacy and selection of Small Business Person of the Year and
Advocate of the Year in SBA District and Regional Offices. These
records include applications, biographical summaries, correspondence,
recommendations and narratives of business and civic successes. The
record of Community Development Awards in the Central Office includes
biographical and qualifying information as well as recommendations
from SBA field offices.
Authority for maintenance of the system:
5 U.S.C. 301, 15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in the records may be used:
To provide information to the news media for public disclosure of
the name, address, and biographical statement of the recipients of
the awards.
To communicate with officials in State and local government as to
the status of a particular candidate.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders and computer data
files.
Retrievability:
These records are retrievable by individual name.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure.
Retention and disposal:
Records may be retained from one to ten years.
System manager(s) and address:
Privacy Act Officer, Regional Directors and District Directors.
See appendix A for addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records
Regional Director for Regional Office Records
District Director for District Office Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer, Regional Director, District Director will set forth the
procedures for gaining access to these records. If there is no record
of the individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Individual to whom record pertains, recommendations from various
individual sponsors. Advisory Council members, Agency personnel,
research publications, directories, news media.
SBA 140
System name: Standards of Conduct Files--SBA 140.
System location:
Central Office and Regional Offices. See appendix A for
addresses.
Categories of individuals covered by the system:
SBA employees.
Categories of records in the system:
Confidential statement of employment and financial interests made
by employees. Grade 13 and above, and by Grade 12 Branch Managers.
Ad Hoc Committee decisions and memoranda concerning standards of
conduct questions used as precedent for later decisions. (Central
Office only)
Correspondence concerning conflicts of interest.
Listing of all SBA employees who have been indicted or convicted
in matters involving SBA business.
Authority for maintenance of the system:
13 CFR 105.735 enacted pursuant to the Small Business Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In the event that a system of records maintained by this Agency
to carry out its function indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule, or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State local
or foreign, charged with the responsibility of investigation or
prosecution of such violation or charged with enforcing or
implementing the statute or rule, regulation or order issued
pursuant.
A record from this system or records may be disclosed, as a
routine use, in the course of presenting evidence to a court,
magistrate or administrative tribunal, including disclosure to
opposing counsel in the course of such proceeding or in settlement
negotiations.
Records contained in this system may be forwarded to the Office
of Personnel Management when requested.
Disclosure may be made 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.
To disclose them to the Department of Justice when
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders which are stored in file
cabinets or safes.
Retrievability:
Records are retrieved by the name of the employee.
Safeguards:
Access is strictly limited to those employees with a need to use
these records in performing their duties.
Retention and disposal:
Files are retained indefinitely.
System manager(s) and address:
Privacy Act Officer, Regional and District Directors. See
appendix A for addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records
Regional Director for Regional Office Records
District Director for District Office Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer, Regional Director or District Director will set forth the
procedures for gaining access to these records. If there is no record
of the individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Information in the confidential statement of employment and
financial interests is collected from the employee himself. Any
adverse information could come from other employees or from a member
of the general public with specific knowledge of the matter reported.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(5), all investigatory material in
the record compiled for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment,
Federal contracts, or access to classified information is exempt from
the notification, access, and contest requirements (under 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the
Agency regulations. This exemption is necessary in order to fulfill
communications made to protect the confidentiality of sources and
maintain access to sources necessary in making determinations of
suitability.
SBA 145
System name:
Former and Current Disaster Employees--SBA 145.
System location:
Office of Disaster Assistance, Central Office, See Appendix A for
location.
Categories of individuals covered by the system:
Employees who have been previously employed within the Office of
Disaster Assistance and some current employees.
Categories of records in the system:
Former employees within the Office of Disaster Assistance and
some current employees. These records contain name, address,
telephone number where person can be reached, SSN, Disaster Area
where employed, series and grade, job title, dates of employment and
reason for termination, name and job title of supervisor, and summary
of supervisor's evaluation. Also included is information, if any,
concerning violations of the Agency's Standards of Conduct (13 CFR
part 105) and information, if any, concerning official investigations
and disciplinary actions taken with regard to the employee. Special
skills and bilingual capabilities are also included.
Authority for maintenance of the system:
5 U.S.C. 301, 15 U.S.C. 834(b)(6), 44 U.S.C. 101.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
The records will be used by Disaster Area Directors and personnel
officers assigned to each Disaster Area to verify previous SBA
disaster assistance employment history when a former employee is
considered for reemployment and to locate current or former employees
with special skills or language capabilities needed in special
situations.
Disclosures may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Disclosures may be made to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court adjudicative body
before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such
records is relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to a court or other adjudicative body is a use of the
information contained in the records that is compatible with the
purpose for which the records were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system ;
Storage:
These records will be maintained in card files and in a computer
database.
Retrievability:
These records will be filed alphabetically by the individual's
last name.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosures.
Retention and disposal:
Destroy when no longer necessary.
System manager(s) and address:
Privacy Act Officer and Associate Administrator for Disaster
Assistance, Central Office. See Appendix A for address.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to him or her by addressing a request in person or
in writing to the manager(s) listed above.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to him or her, the system
manager will set forth the procedures for gaining access to these
records. If there is no record of the individual, he or she will be
so advised.
Contesting record procedures:
Individual desiring to contest or amend information maintained in
the system should direct their requests to the official listed in the
above paragraph, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Disaster Area Directors.
SBA 150
System name: Tort Claims--SBA 150.
System location:
Central Office, Regional Office and Federal Records Centers. See
appendix A for SBA addresses and appendix B for FRCs.
Categories of individuals covered by the system:
Government employees and other individuals involved in accidents.
Categories of records in the system:
This record contains reports on accidents which result in tort
claims involving the Government.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101, 42 U.S.C. 3211.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In the event that a tort claim results in a court suit, these
records will be referred to the Department of Justice for handling of
the suit and used in the preparation and presentation of the case.
These records are used in reporting on accidents and tort claims
to the General Services Administration.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are kept in file folders.
Retrievability:
Records are indexed by the names of persons involved in the
accident.
Safeguards:
Records are kept in locked cabinets. Access to and use of these
records is limited to persons whose official duties require such
access. Personnel screening is utilized to prevent unauthorized
disclosure.
Retention and disposal:
Records are retained for one year, then sent to a Federal Records
Center, where they are retained for five years and then destroyed.
System manager(s) and address:
Privacy Act Officer or Regional Director. See appendix A for
addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records
Regional Directors for Regional Office Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer or Regional Director will set forth the procedures for
gaining access to these records. If there is no record of the
individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons or contesting it and the
proposed amendment to the information sought.
Record source categories:
Individuals involved in accident, witnesses, investigation of the
accident.
SBA 155
System name: SBA Employee Activity Files--SBA I55.
System location:
Central Office, Regional, District, Branch and Program Officers.
See appendix A for addresses.
Categories of individuals covered by the system:
SBA employees, both active and separated.
Categories of records in the system:
This system contains a number of records pertaining to an
individual's employment at SBA. These records include Time and
Attendance cards, authorizations for overtime, records of leave,
training requested and attended, travel itineraries and vouchers,
copies of Personnel Actions, requests for Personnel Actions, Position
Descriptions, copies of official performance evaluations, copies of
letters of commendation and retirement, personal information for use
in emergencies, informal incident reports, information on job
activities, Combined Federal Campaign information, Procurement
Integrity Certification forms outside employment information and
personnel benefits.
Authority for maintenance of the system:
5 U.S.C. 301; l5 U.S.C. 634(b)(6); 44 U.S.C. 3101; Title 6, ``GAO
Policy and Procedures Manual,'' pursuant to 31 U.S.C. 66(a) and
sections 112(a) and 113 of the Budget an Accounting Procedures Act of
1950, 5 U.S.C. 5701-09.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
For internal use only.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in either electronic and computer
data files, file folders, binders or card indexes which are located
in file cabinets or on the desk of the responsible employee.
Retrievability:
Records are indexed by the employee's name, Social Security
Number or other personal identifier.
Safeguards:
Personnel screening--information released to authorized persons
on a need to know basis only.
Retention and disposal:
There is no official Agency policy on retention of these records.
Most of the records are maintained for up to three years.
System manager(s) and address:
Privacy Act Officer and Regional Directors. See appendix A for
addresses.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records
Regional Director for all Field Records
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer or Regional Director will set forth the procedures for
gaining access to these records. If there is no record of the
individual, they will be so advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Individual to whom the record pertains, SBA Office of Personnel,
Supervisor of the respective branch or division, Payroll section of
SBA.
SBA 160
System name: Freedom of Information Act and Privacy Act Case
Files--SBA 160.
System location:
Central Office.
Categories of individuals covered by the system:
Persons who have requested information or filed appeals under
either of the Acts.
Categories of records in the system:
Files compiled by the Freedom of Information/Privacy Acts
Appellate Office during the course of responding to FOI/PA appeals.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101, 15 U.S.C. 634(b)(6).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To provide a system for maintaining records of initial requests
and appeals under the Freedom of Information Act, and of initial
requests, requests for amendments to record, and appeals under the
Privacy Act. The records are used by the staff of the Freedom of
Information/Privacy Acts Appellate Office to review individual cases,
and to keep a chronological log so as to comply with statutory time
limitations.
In the event that a system of records maintained by this Agency
to carry out its functions indicates a violation or potential
violation of law, whether civil, criminal or administrative in
nature, and whether arising by general statute of particular program
statute, or by regulation, rule or order issued pursuant thereto, the
relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State,
local, foreign, international, private agency or organization
involved in investigation or prosecution of such violations rule,
regulation or order issued pursuant thereto.
A record from this system of records, which indicates either by
itself or in combination with other information within the agency's
possession, a violation or potential violation of law, whether civil,
criminal or regulatory and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, may be disclosed, as a routine use, to the
appropriate Federal, State, local, foreign, international, private
agency or organization charged with the responsibility of
investigation or prosecuting such violation or charged with enforcing
or implementing or investigating or prosecuting such violation or
charged with enforcing or implementing the statute or rule,
regulation or order issued pursuant thereto.
These records may be disclosed, as a routine use, to a Member of
Congress who submits an inquiry on behalf of an individual when the
Member of Congress informs the appropriate agency official that the
individual to whom the record pertains has authorized the Member of
Congress to have access. In such cases, the member has no greater
right to the record than does the individual.
These records may be disclosed, as a routine use, to agency
personnel responsible for bringing Program Civil Remedies Act
litigation, to the persons constituting the tribunal hearing such
litigation or any appeals therefrom and to counsel for the defendant
party in any such litigation.
These records may be disclosed, as a routine use, to a grand jury
agent pursuant either to a Federal or state grand jury subpoena or to
a prosecution request that such record be released for the purpose of
its introduction to a grand jury.
These records may be disclosed, as a routine use, to any Federal
agency which has the authority to subpoena other Federal agencies'
records and which has issued a facially valid subpoena for the
record.
These records may be disclosed to members of the public pursuant
to the provisions of the Freedom of Information Act, 5 U.S.C. 552.
These records may be disclosed, as a routine use, to the U.S.
Department of Justice in order to obtain that department's advice
regarding an agency's disclosure obligations under the Freedom of
Information Act.
These records may be disclosed, as a routine use, to the Office
of Management and Budget in order to obtain that office's advice
regarding an agency's obligations under the Privacy Act.
To disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear, when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where 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 agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
To disclose them to other agency employees and offices when
(a) There is the need for consultation; or
(b) When another component of the agency requires a FOI/PA case
file in order to serve the interests of the agency and its
constituents and to properly implement its rules and regulations; or
(c) When the Office of the Inspector General and the Office of
the General Counsel in the course of official proceedings, requests
the case file(s) from the FOI/PA Office.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is maintained in folders in locked steel cabinets and
computer data files.
Retrievability:
Files are alphabetical by name.
Safeguards:
Information released to authorized personnel only.
Retention and disposal:
Records are retained in accordance with the General Records
Schedule.
System manager(s) and address:
Freedom of Information/Privacy Acts Office, Small Business
Administration, 409 D Street, SW, Washington, DC 20416.
Notification procedures:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to the manager listed above.
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer will set forth the procedures for gaining access to these
records. If there is no record of the individual, they will be so
advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Most files consist of correspondence submitted directly to and
replies from the Small Business Administration.
SBA 165
System name:
Civil Rights Compliance Files--SBA 165.
System location:
Central Office and Civil Rights Compliance Central Office Duty
Stations. See Appendix A for addresses.
Categories of individuals covered by the system:
Recipients, conduits and subrecipients of SBA's financial
assistance. Members of the public who have filed allegations of
discrimination against recipient businesses, conduits, 8(a)
contractors or Agency offices/personnel.
Categories of records in the system:
This system of records includes on-site reviews, correspondence,
supporting documents, interview statements, program files,
information developed in investigating an allegation of
discrimination and other information related to the processing of a
complaint of discrimination.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3101; Civil Rights Compliance SOP 90 30
2; and 13 CFR parts 112, 113, and 117.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
For internal use only. Disclosure may be made to a Congressional
office from the record of an individual in response to an inquiry
from the Congressional office made at the request of that individual.
Disclosure may be made to the Department of Justice when
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where 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 is deemed by the
agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
Disclosure may be made in a proceeding before a court or
adjudicative body before which the Agency is authorized to appear,
when
(a) The agency, or any component thereof; or
(b) Any employee of the Agency is his or her official capacity;
or
(c) Any employee of the Agency in his or her individual capacity
where the Agency has agreed to represent the employee; or
(d) The United States, where the Agency determined 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 Agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the Agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
Agency volunteers and interns in the course of their official
duties.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in either computer data logs, file
folders, or binders which are located in file cabinets or on the desk
of the responsible employee.
Retrievability:
Records are indexed by the Complainant's name, address, city,
state, zip code and four digit fiscal year/order in which received
during that fiscal year (four digit number is keyed to Complaint Log
for that fiscal year).
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure.
Retention and disposal:
There is no official Agency policy on retention of these records.
Most records are maintained indefinitely.
System manager(s) and address:
Privacy Act Officer, Chief, Deputy Chief and Area Civil Rights
Directors. See Appendix A for addresses.
Notification procedure:
An individual may inquire as to whether the system contains a
record pertaining to them by addressing a request in person or in
writing to:
Privacy Act Officer for Central Office Records. (Regardless of
actual location, all records are considered to be Central Office
records.)
Record access procedures:
In response to a request by an individual to determine whether
the system contains a record pertaining to them, the Privacy Act
Officer will set forth the procedures for gaining access to these
records. If there is no record of the individual, they will be so
advised.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the official listed in
the paragraph above, stating the reasons for contesting it and the
proposed amendment to the information sought.
Record source categories:
Recipient Business reviewed by Civil Rights personnel and
Complainants.
Systems exempted from certain provisions of the act:
(1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is
exempt from the application of all provisions of section 552a except
sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7),
(9), (10), (11), and (i) to the extent that it consists of (A)
information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, confinement, release, and
parole and probation status; (B) information compiled for the purpose
of criminal investigation, including reports of informants and
investigators, and associated with an identifiable individual; or (C)
reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision. This system is exempted in order to
maintain the efficacy and integrity of the Office of Inspector
General's criminal law enforcement function.
(2) Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), except as
otherwise provided therein, all investigatory material compiled for
law enforcement purposes for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment,
Federal contracts, or access to classified information contained in
this system of records is exempt from sections 3(c)(3), (d), (e)(1),
(e)(4)(G) through (I) and (f) of the Privacy Act. 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G) through (I) and (f). This
exemption is necessary in order to protect the confidentiality of
sources of information and to maintain access to sources necessary in
making determinations of suitability for employment.
SBA 170
System name:
Entrepreneurial Development--Management Information System
(EDMIS), U.S. Small Business Administration (SBA).
System location:
SBA Headquarters.
Categories of individuals covered by the system:
Individuals using SBA's business counseling and assistance
services.
Categories of records in the system:
Individual and business information on SBA clients.
Authority for maintenance of the system:
Pub. L. 85-536; 15 U.S.C. 631 (Small Business Act), sec. 7(j)(1),
(Business Counseling); 15 U.S.C. 648 sec. 21 (Small Business
Development Centers); 15 U.S.C. 656 sec. 29 (Women's Business
Centers); Pub. L. 106-50 (Veterans' Entrepreneurship and Small
Business Development Act of 1999); 44 U.S.C. 3101 (Records Management
by Federal Agencies); and Pub. L. 103-62 (Results Act).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be used, disclosed, or referred:
(a) To the Agency service provider (resource partner) who
initially collected the individual's information.
(b) To a Congressional office from an individual's record when
the office is inquiring on the individual's behalf. The Member's
access rights are no greater than the individual's.
(c) To the Federal, state, local or foreign agency or
organization which investigates, prosecutes, or enforces violations,
statutes, rules, regulations, or orders issued when an agency
identifies a violation or potential violation of law, arising by
general or program statute, or by regulation, rule, or order.
(d) To Agency volunteers, interns, and contractors for use in
their official duties.
(e) To the Department of Justice (DOJ) 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 DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components, is a party to litigation or has an interest in such
litigation, and the use of such records by the DOJ is deemed by the
agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the DOJ is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
(f) To disclose them in a proceeding before a court or
adjudicative 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 agency has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components, is a party to litigation or has an interest in such
litigation, and the agency determines that use of such records is
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines that disclosure of the records to a
court or other adjudicative body is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records:
Storage:
Electronic form in secured database on a dedicated server.
Retrievability:
By SBA Customer Number and cross-referenced by individual or
business name.
Safeguards:
Access and use over the Internet with a restricted numerical
password. Access and use is limited to Federal officials with a need-
to-know and to designated resource partners. SBA resource partners
will have access only to those individual records that were collected
by that particular resource partner. Generally, designated program
managers in Headquarters and the district director in the field will
have access to individual records only as needed for program
management.
Retention and disposal:
In accordance with SBA SOP 00 41 2, Item #65:06, these records
are retained a minimum of 3 years and generally destroyed 3 years
after last update.
System manager(s) and address:
Associate Deputy Administrator of Entrepreneurial Development and
designee in Headquarters.
Notification procedure:
An individual may submit a record inquiry either in person or in
writing to the Systems Manager or Privacy Act Officer for
Headquarters records. Individuals inquiring about this system must
follow the SBA Privacy Act Regulations at 13 CFR part 102 subpart B.
Record access procedures:
Systems Manager or Privacy Act Officer will determine procedures.
Individuals inquiring about this system must follow the SBA Privacy
Act Regulations at 13 CFR part 102 subpart B.
Contesting record procedures:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought, as indicated in 13 CFR
part 102 subpart B.
Record source categories:
Individuals and businesses to whom the record belongs.
SBA 171
System name:
Loan Monitoring System (LMS), U.S. Small Business Administration
(SBA).
System location:
SBA Headquarters, Regional Offices, District Offices, Branch
Offices, Processing Centers, and Servicing Centers (see Appendix A
for addresses).
Categories of individuals covered by the system:
Individuals (i.e. borrowers, guarantors, principals of businesses
named in loan records), throughout the life of SBA's interest in a
loan, under all of the Agency's business (non-disaster) loan
programs.
Categories of records in the system:
Personal and commercial information (i.e. credit history,
financial information, identifying number or other personal
identifier ) on individuals named in business loan files, throughout
the life of SBA's interest in the loan, under all of the Agency's
business (non-disaster) loan programs.
Authority for maintenance of the system:
Pub. L. 85-536, 15 U.S.C. 631 et seq. (Small Business Act, all
provisions relating to loan programs); 5 U.S.C. 301; 44 U.S.C. 3101
(Records Management by Federal Agencies); and Pub. L. 103-62 (GPRA).
Routine uses of records maintained in the system, including
categories of users and the Purposes of Such Uses, these Records May
Be Used, Disclosed, or Referred:
(a) To the SBA Resource Partner, its successors or assigns, (i.e.
participating lender, certified development company, micro lender)
who initially collected the individual's information for the purpose
of making and servicing loans.
(b) To a Congressional office from an individual's record when
the office is inquiring on the individual's behalf. The Member's
access rights are no greater than the individual's.
(c) To the Federal, state, local or foreign agency or
organization which investigates, prosecutes, or enforces violations,
statues, rules, regulations, or orders issued when an agency
identifies a violation or potential violation of law, arising by
general or program statute, or by regulation, rule, or order.
(d) To Agency volunteers, interns, experts and contractors for
use in their official duties.
(e) To qualified investors who have signed a confidentiality
agreement related to review of files for the purpose of evaluating,
negotiating and implementing the purchase of loans from the Agency as
a part of the Agency's Asset Sales program.
(f) To the Department of Justice (DOJ) when:
(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 DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components;
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines that disclosure of the records to
the DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected.
(g) To disclose them in a proceeding before a court or
adjudicative 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 agency has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components,
is a party to litigation or has an interest in such litigation, and
the agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to a court or
other adjudicative body is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
(h) To request information from a Federal, State, local agency or
a private credit agency maintaining civil, criminal or other
information relevant to determining an applicant's suitability for a
business loan. This applies to individuals involved in business
loans.
(i) To a recipient who has provided the agency with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable.
Policies and practices for storing, retrieving, accessing,
Retaining and Disposing of Records:
Storage:
Electronic Records are in a secure server and paper records are
in files. Loan files are in a secured area, sometimes locked files,
sometimes locked file rooms.
Retrievability:
Electronic Records: By individual name, personal identifier, SBA
Identifier, Participating Lender Identifier, Participating Lender
Name, business name, and business identifier.
Paper Records: By individual name, personal identifier and SBA
Identifier.
Safeguards:
Electronic Records: Access and use is limited to Agency officials
acting in their official capacities, with a need-to-know, and to SBA
Resource Partners. Access and use by SBA Resource Partners will
generally be via the Internet, with restricted password(s)/
passcode(s). SBA Resource Partners, their successors or assigns, will
have access only to those individual records that were collected by
that particular partner. Information contained in files will be
available only to potential asset sale purchasers who have executed a
confidentiality agreement. Only SBA employees in the performance of
their official duties, who are granted access to the records by
Agency issuance of User IDs and/or passcodes, may amend or review the
records.
Paper Records: Access and use is limited to Agency officials
acting in their official capacities, with a need-to-know. SBA
Resource Partners, their successors or assigns, will have access only
to those individual records that were collected by that particular
partner. Information contained in loan files will be available only
to potential asset sale purchasers who have executed a
confidentiality agreement. Only those SBA employees in the
performance of their official duties may amend or review the records.
Retention and disposal:
In accordance with SBA SOP 00 41 2, Item Nos. 50:04, 50:08,
50:09, 50:10, 50:11, 50:12, 50:13, 50:19, 50:22, 55:02. Records are
retained for the life of SBA's interest in the business loan and are
disposed of according to the reference in the SOP that pertains to a
particular type of record; retention period varies according to the
type of record.
System manager(s) and Address(es):
Associate Administrator for Capital Access, Associate
Administrator for Lender Oversight, Regional Administrators, District
Directors, Branch Managers, Loan Service Center Directors, and Loan
Processing Centers Directors (see Appendix A for addresses).
Notification procedure:
An individual may submit a written record inquiry to the
appropriate Systems Manager or Privacy Act Officer. Individuals
inquiring about this system must follow the SBA Privacy Act
Regulations at 13 CFR part 102 subpart B.
Record access procedures:
Systems Manager or Privacy Act Officer will determine procedures.
Individuals inquiring about this system must follow the SBA Privacy
Act Regulations at 13 CFR part 102 subpart B.
Contesting record procedures:
Notify the official listed above and state reason(s) for
contesting and the proposed amendment sought, as indicated in 13 CFR
part 102 subpart B.
Record source categories:
Individuals and businesses to whom the record belongs, financial
institutions, credit reporting agencies, law enforcement agencies and
SBA resource partners.
SBA 175
System name:
Cost Allocation Data System (CADS),(SBA).
System location:
Office of the Chief Financial Officer, SBA Headquarters.
Categories of individuals covered by the system:
All SBA employees.
Categories of records in the system:
Individual information on all SBA employees, i.e., name, social
security number, office code, employee's pay data, employee's survey
result on the percentage (%) of time spent on administration of the
various SBA programs and activities. Also, the Agency-wide costs,
i.e., rent, postage, telecommunications, centralized printing,
centralized training, employees' relocation costs, credit report
costs, performance management appraisal system (PMAS) awards,
contractors costs, Agency loan count and SBA employment full time
equivalent (FTE) count.
Authority for maintenance of the system:
44 U.S.C. 3101 (Records Management by Federal Agencies), Pub. L.
101-576 (CFO Act) and Pub. L. 103-62 (Results Act).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be used, disclosed, or referred:
(a) To the Agency cost contractor for use in the Agency's cost
accounting activity.
(b) To a Congressional office from an individual's record when
the office is inquiring on the individual's behalf. The Member's
access rights are no greater than the individual's.
(c) To the Federal, state, local or foreign agency or
organization which investigates, prosecutes, or enforces violations,
statues, rules, regulations, or orders issued when an Agency
identifies a violation or potential violation of law, arising by
general or program statute, or by regulation, rule, or order.
(d) To Agency volunteers and interns for use in their official
duties.
(e) To the Department of Justice (DOJ) 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 official capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the Agency determines
that litigation is likely to affect the Agency or any of its
components, is a party to litigation or has an interest in such
litigation, and the use of such records by the DOJ is deemed by the
Agency to be relevant and necessary to the litigation, provided,
however, that in each case, the Agency determines that disclosure of
the records to the DOJ is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
(f) To disclose them in a proceeding before a court or
adjudicative 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 Agency has agreed to represent the employee; or
(4) The United States Government, where the Agency determines
that litigation is likely to affect the Agency, or any of its
components, is a party to litigation or has an interest in such
litigation, and the Agency determines that use of such records is
relevant and necessary to the litigation, provided, however, that in
each case, the Agency determines that disclosure of the records to a
court or other adjudicative body is a use of the information
contained in the records that is a use of the information contained
in the records that is compatible with the purpose for which the
records were collected.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records:
Storage:
The electronic form is maintained in a database which is behind
the Agency's firewall.
Retrievability:
The employee's Social Security Number, and first and last name
retrieve survey result.
Safeguards:
Access and use of the CADS are accomplished via the use of a
restricted password. Access and use are limited to Project Lead and
Group members and only those other Agency employees whose official
duties require such access.
Retention and disposal:
In accordance with SBA SOP 00 41 2, Item 65:06, these records
are retained a minimum of 3 years and generally destroyed 3 years
after last update.
System manager(s) and address:
Chief Financial Officer, Office of the Chief Financial Officer,
Small Business Administration, 409 3rd Street, SW., Suite 6000,
Washington, DC 20416.
Notification procedure:
An individual may submit a record inquiry either in person or in
writing to the System Manager or Privacy Act Officer. Individuals
inquiring about this system must follow the SBA Privacy Act
regulations at 13 CFR part 102 subpart B.
Record access procedures:
Systems Manager or Privacy Act Officer will determine procedures.
Individuals inquiring about this system must follow the SBA Privacy
Act regulations at 13 CFR part 102 subpart B.
Contesting record procedures:
Notify the official listed about and state reason(s) for
contesting and the proposed amendment sought, as indicated in 13 CFR
part 102 subpart B.
Record source categories:
SBA employees to whom the records belong.
SBA 180
System name:
Servicing and Contracts System/Minority Enterprise Development
Headquarters Repository--SBA 180.
System location:
SBA Headquarters and all SBA district offices. See Appendix A.
Categories of individuals Covered by the System Include:
Applicants and program participants in SBA's 8(a) Business
Development program (8(a)).
Categories of Records in the System Include:
8(a) Business Development program applications, business
development working files, business plan files and contract files
containing personal and financial information.
Authority for maintenance of the system:
Public Law 100-656, Small Business Act 15 U.S.C. 636, section (j)
(Technical and Management Assistance); Public Law 100-656, 15 U.S.C.
637, section 8(a) (Business Development).
Purpose:
To collect confidential business and financial information used
to determine if applicants and current 8(a) participants are in
compliance with statutory and regulatory requirements for continued
eligibility for program participation. This information facilitates
the Agency in carrying out the functions of the Office of 8(a)
Business Development.
Routine uses of records maintained in the system, including
categories of users and the Purposes of Such Uses, These Records May
Be Used, Disclosed, or Referred:
a. To a Congressional office, when the office is inquiring on the
individual's behalf; the Member's access rights are no greater than
the individual's.
b. To Agency volunteers, interns, grantees, experts and
contractors who have been engaged by the Agency to assist in the
performance of a service related to this system or records and who
need access to the records in order to perform this activity.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
c. To the Federal, state, local or foreign agency or professional
organization which investigates, prosecutes, or enforces violation or
potential violation of law, arising by general or program statute, or
by regulation, rule, or order.
d. To the Department of Justice (DOJ) when any of the following
is a party to litigation or has an interest in such litigation, and
the use of such records by the DOJ is deemed by the agency to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines the disclosure of the records to the
DOJ is a use of the information contained in the records that is
compatible with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
e. In a proceeding before a court, or adjudicative body, or a
dispute resolution body before which the agency is authorized to
appear or before which any of the following is a party to litigation
or has an interest in litigation, provided, however, that the agency
determines that the use of such records is relevant and necessary to
the litigation, and that, in each case, the agency determines that
disclosure of the records to a court or other adjudicative body is a
use of the information contained in the records that is compatible
with the purpose for which the records were collected:
(1) The agency, or any component thereof;
(2) Any employee of the agency in his or her official capacity;
(3) Any employee of the agency in his or her individual capacity
where the DOJ has agreed to represent the employee; or
(4) The United States Government, where the agency determines
that litigation is likely to affect the agency or any of its
components.
Policies and practices for Storage, Retrieval, Access, Retention
and Disposal of Records:
Storage:
Electronic database records reside on the SBA secured mainframe
system.
Retrieval:
Name of individual and business name.
Safeguards:
Access and use is limited to persons whose official duties
designate such a need; personnel screening by password is used to
prevent unauthorized disclosure.
Retention and disposal:
The 8(a) Business Development program adheres to the SBA's
Records Management Program's Standard Operating Procedures (SOP 00 41
2), in particular, Records Group 80. Records Group 80 states that
8(a) subcontracts are destroyed 6 years and 3 months after cutoff;
8(a) business plan files are destroyed 6 years and 3 months after
cutoff; and miscellaneous business plan files (non-record subject
material) are destroyed 2 years after cutoff.
System manager(s) and address:
PA Officer, Associate Administrator for 8(a) Business Development
and the Field Office Systems Manager. See Appendix A.
Notification Procedures:
An individual, who is inquiring whether the System of Records
contain information about him or her, may submit a record inquiry
either in person or in writing to the PA Officer, Associate
Administrator for 8(a) Business Development or, Field Office Systems
Manager.
Access Procedures:
PA Officer or Field Office Systems Manager will determine
procedures.
Contesting Procedures:
Individuals seeking to contest or amend information contained in
this system of records should contact the system manager listed
above, state the reason(s) for contesting the record and the proposed
amendment sought.
Record source categories:
Small business concerns who have applied to or are participants
in the 8(a) Business Development program.
SMALL BUSINESS ADMINISTRATION
Title 13-Business Credit and Assistance
Chapter I-Small Business Administration
PART 102--DISCLOSURE OF INFORMATION AND PRIVACY ACT OF 1974
Subpart B--Privacy Act of 1974
Sec.
102.20 Purpose, policy, and scope.
102.21 Definitions.
102.22 Officials responsible for Privacy Act of 1974.
Disclosures
102.23 General conditions of disclosure.
102.24 Information compiled for civil action.
102.25 Disclosure of record to person other than the individual to whom
it pertains.
102.26 Accounting of disclosures.
Disclosures
102.27 Matching Program procedures.
Access and Amendment
102.28 Requests by individuals to gain access to records.
102.29 Appeal to Privacy Act Officer.
102.30 Requests for correction or amendment to record.
102.31 Appeal of initial Agency determination on correction or
amendment of a record.
Miscellaneous
102.32 Maintenance of records of SBA.
102.33 Other provisions.
102.34 Fees.
102.35 General exemptions.
102.36 Specific exemptions.
102.37 Judicial review.
Subpart B--Privacy Act of 1974
Authority: Privacy Act of 1974 (Pub. L. 93-579, 88 Stat. 1896 (5
U.S.C. 552a)).
Source: Rev. 2, Amdt. 1, 40 FR 46280, Oct. 6, 1975, unless otherwise
noted.
Sec. 102.20 Purpose, policy and scope.
This part establishes policy and procedures of the Small Business
Administration (SBA) safeguarding an individual against an invasion of
personal privacy. Except as otherwise provided by law or regulation
issued pursuant thereto SBA officials and employees will:
(a) Permit an individual to determine what records pertaining to him
or her are collected, maintained, used, or disseminated by the SBA;
(b) Permit an individual to prevent records, pertaining to him, or
her, obtained by SBA for a particular purpose from being used or made
available for another purpose without his or her consent;
(c) Permit an individual to gain access to information pertaining to
him or her in the SBA records, to have a copy made of all or any portion
thereof, and to correct or amend such records;
(d) Collect, maintain, use, or disseminate any record of identifiable
personal information in a manner that assures that such action is for a
necessary and lawful purpose, that the information is current and
accurate for its intended use, and that adequate safeguards are provided
to prevent misuse of such information; and
(e) Permit exemptions from the requirements with respect to records
provided in 5 U.S.C. 552a (Privacy Act of 1974) only where an important
public policy need for such exemption has been determined by specific
statutory authority.
Sec. 102.21 Definitions.
As used in this subpart:
(a) Agency means the Small Business Administration (SBA) and includes
all of its offices wherever located;
(b) Employee means any officer or employee of the Small Business
Administration, regardless of his or her grade, status, or place of
employment;
(c) Individual means a citizen of the United States or an alien
lawfully admitted for permanent residence. This term shall not encompass
entrepreneurial enterprises (e.g., sole proprietors, partnerships,
corporations, or other forms of business entities);
(d) Maintain includes maintain, collect, use, or disseminate;
(e) Record means any item, collection, or grouping of information
about an individual that is maintained by the Small Business
Administration, including, but not limited to, education, financial
transactions, medical history, and criminal or employment history and
that contains his or her name, or the identifying number, symbol, or
other identifying particular assigned to the individual, such as a
finger, or voice print or a photograph;
(f) System of records means a group of any records under the control
of Small Business Administration from which information is retrieved by
the name of the individual or by some identifying number, symbol, or
other identifying particular assigned to the individual;
(g) Statistical record means a record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual; and
(h) Routine use means, with respect to the disclosure of a record, the
use of such record for a purpose which is compatible with the purpose
for which it was collected.
Sec. 102.22 Officials responsible for Privacy Act of 1974.
(a) Program Official is the Agency official in every field office and
major program area responsible for the system or systems of records in
his area. Responsibilities of this position include:
(1) Responding to requests for information from individuals and other
sources received from Systems Managers.
(2) Discussing records with individuals.
(3) Amending records in cases where amended information is not
controversial and does not involve policy decision making.
(4) Informing individuals of any reproduction fees to be charged.
(5) Maintaining appropriate recordkeeping.
(6) Reviewing records for relevance, timeliness, completeness, and
accuracy.
(7) Providing Systems Managers with material for required reports and
for publication of rules and notices in the Federal Register.
(b) Systems Manager is the Agency employee in each office responsible
for implementing and overseeing this regulation and 5 U.S.C. 552a in his
or her office. Responsibilities of this position include:
(1) Acting as initial contact person to individuals seeking access or
amendment of their records.
(2) Preparing and forwarding access and amendment forms to the
appropriate Program Official.
(3) Discussing with the Program Officials requests for which access or
amendment will not be allowed, and making initial Agency decisions on
access and amendment.
(4) Collecting information from the Program Official and compiling
information required for reports and for publication of rules and
notices in the Federal Register.
(5) Implementing and administering the records management program
within his area of jurisdiction, including training of personnel,
keeping required statistical records and making necessary reports.
(c) [Reserved]
(d) Privacy Act Officer is the Agency official with delegated
responsibility for overseeing and implementing 5 U.S.C. 552a and subpart
B of this part 102. Responsibilities of this position include:
(1) Developing training programs for agency personnel in the
provisions of the Act and the proposed records management procedures for
implementation.
(2) Developing materials such as forms, reporting formats, and
directives for implementing the Act.
(3) Preparing reports to the Congress, OMB, and the President, and
preparing rules and notices for publication in the Federal Register.
(4) Approving extensions of review periods.
(5) Monitoring the relevance, accuracy, and completeness of records
contained in systems of records.
(6) Reviewing appeals referred by Systems Managers concerning requests
for amendment and access to records.
(7) Making final Agency decisions on requests for amendment and access
to records.
Disclosures
Sec. 102.23 General conditions of disclosure.
The Agency shall not disclose any record which is contained in a
system of records by any means of communication to any person, or to
another agency, except pursuant to a written request by, or with the
prior written consent of, the individual to whom the record pertains,
unless such disclosure is:
(a) To those employees of the Agency who have a need for the record in
the performance of their duties;
(b) Required under 5 U.S.C. 552 (Freedom of Information Act);
(c) For a routine use of the record compatible with the purpose for
which it was collected;
(d) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to Title 13, United
States Code;
(e) To a recipient who has provided the Agency with advance adequate
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable;
(f) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the U.S. Government, or for evaluation by the
Administrator of General Services or his or her designee to determine
whether the record has such value;
(g) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the Privacy Act Officer specifying the particular
portion desired and the law enforcement activity for which the record is
sought;
(h) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if upon such disclosure
notification is transmitted to the last known address of such
individual;
(i) To either House of Congress, or, to the extent of matter within
its jurisdiction, and committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee;
(j) To the Comptroller General, or any of his or her authorized
representatives, in the course of the performance of the duties of the
General Accounting Office; or
(k) Pursuant to the order of a court of competent jurisdiction.
Sec. 102.24 Information compiled for civil action.
Nothing in these regulations shall allow an individual access to any
information compiled by the Agency in reasonable anticipation of a civil
action or proceeding. In the event that there should be a question as to
whether information should be disclosed pursuant to this section, an
opinion shall be obtained from Agency counsel.
Sec. 102.25 Disclosure of record to person other than the
individual to whom it pertains.
(a) Prior to disseminating any record about an individual to any
person other than an agency, unless the dissemination is made pursuant
to Sec. 102.23(b) of this subpart, the Program Official responsible for
the Agency system of records shall make reasonable efforts to assure
that such records are accurate, complete, timely, and relevant for
Agency purposes.
(b) The Program Official shall 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
public record. When a record is disclosed under compulsory legal
process, the Program Official may ask legal counsel for a determination
as to whether the issuance of the order is a matter of public record and
if counsel so determines, then the Program Official shall notify the
individual by mail at his or her last known address. If counsel
determines the matter is not of public record, he should request to be
advised as to when it becomes public and inform the Program Official so
that he may mail the notice at the appropriate time.
Sec. 102.26 Accounting of disclosures.
(a) With respect to each system of record under Agency control, the
Agency will (except for disclosure made under Sec. 102.23 (a) or (b) of
this subpart) keep an accurate accounting.
(b) The Program Official shall account for disclosures in the manner
defined by Agency guidelines in respect to each system of records under
his or her control as follows:
(1) For each disclosure of a record to any person or to another agency
made under Sec. 102.23 of this subpart, maintain information consisting
of the date, nature, and purpose of each disclosure of a record, and the
name and address of the person or agency to whom the disclosure is made;
(2) Retain the accounting at least 5 years or the life of the record,
whichever is longer, after the disclosure for which the accounting is
made;
(3) Except for disclosures made under Sec. 102.23(g) of this subpart
make the accounting under paragraph (a) of this section available to the
individual named in the record at his or her request; and
(4) Inform any person or other agency about any correction or notation
of dispute made by the Agency in accordance with Sec. 102.30(e) of this
subpart of any record that has been disclosed to the person or agency,
if an accounting of the disclosure was made.
(c) An annual report will be prepared by the Privacy Officer, for
submission to the Office of Management and Budget, disclosing statistics
on all of the above. A copy of this report will be available in the
Freedom of Information/Privacy Acts Office.
[Rev. 2, Amdt. 1, 40 FR 46280, Oct. 2, 1975, as amended at 58 FR 14148,
Mar. 16, 1993]
Disclosures
Sec. 102.27 Matching Program procedures.
(a) Matching agreements. SBA shall not disclose any record which is
contained in a system of records to a recipient agency or non-Federal
agency for use in a computer matching program except pursuant to a
written agreement between SBA and the recipient agency or non-Federal
agency specifying:
(1) The purpose and legal authority for conducting the program;
(2) The justification for the purpose and the anticipated results,
including a specific estimate of any savings;
(3) A description of the records that will be matched, including each
data element that will be used, the approximate number of records that
will be matched, and the projected starting and completion dates of the
matching program;
(4) Procedures for providing individualized notice at the time of
application, and periodically thereafter as directed by the Data
Integrity Board, that any information provided by any of the above may
be subject to verification through matching programs to:
(i) Applicants for and recipients of financial assistance or payments
under Federal benefit programs, and
(ii) Applicants for and holders of positions as Federal personnel;
(5) Procedures for verifying information produced in such matching
program as required by paragraph (c) of this section.
(6) Procedures for the retention and timely destruction of
identifiable records created by a recipient agency or non-Federal agency
in such matching program;
(7) Procedures for ensuring the administrative, technical, and
physical security of the records matched and the results of such
programs;
(8) Prohibitions on duplication and redisclosure of records provided
by SBA within or outside the recipient agency or non-Federal agency,
except where required by law or essential to the conduct of the matching
program;
(9) Procedures governing the use by a recipient agency or non-Federal
agency of records provided in a matching program by SBA, including
procedures governing return of the records to SBA or destruction of
records used in such programs;
(10) Information on assessments that have been made on the accuracy of
the records that will be used in such matching programs; and
(11) That the Comptroller General may have access to all records of a
recipient agency or non-Federal agency that the Comptroller General
deems necessary in order to monitor or verify compliance with the
agreement.
(b) Agreement specifications. A copy of each agreement entered into
pursuant to paragraph (a) of this section shall be transmitted to the
Committee on Governmental Affairs of the Senate and the Committee on
Governmental Operations of the House of Representatives and be available
upon request to the public.
(1) No such agreement shall be effective until 30 days after the date
on which a copy is transmitted.
(2) Such an agreement shall remain in effect only for such period, not
to exceed 18 months, as the Data Integrity Board determines is
appropriate in light of the purposes, and length of time necessary for
the conduct, of the matching program.
(3) Within three months prior to the expiration of such an agreement,
the Data Integrity Board may, without additional review, renew the
matching agreement for a current, ongoing matching program for not more
than one additional year if:
(i) Such program will be conducted without any change; and
(ii) Each party to the agreement certifies to the Board in writing
that the program has been conducted in compliance with the agreement.
(c) Verification. In order to protect any individual whose records are
used in matching programs, SBA and any recipient agency or non-Federal
agency may not suspend, terminate, reduce, or make a final denial of any
financial assistance or payment under the Federal benefit program to
such individual, or take other adverse action against such individual as
a result of information produced by such matching programs, until such
information has been independently verified.
(1) Independent verification requires independent investigation and
confirmation of any information used as a basis for an adverse action
against an individual including, where applicable:
(i) The amount of the asset or income involved,
(ii) Whether such individual actually has or had access to such asset
or income or such individual's own use, and
(iii) The period or periods when the individual actually had such
asset or income.
(2) SBA and any recipient agency or non-Federal agency may not
suspend, terminate, reduce, or make a final denial of any financial
assistance or payment under a Federal benefit program, or take other
adverse action as a result of information produced by a matching
program,
(i) Unless such individual has received notice from such agency
containing a statement of its findings and informing the individual of
the opportunity to contest such findings, and
(ii) Until the subsequent expiration of any notice period provided by
the program's law or regulations, or 30 days, whichever is later. Such
opportunity to contest may be satisfied by notice, hearing, and appeal
rights governing such Federal benefit program. The exercise of any such
rights shall not effect any rights available under the Privacy Act.
(3) SBA may take any appropriate action otherwise prohibited by the
above if SBA determines that the public health safety may be adversely
affected or significantly threatened during the notice period required
by paragraph (c)(2)(ii) of this section.
(d) Sanctions. Notwithstanding any other provision of law, SBA may not
disclose any record which is contained in a system of records to a
recipient agency or non-Federal agency for a matching program if SBA has
any reason to believe that the requirements of paragraph (c) of this
section, or any matching agreement entered into pursuant to paragraph
(b) of this section, or both, are not being met by such recipient
agency.
(1) SBA shall not renew a matching agreement unless,
(i) The recipient agency or non-Federal agency has certified that it
has complied with the provisions of that agreement; and
(ii) SBA has no reason to believe that the certification is
inaccurate.
(e) Data Integrity Boards. SBA shall establish a Data Integrity Board
to oversee and coordinate the implementation of the matching program.
The Board shall consist of senior officials designated by the
Administrator, to include the Inspector General (who shall not serve as
Chairman), and the senior official responsible for the implementation of
the Privacy Act. The Board shall:
(1) Review, approve and maintain all written agreements for receipt or
disclosure of agency records for matching programs to ensure compliance
with paragraph (a) of this section and with all relevant statutes,
regulations and guidance;
(2) Review all matching programs in which SBA has participated during
the year, determine compliance with applicable laws, regulations,
guidelines, and Agency agreements, and assess the costs and benefits of
such programs;
(3) Review all recurring matching programs in which SBA has
participated during the year, for continued justification for such
disclosures;
(4) Compile an annual report, to be submitted to the Administrator and
OMB and made available to the public on request, describing the matching
activities of SBA, including--
(i) Matching programs in which SBA has participated;
(ii) Matching agreements proposed that were disapproved by the Board;
(iii) Any changes in membership or structure of the Board in the
preceding year;
(iv) The reasons for any waiver of the requirement described below for
completion and submission of a cost-benefit analysis prior to the
approval of a matching program;
(v) Any violations of matching agreements that have been alleged or
identified and any corrective action taken; and
(vi) Any other information required by OMB to be included in such
report;
(5) Serve as clearinghouse for receiving and providing information on
the accuracy, completeness, and reliability of records used in matching
programs;
(6) Provide interpretation and guidance to Agency components and
personnel on the requirements for matching programs;
(7) Review Agency recordkeeping and disposal policies and practices
for matching programs to assure compliance with the Privacy Act; and
(8) Review and report on any Agency activities that are not matching
programs.
(f) Cost-benefit analysis. Except as provided in paragraphs (e)(2) and
(3) of this section, the Data Integrity Board shall not approve any
written agreement for a matching program unless SBA has completed and
submitted to such Board a cost-benefit analysis of the proposed program
and such analysis demonstrates that the program is likely to be cost
effective. The Board may waive these requirements if it determines, in
writing, and in accordance with OMB guidelines, that a cost-benefit
analysis is not required. Such an analysis also shall not be required
prior to the initial approval of a written agreement for a matching
program that is specifically required by statute.
(g) Disapproval of matching agreements. If a matching agreement is
disapproved by the Data Integrity Board, any party to such agreement may
appeal to OMB. Timely notice of the filing of such an appeal shall be
provided by OMB to the Committee on Governmental Affairs of the Senate
and the Committee on Government Operations of the House of
Representatives.
(1) OMB may approve a matching agreement despite the disapproval of
the Data Integrity Board if OMB determines that--
(i) The matching program will be consistent with all applicable legal,
regulatory and policy requirements;
(ii) There is adequate evidence that the matching agreement will be
cost- effective; and
(iii) The matching program is in the public interest.
(2) The decision of OMB to approve a matching agreement shall not take
effect until 30 days after it is reported to the committees described in
paragraph (g) of this section.
(3) If the Data Integrity Board and the OMB disapprove a matching
program proposed by the Inspector General, the Inspector General may
report the disapproval to the Administrator and to the Congress.
[58 FR 14146, Mar. 16, 1993]
Access and Amendment
Sec. 102.28 Requests by individuals to gain access to records.
(a) Any individual upon request may gain access to his or her record
or to any information pertaining to him or her which is contained in any
system of records maintained by the Agency, except as otherwise provided
by law or regulation. Upon request, a person of his or her own choosing
will be permitted to accompany him or her to review the record and have
a copy made of all or any portion thereof in a form comprehensible to
the individual. The Agency will require, however, a written statement
from the individual authorizing discussion of that individual's record
in the accompanying person's presence.
(b) The request for access must contain a reasonable description of
the Agency system or systems of records sought. The request should be
made to the Systems Manager concerned or, if this is not known, to the
Privacy Act Officer, Small Business Administration, 1441 L Street NW,
Washington, DC 20416, who will direct the request to the proper Agency
official, or if this cannot be ascertained, inform the individual to
make the request more specific.
(c) All such requests for information may be made in writing or on
forms which shall be available in all SBA offices and provided free of
charge for such purposes. The Systems Manager, after reviewing the
request for information, may also request other identification of the
individual for verification, such as:
(1) The employee number,
(2) The dates of employment,
(3) Disaster Home Loan number,
(4) Driver's license,
(5) Medicare card,
(6) A signed statement or
(7) Any additional information as he deems necessary for conclusive
verification. The Systems Manager may request a Social Security Number
for individual verification, although access may not be denied for
refusal to disclose this number as provided in Sec. 102.32(e). If he is
unable to identify the record from the information submitted, he may
require additional information. Requests will be honored only after
showing, satisfactory to the Systems Manager, that the individual or his
representatives has proper authorization.
(d) The Systems Managers in the offices or programs involved will
notify the individual requesting disclosure of his or her record or
information pertaining to him or her of the time, place and conditions
under which the Agency will comply to the extent permitted by law and
regulation.
(e) Upon receipt of a request for access to a record the Systems
Manager shall promptly, but in any case within ten (10) days (excluding
Saturdays, Sundays, and legal public holidays) after date of receipt of
the request, notify the individual in writing that the request has been
granted or denied. In the event that the request is granted, the
notification to the requestor should state:
(1) The Agency's determination that, unless requestor objects for good
cause, it can grant access to a record only by providing a copy through
the mail because it cannot otherwise provide reasonable means for the
individual to have access to his or her record in person; or
(2) The time and place(s) where the record may be reviewed.
[Rev. 2, Amdt. 1, 40 FR 46280, Oct. 6, 1975, as amended by Amdt. 5, 41
FR 43711, Oct. 4, 1976. Redesignated at 58 FR 14146, Mar. 16, 1993]
Sec. 102.29 Appeal to Privacy Act Officer.
(a) Any individual who disagrees with the initial Agency decision to
deny access to his or her record may request a review of such refusal by
addressing his or her written request to the Privacy Act Officer. All
such requests for appeal should be submitted within thirty (30) days of
the date of denial, or within ninety (90) days of such request if the
appeal is from a failure to make a determination. Requests should
specify the reasons for said review and shall be accompanied by
affidavits, statements or such other supporting material as the
individual feels necessary to justify his or her appeal.
(b) The Privacy Act Officer shall consider the decision of the Systems
Manager together with the material submitted by the requesting
individual. The Privacy Act Officer may also examine any other materials
which he or she may consider relevant. He or she may call upon the
Office of General Counsel for a legal opinion and any other Agency or
program official who might have specialized knowledge in the pertinent
area. In conducting the appeal, the Privacy Act Officer should follow
the criteria for access to records specified in 5 U.S.C. 552a and SBA
regulations.
(c) The Privacy Act Officer shall, not later than thirty (30) days
(excluding Saturdays, Sundays, and legal public holidays) from the date
on which the individual requests such review, complete such review and
make a final Agency determination unless, for good cause shown, the
Privacy Act Officer extends such thirty (30) day period.
(d) In the event that the Privacy Act Officer extends the period he or
she shall inform the individual of the extension and notify the
individual of the date on which he or she can expect a decision. If,
after his or her review, the Privacy Act Officer also refuses to grant
access to the record, he or she shall notify the individual of the
reason for denial and the provisions for judicial review of the Agency
determination.
[Rev. 2, Amdt. 1, 40 FR 46280, Oct. 6, 1975. Redesignated at 58 FR
14146, Mar. 16, 1993]
Sec. 102.30 Requests for correction or amendment to record.
(a) Any individual may request the Agency to amend a record pertaining
to him or her. The request should be made to the Systems Manager
concerned or, if this is not known, to the Privacy Act Officer, Small
Business Administration, 409 3rd Street SW, Washington, DC 20416.
(b) All requests by an individual to amend a record shall be made in
writing, to the Systems Manager, with supporting documentation as may be
necessary, and preferably on forms provided by the Agency. The Systems
Manager shall not later than ten (10) days (excluding Saturdays,
Sundays, and legal public holidays) after the date of receipt of such
request to amend a record, acknowledge in writing such receipt. The
Systems Manager shall promptly:
(1) Make any correction of any portion thereof which the individual
believes is not accurate, relevant, timely or complete; or
(2) Inform the individual of the Agency's initial refusal to amend the
record in accordance with the request, the reason for the refusal and
the name and address of the Privacy Act Officer to whom the individual
may appeal the decision.
(c) Systems Managers shall, upon request by individuals seeking to
have a record pertaining to them amended, give advice as to the
procedures to be followed hereunder.
(d) Systems Managers shall, if the request for amendment has been
granted, send an amended copy of the record to prior recipients of the
record.
[Rev. 2, Amdt. 1, 40 FR 46280, Oct. 6, 1975, as amended by Amdt. 5, 41
FR 43711, Oct. 4, 1976. Redesignated at 58 FR 14146, Mar. 16, 1993; and
amended at 58 FR 14148, Mar. 16, 1993]
Sec. 102.31 Appeal of initial Agency determination on correction or
amendment of a record.
(a) Any individual who disagrees with the refusal of the Systems
Manager to amend his or her record may request a review of such refusal
by addressing his or her written request to the Privacy Act Officer. All
such requests for appeal should be submitted within thirty (30) days of
the date of denial, or within ninety (90) days of such request if the
appeal is from a failure to make a determination. Requests should
specify the reasons for said review and shall be accompanied by
affidavits, statements or such other supporting material as the
individual feels necessary to justify his or her appeal.
(b) The Privacy Act Officer shall consider the initial decision of the
Systems Manager and the material submitted by the requesting individual,
together with any and all other materials which he or she may consider
relevant. He or she may call upon the Office of General Counsel for a
legal opinion and any other Agency or program official who might have
specialized knowledge in the pertinent area, to aid in the decision. In
conducting the appeal, the Privacy Act Officer shall use the criteria of
accuracy, relevance, timeliness, and completeness of the record. The
Privacy Act Officer may, at his or her option, seek such additional
information as is deemed necessary to satisfy those criteria, i.e., to
establish that the record contains only that information which is
necessary, accurate, and complete to assure fairness in any
determination which may be made about the individual on the basis of the
record. With respect to requests to delete information contained in an
Agency file, the Privacy Act Officer should follow the same criteria as
above, namely, that the information in the file must be only that which
is relevant and necessary to accomplish the purpose of the Agency
required to be accomplished by law or regulation.
(c) The Privacy Act Officer shall, not later than thirty (30) days
(excluding Saturdays, Sundays, and legal public holidays) from the date
on which the individual requests such review, complete such review and
make a final Agency determination unless, for good cause shown, the
Privacy Act Officer extends such thirty (30) day period. The Privacy Act
Officer should not extend the time hereunder unless ``unusual
circumstances'' are found to exist.
(d) In the event that the Privacy Act Officer extends the period, he
or she shall inform the individual of the extension and notify him or
her of the date on which a decision can be expected. If, after his or
her review, the Privacy Act Officer also refuses to amend the record in
accordance with the request, he or she shall permit the individual to
file with the Agency a concise statement setting forth the reasons for
his or her disagreement with the refusal of the Agency, and notify the
individual of the provisions for judicial review of the Agency
determination.
(e) In any subsequent disclosure, containing information about which
an individual has filed a statement of disagreement with an Agency
refusal to amend a record, the Agency shall clearly note any portion of
the record which is disputed and provide copies of the statement of
disagreement and, if the Privacy Act Officer deems it appropriate,
copies of a concise statement of the reasons of the Agency for not
making the Amendments requested, to persons or other agencies to whom
the disputed record has been disclosed.
(f) In the event that an individual has filed a statement of
disagreement with an Agency refusal to amend a record, the Agency shall
clearly note any portion of the record which is disputed and provide
copies of the statement of disagreement and, if the Privacy Act Officer
deems it appropriate, copies of a concise statement of the reasons of
the Agency for not making amendments requested, to prior recipients of
the disputed record.
[Rev. 2, Amdt. 1, 40 FR 46280, Oct. 6, 1975, as amended by Amdt. 5, 41
FR 43712, Oct. 4, 1976. Redesignated at 58 FR 14146, Mar. 16, 1993]
Miscellaneous
Sec. 102.32 Maintenance of records of SBA.
(a) The Privacy Act Officer shall be responsible to see that the
Agency:
(1) Maintains in its records only such information about an individual
as is relevant and necessary to accomplish a purpose of the Agency
required to be accomplished by statute or by Executive Order of the
President;
(2) Collects 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;
(3) Informs each individual whom it asks to supply information, on the
form which it uses to collect the information or on a separate form that
can be retained by the individual;
(i) The authority (whether granted by statute, or by Executive Order
of the President) which authorizes the solicitation of the information
and whether disclosure of such information is mandatory or voluntary;
(ii) The principal purpose or purposes for which the information is
intended to be used;
(iii) The routine uses which may be made of the information, as
published pursuant to 5 U.S.C. 552a; and
(iv) The effects on him or her, if any, of not providing all or any
part of the requested information;
(4) Publishes in the Federal Register at least annually a notice of
the existence and character of the system of records, which notice shall
include;
(i) The name and location of the system;
(ii) The categories of individuals on whom records are maintained in
the system;
(iii) The categories of records maintained in the system;
(iv) Each routine use of the records contained in the system,
including the categories of users and the purpose of such use;
(v) The policies and practices of the Agency regarding storage,
retrievability, access controls, retention, and disposal of the records;
(vi) The title and business address of the Agency official who is
responsible for the system of records;
(vii) The Agency procedures whereby an individual can be notified at
his request if the system of records contains a record pertaining to
him;
(viii) The Agency procedures whereby an individual can be notified at
his request how he or she can gain access to any record pertaining to
him or her contained in the system of records, and how he or she can
contest its content; and
(ix) The categories of sources of records in the system.
(b) The Privacy Act Officer shall, in addition to his other duties
hereunder;
(1) Establish rules of conduct for persons involved in the design,
development, operation, or maintenance of any system of records, or in
maintaining any record, and instruct each such person with respect to
such rules and procedures adopted pursuant to this subpart and the
penalties for noncompliance;
(2) Establish appropriate administrative, technical, and physical
safeguards to insure the security and confidentiality of records and to
protect against any anticipated threats or hazards to their security or
integrity which could result in substantial harm, embarrassment,
inconvenience, or unfairness to any individual on whom information is
maintained; and
(3) At least thirty (30) days prior to publication of information
under paragraph (a)(4) of this section publish in the Federal Register
notice of any new use or intended use of the information in the system,
and provide an opportunity for interested persons to submit written
data, views, or arguments to the Agency; and
(4) Maintain all records which are used by the Agency in making any
determination about any individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure
fairness to the individual.
(c) The Systems Managers shall be responsible for seeing that their
office maintains no record describing how any individual exercises
rights guaranteed by the First Amendment unless expressly authorized by
statute or by the individual about whom the record is maintained or
unless pertinent to and within the scope of an authorized law
enforcement activity. The exercise of these rights includes, but is not
limited to, religious and political beliefs, freedom of speech and the
press, and freedom of assembly and to petition.
[Rev. 2, Amdt. 1, 40 FR 46280, Oct. 6, 1975. Redesignated at 58 FR
14146, Mar. 16, 1993]
Sec. 102.33 Other provisions.
(a) Personnel Records. All Agency personnel records and files, as
prescribed by the Office of Personnel Management, shall be maintained in
such a way that the privacy of all individuals concerned is protected in
accordance with regulations of the Office of Personnel Management (5 CFR
parts 293 and 297).
(b) Systems Operated by Contract. In the event that the Agency shall
provide by a contract for the operation by or on behalf of the Agency of
a system of records to accomplish an Agency function, the Agency shall,
consistent with its authority, cause the requirements of this subpart to
be applied to such system. Any such contractor and any employee of such
contractor, if such contract is agreed to on or after the effective date
of this regulation, shall be considered to be an employee of the Agency
for the purposes of this regulation.
(c) Mailing List. The Agency will not sell or rent an individual's
name or address. This provision shall not be construed to require the
withholding of names or addresses otherwise permitted to be made public.
(d) Changes in Systems. The Agency shall provide adequate advance
notice to Congress and the Office of Management and Budget of any
proposal to establish or alter any system of records in order to permit
an evaluation of the probable or potential effect of such proposal on
the privacy and other personal or property rights of individuals or the
disclosure of information relating to such individuals, and its effect
on the preservation of the constitutional principles of federalism and
separation of powers.
(e) Social Security Numbers. The Agency shall not, henceforth, require
any individual to disclose his or her social security account number and
shall not deny to any individual any right, benefit, or privilege
provided by law because of his or her refusal to so disclose. Any Agency
request for an individual to disclose his or her social security account
number shall inform that individual that disclosure is voluntary, by
what statutory or other authority such number is solicited, and what
uses will be made of it.
(f) Disclosure to Representative. Upon request, personnel records of
an employee or former employee, shall be disclosed to the individual to
whom the record pertains and under whose individual name and/or
identifier they are filed. A person of his or her own choosing may
accompany the individual when the record is disclosed, or the record may
be released to the individual's representative who has the notarized
written consent of the employee or former employee. Any disclosure of
original records must be made in the presence of a representative of the
Agency having physical custody of the records. (See 5 CFR 297.111 (a)).
(g) Representatives of Minors and Incompetents. For the purpose of
subpart B of this part 102, the parent of any minor, or the legal
guardian of any individual who has been declared to be incompetent due
to physical or mental incapacity or age by a court of competent
jurisdiction, may act on behalf of the individual.
(h) Medical Records. Medical records shall be disclosed to the
individual to whom they pertain unless, in the judgment of the Privacy
Act Officer, access to such record could have an adverse effect upon
such individual. The Agency may, however, transmit such information to a
medical doctor named by the requesting individual. In regard to medical
records in personnel files, see also 5 CFR 297.111(a)(1).
[Rev. 2, Amdt. 1, 40 FR 46280, Oct. 6, 1975. Redesignated at 58 FR
14146, Mar. 16, 1993; amended at 58 FR 14148, Mar. 16, 1993]
Sec. 102.34 Fees.
(a) The Agency shall charge no fee for providing the first copy of a
record or any portion thereof to an individual requesting disclosure of
information filed in his or her personnel records. (5 CFR 297.115).
(b) For all other copies of records made pursuant to this regulation,
the Agency will not charge for the cost of any search for and review of
the record and when the Agency makes a copy of a record as a necessary
part of its process of making the record available for review, but may
charge for all other reproduction at ten cents per page.
(c) Fees will be waived when less than $15.
[Rev. 2, Amdt. 1, 40 FR 46280, Oct. 6, 1975. Redesignated at 58 FR
14146, Mar. 16, 1993; amended at 58 FR 14148, Mar. 16, 1993]
Sec. 102.35 General exemptions.
Sec. 102.35 Specific exemptions.
(a) Systems of records subject to investigatory material exemption
under 5 U.S.C. 552a(k)(2), or 5 U.S.C. 552a(k)(5), or both.
(1) Audit Reports--SBA 015, a system containing investigations
concerning the use of funds by recipients of disaster home loans;
(2)EEO Complaint Cases Files--SBA 050, a system containing information
concerning Equal Employment Opportunity complaint cases;
(3) Litigation and Claims File--SBA 070, a system containing
information concerning recipients of disaster home loans and other
individuals who are parties to lawsuits or claims involving SBA;
(4)Personnel Security Files--SBA 100, a system containing background
information on active and inactive SBA employees;
(5) Security and Investigations Files--SBA 120, a system which
contains information on individuals seeking or receiving SBA assistance,
individuals involved in businesses or other organizations seeking or
receiving such assistance, representatives of applicants for SBA
assistance, members of advisory councils, and SCORE/ACE volunteers. This
system also includes information relating to referrals for investigation
of possible misconduct by SBA employees, and individuals involved in
seeking or obtaining SBA assistance;
(6) Standard of Conduct Files--SBA 140, a system containing
information concerning outside employment and financial interests of SBA
employees, conduct of SBA employees, and related matters; and
(7) Civil Rights Compliance Files--SBA 165, a system containing
information developed in investigating an allegation of discrimination
and other information related to the processing of a complaint of
discrimination.
(b) Scope of exemption. The system of records listed in Sec. 102.34(a)
is exempt pursuant to 5 U.S.C. 552a(j)(2) to the extent that information
in this system 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, confinement, release, and
parole and probation status;
(2) Information compiled for the purpose of 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) Reasons for exemption. Since the Investigations Division of the
OIG is a component of SBA which performs as its principal function
activities pertaining to the enforcement of criminal laws within the
meaning of 5 U.S.C. 552a(j)(2), the system of records described in
Sec. 102.34(a) is exempt for one or more of the following reasons:
(1) To prevent the subjects of OIG investigations from using the
Privacy Act to frustrate the investigative process.
(2) To protect the identity of Federal employees who furnish a
complaint or information to the OIG, consistent with section 7(b) of the
Inspector General Act of 1978, 5 U.S.C. App. I.
(3) To protect the confidentiality of other sources of information.
(4) To avoid endangering confidential sources and law enforcement
personnel.
(5) To prevent interference with law enforcement proceedings.
(6) To assure access to sources of confidential information, including
that contained in Federal, State and local criminal law enforcement
information systems.
(7) To prevent the disclosure of investigative techniques.
(8) To prevent the disclosure of classified information.
[49 FR 29944, July 25, 1984; as amended at 49 FR 31660, Aug. 8, 1984.
Redesignated at 58 FR 14146, Mar. 16, 1993; amended at 59 FR 4553, Feb.
1, 1994]
Sec. 102.36 Specific exemptions.
(a) Systems of record subject to investigatory material exemption
under 5 U.S.C. 552a(k)(2), or 5 U.S.C. 552a(k)(5), or both.
(1) Audit Report--SBA 015, a system containing investigations
concerning the use of funds by recipients of disaster home loans;
(2) Litigations and Claims Files--SBA 070, a system containing
information concerning recipients of disaster home loans and other
individuals who are parties to lawsuits or claims involving SBA;
(3) Personnel Security Files--SBA 100, a system containing background
information on active and inactive SBA employees;
(4) Security and Investigations Files--SBA 120, a system which
contains information on individuals seeking or receiving SBA assistance,
individuals involved in business or other organizations seeking or
receiving such assistance, representatives or applicants for SBA
assistance, members of Advisory Councils and SCORE/ACE volunteers;
(5) Office of Inspector General Referrals--SBA 125, a system
containing information relating to referrals for investigation of
possible misconduct by SBA employees, and individuals involved in
seeking or obtaining SBA assistance;
(6) Investigations Division Management Information System--SBA 130, a
system containing information on applicants, participants, contractors,
grantees, and other governmental entities involved in SBA programs, SBA
employees who have been investigated, members of Advisory Councils or
SCORE/ACE volunteers; and
(7) Standards of Conduct--SBA 140, a system containing information
concerning outside employment and financial interest of SBA employees,
conduct of SBA employees, and related matters.
(b) Privacy Act provisions from which exempt.The systems of records
described in this section are exempt from subsections (c)(3) (Accounting
of Certain Disclosures), (d)(Access to Records), (e)(1), 4G, H, and I
(Agency Requirements), and (f) (Agency Rules) of 5 U.S.C. 552a.
(c) Reasons for exemptions. The systems of records described in this
section are exempt for one or more of the following reasons:
(1) To prevent the subject of investigations from frustrating the
investigatory process.
(2) To protect investigatory material compiled for law enforcement
purposes.
(3) To fulfill commitments made to protect the confidentiality of
sources and to maintain access to necessary sources of information.
(4) To prevent interference with law enforcement proceedings.
[41 FR 43712, Oct. 4, 1976. Redesignated at 58 FR 14146, Mar. 16, 1993;
amended at 58 FR 14148, Mar. 16, 1993]
Sec. 102.37 Judicial review.
Any individual may bring a civil action against the Agency in a
district court of the United States as provided by 5 U.S.C. 552a(g)(1)
whenever the Small Business Administration:
(a) Makes a final determination under Sec. 102.30 not to amend an
individual's record in accordance with his or her request, or fails to
make such review in conformity with that section;
(b) Makes a final determination under Sec. 102.27 to refuse a request
to gain access to a record;
(c) Fails to maintain any record concerning any individual with such
accuracy, relevance, timeliness, and completeness as is necessary to
assure fairness in any determination relating to the qualifications,
character, rights, or opportunities of, or benefits to the individual
that may be made on the basis of such record, and consequently a
determination is made which is adverse to the individual; or
(d) Fails to comply under any other provision of 5 U.S.C. 552a or any
Agency rule or regulation promulgated thereunder, in such a way as to
have an adverse effect on an individual.
[Rev. 2, Amdt. 1, 40 FR 46280, Oct. 6, 1975. Redesignated at 58 FR
14146, Mar. 16, 1993]