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Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices
SMALL BUSINESS ADMINISTRATION
Revision of Privacy Act System of
Records
Small Business Administration.
ACTION: Notice of Revision of Agency’s
System of Records pursuant to the
provisions of the Privacy Act and to
open comment period.
AGENCY:
This notice provides for
review and comment on the most recent
major revision of the Agency’s Privacy
Act Systems of Records. SBA last
published its complete Systems of
Records on September 30, 2004, this
publication will consolidate all
revisions since that date. This
publication will incorporate into the full
text of the Systems, all changes that
have been published since the 2004
publication. These include: the
December 23, 2004 revision to System
20, Disaster Loan Files; June 10, 2005
revision to Systems 3, Advisory Counsel
Files; in compliance with Homeland
Security Presidential Directive 12, the
October 2, 2006 publication of System
34, Identity Management Systems, and
the August 23, 2007 publication of new
routine use for all Agency Systems of
Records to address the breech of
personally identifiable information as
recommended by the Office of
Management and Budget. This notice
and revision also includes the addition
of two new Systems of Records
proposed by the Office of the Inspector
General, SBA 35—Non-Employment
Related Background Checks and SBA
36—Suspension and Debarment Files.
Other minor changes such as office
addresses and titles have been included
and System 27, formerly entitled
Security and Investigations Files is
renamed Employee Misconduct Files.
DATES: Written comments on the System
of Records must be received on or before
April 30, 2009. The notice shall be
effective as proposed with or without
further publication at the end of the
comment period, unless comments are
received which would require contrary
determination.
ADDRESSES: Written comments on the
System of Records should be directed to
Lisa J. Babcock, Chief, Freedom of
Information/Privacy Acts Office, U. S.
Small Business Administration, 409 3rd
Street, SW., Washington, DC 20416.
FOR FURTHER INFORMATION CONTACT: Lisa
J. Babcock, Chief, Freedom of
Information/Privacy Acts Office, (202)
401–8203.
SUPPLEMENTARY INFORMATION: This
publication is in accordance with the
Privacy Act stipulation that Agencies
SUMMARY:
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publish their Systems of Records in the
Federal Register when there is a
revision, change or addition.
Small Business Administration New
Privacy Act Systems of Records;
Narrative StatementPrivacy Act System
of Records SBA 35; Non-Employment
Related Background Checks
A. Narrative Statement
1. The Small Business Administration
(SBA) is adding a new system of records
to the Agency’s Privacy Act Systems of
Records. The new system is entitled
‘‘Non-Employment Related Background
Checks.’’ The systems consists of
records that maintain information about
applicants for SBA loans or other
assistance or recognition, including
application forms, such as SBA Form
912 and related fingerprint cards,
criminal history and other records
checks and correspondence concerning
background. The system is maintained
by SBA’s Office of the Inspector General
in both electronic and paper formats.
2. Refer to the following citations: 5
U.S.C. App. 3 (The Inspector General
Act of 1978, as amended); 15 U.S.C.
Chapters 14A and 14B, and 44 U.S.C.
3101.
3. The effect on the individual will be
minimal. The information contained in
the System will be viewed only by
Agency personnel, contractors, experts,
consultants or volunteers in the line of
their official duties. These individuals
must comply with the requirements of
the PA of 1974, as amended, pursuant
to 5 U.S.C. 552a(m). Any potential
disclosures outside of the Agency will
be in compliance with the routine uses
of the System and will only be to
individuals with a need to know.
4. Access and use of the records will
be limited to specified individuals with
official need to know. Records will be
stored in locked file cabinets and all
computers containing these records are
protected by password and user
identification codes. In addition,
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).
5. The new proposed category of
records use satisfies the compatibility
requirement of subsection (a)(4) of the
Act as the FOI/PA Tracking System is a
‘‘collection, or grouping of information
about an individual that is maintained
by an agency’’ and ‘‘contains his name,
or the identifying number, symbol, or
other identifying particular assigned to
the individual.’’
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6. This is an internal information
collection. The Agency deems the OMB
approved information collection
requirements unnecessary.
Small Business Administration New
Privacy Act Systems of Records;
Narrative StatementPrivacy Act System
of Records SBA 36; Suspension and
Debarment Files
B. Narrative Statement
1. The Small Business Administration
(SBA) is adding a new system of records
to the Agency’s Privacy Act Systems of
Records. The new system is entitled
‘‘Suspension and Debarment Files.’’ The
systems consists of records that
maintain information Records consist of
materials compiled from investigations
and/or audits which identify violations
which may be cause for suspension or
debarment pursuant to the Federal
Acquisition Regulations or the
government-wide non-procurement
suspension and debarment regulations.
These materials include indictments,
information, plea agreements,
judgments, loan agreements, contract
documents, etc., that pertain to an
individual’s or entity’s participation in
government contracts, SBA loan
programs, and other SBA assistance.
2. Refer to the following citations: 5
U.S.C. App. 3 (the Inspector General Act
of 1978, as amended); 15 U.S.C.
Chapters 14A and 14B; and 44 U.S.C.
3101; 48 CFR Subpart 9.4
(procurement); 2 CFR Parts 180 and
2700 (non-procurement), and Executive
Orders 12549 and 12682.
3. The effect on the individual will be
minimal. The information contained in
the System will be viewed only by
Agency personnel, contractors, experts,
consultants or volunteers in the line of
their official duties. These individuals
must comply with the requirements of
the PA of 1974, as amended, pursuant
to 5 U.S.C. 552a(m). Any potential
disclosures outside of the Agency will
be in compliance with the routine uses
of the System and will only be to
individuals with a need to know.
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), and pursuant to 5 U.S.C.
§ 552(a)(k)(2) and (k)(5).
4. Access and use of the records will
be limited to specified individuals with
official need to know. Records will be
stored in locked file cabinets and all
computers containing these records are
protected by password and user
identification codes.
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5. The new proposed category of
records use satisfies the compatibility
requirement of subsection (a)(4) of the
Act as the FOI/PA Tracking System is a
‘‘collection, or grouping of information
about an individual that is maintained
by an agency’’ and ‘‘contains his name,
or the identifying number, symbol, or
other identifying particular assigned to
the individual.’’
6. This is an internal information
collection. The Agency deems the OMB
approved information collection
requirements unnecessary.
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
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 Office
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
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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, D.C. 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
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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., S.W., 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
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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. S.E., 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
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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 Disaster Loan Making Centers
DCMS Operations Center
13221 Woodland Park Rd., Herndon, VA
20174
Disaster Assistance Customer Service Center
130 S. Elmwood Avenue, Buffalo, NY
14202
Disaster Field Operations Center—East
101 Marietta Street, Suite 700, Atlanta, GA
30303
Disaster Loan Processing and Disbursement
Center
14925 Kingsport Rd., Fort Worth, TX
76155–2243
Disaster Field Operations Center—West
P.O. Box 419004, Sacramento, CA 95841–
9004, or 6501 Sylvan Rd., Citrus Heights,
CA 95610–5017
Disaster Personnel and Administrative
Services Center
13221 Woodland Park Rd., Herndon, VA
20174
Field Inspection Team
13221 Woodland Park Rd., Herndon, VA
20174
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
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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
Office of Inspector General Counsel Division
409 Third Street, SW., Washington, DC
20416
Office of Inspector General Management &
Policy Division
409 Third Street, SW., Washington, DC
20416
Atlanta Inspector General Auditing Division
233 Peachtree St., NE., Suite 1803, Atlanta,
GA 30303
Dallas/Fort Worth Inspector General
Auditing
4300 Amon Carter Blvd., Suite 116, Fort
Worth, TX 76155
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., Suite 1802, Atlanta,
GA 30303
Chicago Inspector General Investigations
Division
801 Warrenville Road, Suite 230, Lisle
Chicago, IL 60532
Dallas/Fort Worth Inspector General
Investigations Division
4300 Amon Carter Blvd., Suite 116, Fort
Worth, TX 76155–2653
Detroit Inspector General Investigations
Division
477 Michigan Avenue, Suite 515, Detroit,
MI 48266
Houston Inspector General Investigations
Division
8701 South Gessnar Drive, Suite 1200,
Houston, TX 77074
Kansas City Inspector General Investigations
Division
1000 Walnut Street, Suite 510, Kansas City,
MO 64106
Los Angeles Inspector General Investigation
Division
330 North Brand Blvd., Suite 850,
Glendale, CA 91203–2304
Miami Inspector General Investigations
Division
Claude Pepper Federal Building, 51 SW 1st
Avenue, Suite 1325, Miami, FL 33130
New Orleans Inspector General Auditing
Division and Investigations Divisions
365 Canal Street, Suite 2420, New Orleans,
LA 70130
New York Inspector General Investigations
Division
26 Federal Plaza, Rm. 41–100, New York,
NY 10278
Philadelphia Inspector General Investigations
Division
Curtis Center Room 860W, 601 Walnut
Street, Philadelphia, PA 19106
Tacoma Inspector General Investigations
Division
33400 9th Avenue, Federal Way, WA
98003
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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 DevelopmentManagement 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—Employee Misconduct 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 34—Identity Management System
SBA 35—Non-Employment Related
Background Checks
SBA 36—Suspension and Debarment Files
SBA 1
SYSTEM NAME:
ADMINISTRATIVE CLAIMS—SBA 1
SYSTEM LOCATION:
Headquarters (HQ) and Field Offices.
Records of claims up to $5,000 are in
District Offices, claims more than
$5,000 are in the Office of General
Counsel.
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:
Report and supporting materials
compiled in cases of loss or damage to
government property.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(1), 28 CFR 14.11.
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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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
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confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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.
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
Individuals who have corresponded
with 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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
f. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, SBA
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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
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
g. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
CONTESTING PROCEDURES:
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
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.
STORAGE:
RETRIEVAL:
By document number, 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:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will
determine procedures.
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SOURCE CATEGORIES:
Correspondence, memoranda authors,
and other sources that communicate
with SBA’s Administrator.
SBA 3
SYSTEM NAME:
ADVISORY COUNCIL FILES—SBA 3
SYSTEM LOCATION:
Headquarters (HQ). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
Current and former members on
SBA’s federal advisory councils.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:
Completed SBA Forms 898 of
individuals nominated to serve as
members on SBA’s federal advisory
councils. The completed forms contain
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 and may
also contain nominees’ professional
resumes and other correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
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:
Paper and electronic files.
PO 00000
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
a. Appointed liaisons in SBA program
offices, include but not limited to:
Office of Government Contracting;
Investment Division; Office of Financial
Assistance; Office of Procurement and
Grants Management; Office of the
Inspector General; Office of Strategic
Alliances; and 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 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 4, Chapter 7.
b. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
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c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
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entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
Records are organized according to
advisory council and retrieved 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 and records are
maintained in a locked room. Access is
limited to persons with official need to
know; computers are protected by
password and user identification codes.
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.
SYSTEM MANAGER(S) AND ADDRESS:
Committee Management Officer,
Office of Administration, HQ. See
Appendix A.
NOTIFICATION PROCEDURE:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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 duty stations, Agency
District and Field Offices and Federal
Records Center. See Appendix A.
PO 00000
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14895
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
OIG staff, parties requesting OIG
action, interviewees, persons examined
by an OIG inquiry and persons
providing information used by OIG staff,
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, volunteers supporting SBA,
including but not limited to members of
the Advisory Councils and Service
Corps of Retired Executive and in
connection with allegations of
wrongdoing or inefficiency within the
jurisdiction of the OIG.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:
Material provided to, gathered or
created by OIG in auditing, or otherwise
dealing with allegations that are within
the jurisdiction of the OIG,
documentation of allegations,
consultations, decisions, interviews,
records reviews, audits, evaluations,
and other non-audit services, and
various correspondence, etc.
AUTHORITY FOR MAINTENANCE OF THE SYSTEMS:
5 U.S.C. App. 3 (The Inspector
General Act of 1978, as amended); 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 court, magistrate, grand jury or
administrative tribunal, or opposing
counsel during trials, hearings or in
settlement negotiations.
c. To any private or governmental
source or person, in order to secure
information relevant to an investigation,
audit or other evaluation.
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
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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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
h. To the Office of Government Ethics
for any purpose consistent with their
mission.
i. To the Government Accountability
Office and to the General Services
Administration’s Board of Contract
Appeals in bid protest cases involving
an agency procurement.
j. To any Federal agency which has
the authority to subpoena other Federal
agencies’ records and has issued a valid
subpoena.
k. To the Department of the Treasury
and the Department of Justice (DOJ) in
support of an ex parte court order to
obtain taxpayer information from the
Internal Revenue Service.
l. To debt collection contractors for
collecting delinquent debts as
authorized by the Debt Collection Act of
1982, 31 U.S.C. 3718.
m. 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.
n. To DOJ to obtain advice regarding
FOIA disclosure obligations.
o. To the Office of Management and
Budget to obtain advice regarding PA
obligations.
p. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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.
q. To 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 DOJ is deemed by SBA to be
relevant and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
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employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
r. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
s. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
t. To members of the President’s
Council on Integrity and Efficiency, DOJ
or other agencies for the purpose of
conducting qualitative reviews of SBA
OIG operations for the preparation of
reports to the President and Congress on
the activities of the Inspectors General,
and for other uses in furtherance of the
Inspector General Act of 1978, as
amended.
u. To the public when the matter
under investigation has become public
knowledge, or when the IG determines
that such disclosure is necessary to
preserve confidence in the integrity of
the OIG investigative process, or to
demonstrate the accountability of SBA
PO 00000
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Fmt 4701
Sfmt 4703
employees, or other individuals covered
by this system, or when there exists a
legitimate public interest unless the IG
determines that disclosure of the
specific information in the context of a
particular case would constitute an
unwarranted invasion of personal
privacy.
v. To inform complainants, victims,
and witnesses of the results of an
investigation or inquiry.
w. To a Federal agency responsible for
considering administrative action,
including debarment or suspension.
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 and non-audit
services or reviews.
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, records
are maintained in accordance with SBA
SOP 00 41.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for
Auditing or designee. See Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Subject individuals, Agency
personnel, third parties, and other
Government agencies, such as the
Federal Bureau of Investigation.
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
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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. 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
fulfill commitments made to protect the
confidentiality of sources and to protect
subjects of investigations from
frustrating the investigatory process.
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
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speakers at management training
sessions.
b. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
PO 00000
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14897
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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
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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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
d. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, SBA
determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
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contained in the records that is a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
e. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will
determine procedures.
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CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
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States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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.
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SYSTEM MANAGER(S) AND ADDRESS:
HQ and Field Office Supervisors. See
Appendix A.
NOTIFICATION PROCEDURE:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
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14899
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name of correspondent.
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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:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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 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. Agency-wide
costs, i.e., rent, postage,
telecommunications, centralized
printing and 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).
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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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA to assist in the
performance of a service related to this
system of records and who need access
tothe 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 aninterest in such
litigation, and the use of such records by
DOJ is deemed by SBA to be
relevantand necessary to the litigation,
provided, however, that in each case,
SBA determines thedisclosure of the
records to DOJ is a use of the
information contained in the records
that iscompatible with the purpose for
which the records were collected: SBA,
or any componentthereof; any SBA
employee in their official capacity; any
SBA employee in their
individualcapacity where DOJ has
agreed to represent the employee; or
The United States Government,where
SBA determines that litigation is likely
to affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before whichSBA is
authorized to appear or before which
any of the following is a party to
litigation or has aninterest in litigation,
provided, however, that SBA
determines that the use of such records
isrelevant and necessary to the
litigation, and that, in each case, SBA
determines that disclosure ofthe records
to a court or other adjudicative body is
a use of the information contained in
therecords that is a compatible purpose
for which the records were collected:
SBA, or any SBAcomponent; any SBA
employee in their official capacity; any
SBA employee in their
individualcapacity where DOJ has
agreed to represent the employee; or
The United States Government,where
SBA determines that litigation is likely
to affect SBA or any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that thesecurity or
confidentiality of information in the
PO 00000
Frm 00012
Fmt 4701
Sfmt 4703
system records has been compromised;
SBAhas determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of thissystem or other systems
or programs (whether maintained by the
Agency or entity) that rely uponthe
compromised information; and the
disclosure made to such agencies,
entities and persons isreasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected orconfirmed compromise and
prevent, minimize, or remedy such
harm.
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:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
SBA employees.
SBA 10
SYSTEM NAME:
EMPLOYEE IDENTIFICATION CARD
FILES—SBA 10
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SYSTEM LOCATION:
Office of Human Capital Management
(Headquarters), Denver Human Capital
Management Operations Division and
Disaster Loan Making Centers (DLMC).
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 that office is
inquiring on theindividual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA to assist in the
performance of a service related to this
system of records and who need access
tothe 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
d. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, SBA
determines that disclosure of the
records to a court or other adjudicative
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body is a use of the information
contained in the records that is a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
e. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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 DLMC
Directors. See Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will
determine procedures.
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Fmt 4701
Sfmt 4703
14901
CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Subject employee, individuals and
agency personnel records.
SBA 11
SYSTEM NAME:
ENTREPRENEURIAL
DEVELOPMENT—MANAGEMENT
INFORMATION SYSTEM—SBA 11
SYSTEM LOCATION:
Headquarters (HQ).
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 information.
b. To a Congressional office from an
individual’s record, when that office is
inquiring on theindividual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
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provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
Electronic form in secured database
on a dedicated computer.
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RETRIEVAL:
By SBA Customer Number and crossreferenced 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:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
The Systems Manager or PA Officer
will determine procedures.
CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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.
PO 00000
Frm 00014
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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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
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confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Employee seeking counseling, other
employees, EEO Counselor, personnel
and employment records.
SBA 13
SYSTEM NAME:
EQUAL EMPLOYMENT
OPPORTUNITY COMPLAINT CASES—
SBA 13
Jkt 217001
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 actions.
Closed cases are included.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
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:
STORAGE:
17:50 Mar 31, 2009
Headquarters. See Appendix A.
29 CFR Part 1611.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
VerDate Nov<24>2008
SYSTEM LOCATION:
a. To report to the Equal Employment
Opportunity Commission (EEOC).
b. To EEOC when there is a hearing,
these records will be used in the case.
c. To 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 Federal
suit, 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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
f. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
PO 00000
Frm 00015
Fmt 4701
Sfmt 4703
14903
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
h. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
i. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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.
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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:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
Systems Manager or PA Officer will
determine procedures.
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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), 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. 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.
Jkt 217001
SYSTEM NAME:
FREEDOM OF INFORMATION AND
PRIVACY ACTS RECORDS—SBA 14
SYSTEM LOCATION:
Headquarters (HQ) and Field Offices.
See Appendix A.
Persons who have submitted requests
or appeals under either of the Acts.
CONTESTING PROCEDURES:
17:50 Mar 31, 2009
SBA 14
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
ACCESS PROCEDURES:
VerDate Nov<24>2008
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.
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 cases.
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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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 agency personnel responsible for
bringing Program Fraud Civil Remedies
Act litigation to the tribunal hearing
litigation or any appeals and to counsel
for the defendant party in any such
litigation.
PO 00000
Frm 00016
Fmt 4701
Sfmt 4703
f. 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.
g. To a Federal agency which has the
authority to subpoena other Federal
agencies records and has issued a valid
subpoena.
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 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 DOJ is deemed by SBA to be
relevant and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
k. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
l. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
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integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
Correspondence, supporting
documents, pleadings, orders, and
decisions.
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:
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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Correspondence submitted directly to
and replies from SBA.
SBA 15
SYSTEM NAME:
EMPLOYEE DISPUTES AND
APPEALS—SBA 15
SYSTEM LOCATION:
Servicing Personnel Office and the
Office of Hearings and Appeals (OHA)
where employee disputes (formerly
Grievances) or appeals of employee
disputes have been filed. See Appendix
A.
Jkt 217001
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101,
SOP 37 71 and 13 CFR Part 134.
Locked file cabinets and electronic
files.
17:50 Mar 31, 2009
SBA employees who have filed
Employee Disputes under Standard
Operating Procedure (SOP) 37 71. These
individuals may be referred to as the
employees, the appellants, or the
grievants.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
STORAGE:
VerDate Nov<24>2008
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
a. To the Office of Personnel
Management (OPM) or used in reporting
to the OPM on labor-management
relations activity.
b. To a Hearing Examiner in response
to another Agency’s inquiry, pursuant to
established procedures.
c. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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 Office of the Special Counsel
for any purpose consistent with its
mission.
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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
g. In a proceeding before a court, or
adjudicative body, or a dispute
PO 00000
Frm 00017
Fmt 4701
Sfmt 4703
14905
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
h. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
Name of the employee who filed the
dispute and/or appeal.
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 SOP
00 41 2 30:02.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Administrator for OHA,
Chief Human Capital Officer and Field
Managers. See Appendix A.
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NOTIFICATION PROCEDURE:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Grievants, appellants, employees,
personnel and employment records.
SBA 16
SYSTEM NAME:
INVESTIGATIVE FILES—SBA 16
SYSTEM LOCATION:
Office of the Inspector General (OIG),
Investigations Division offices and
Federal Records Center (FRC). See
Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
Persons and other entities 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 and others
in connection with allegations of
wrongdoing that are within the
jurisdiction of the OIG to investigate.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:
Material provided 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, etc.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. 3 (The Inspector
General Act of 1978, as amended), 15
U.S.C. Chapters 14A and 14B and 44
U.S.C. 3101.
VerDate Nov<24>2008
17:50 Mar 31, 2009
Jkt 217001
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, or to opposing
counsel in the course of hearings, trials
or settlement negotiations.
c. To any private or governmental
source or person, in order to secure
information relevant to an investigation,
audit or other evaluation.
d. To other Federal agencies
conducting background checks; only to
the extent the information is relevant to
the requesting agencies’ function.
e. 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.
f. 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.
g. To Federal, State or local bar
associations and other professional
regulatory or disciplinary bodies for use
in disciplinary proceedings and
inquiries.
h. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
i. To the General Accounting Office
(GAO) for periodic reviews of SBA.
j. To the Office of Government Ethics
for any purpose consistent with their
mission.
k. To GAO, and to the General
Services Administration’s Board of
Contract Appeals in bid protest cases
involving an agency procurement.
l. To any Federal agency which has
the authority to subpoena other Federal
agencies’ records and has issued a valid
subpoena.
m. To the Department of Treasury and
the Department of Justice (DOJ) when an
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agency is seeking an ex parte court order
to obtain taxpayer information from the
Internal Revenue Service.
n. To debt collection contractors for
collecting delinquent debts as
authorized by the Debt Collection Act of
1982, 31 U.S.C. 3718.
o. To SBA volunteers, interns,
grantees, experts and contractors who
have been engaged by SBA 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.
p. To 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 DOJ is deemed by SBA to be
relevant and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
q. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
r. To members of the President’s
Council on Integrity and Efficiency, DOJ
or other agencies for the purpose of
conducting qualitative reviews of SBA
OIG operations for the preparation of
reports to the President and Congress on
the activities of the Inspectors General,
and for other uses in furtherance of the
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Inspector General Act of 1978, as
amended.
s. To the public when the matter
under investigation has become public
knowledge, or when the IG determines
that such disclosure is necessary to
preserve confidence in the integrity of
the OIG investigative process, or to
demonstrate the accountability of SBA
employees, or other individuals covered
by this system, or when there exists a
legitimate public interest unless the IG
determines that disclosure of the
specific information in the context of a
particular case would constitute an
unwarranted invasion of personal
privacy.
t. To inform complainants, victims,
and witnesses of the results of an
investigation or inquiry.
u. To a Federal agency responsible for
considering debarment or suspension
action if the record would be relevant to
such action.
v. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
File folders in filing cabinets or safes,
or on shelves in locked file room, and
electronic files.
RETRIEVAL:
Indexed by fiscal year closed and then
by case number. Cross-referenced to the
number(s) of the investigative file(s)
containing related materials.
SAFEGUARDS:
All filing cabinets and file rooms 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:
Maintain in accordance with SOP 00
41.
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SYSTEM MANAGER(S) AND ADDRESS:
SBA 17
Assistant Inspector General for
Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Subject individual, Agency personnel,
informants, financial institutions, 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), 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. 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
fulfill commitments made to protect the
confidentiality of sources and to protect
subjects of investigations from
frustrating the investigatory process.
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14907
SYSTEM NAME:
INVESTIGATIONS MANAGEMENT
INFORMATION SYSTEM—SBA 17
SYSTEM LOCATION:
On dedicated server and shared drive
accessible only to Office of the Inspector
General (OIG), Investigations Division
personnel and authorized Information
Technology maintenance personnel. See
Appendix A.
CATEGORIES OF INDIVIDUALS COVERED IN THE
SYSTEM INCLUDES:
Persons or other entities 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.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:
Material gathered or created during
preparation for, conduct of and followup on investigations conducted by OIG,
the Federal Bureau of Investigation (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, as amended); 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, or to opposing
counsel in the course of hearings, trials
or settlement negotiations.
c. To any private or governmental
source or person, to the extent necessary
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to secure information relevant to an
investigation or audit.
d. To other Federal agencies
conducting background checks; only to
the extent the information is relevant to
the requesting agencies’ function.
e. 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.
f. 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.
g. To Federal, State or local bar
associations and other professional
regulatory or disciplinary bodies for use
in disciplinary proceedings and
inquiries.
h. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
i. To the Office of Government Ethics
for any purpose consistent with their
mission.
j. To General Accountability Office
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 other Federal
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 debts as
authorized by the Debt Collection Act of
1982, 31 U.S.C. 3718.
n. To SBA volunteers, interns,
grantees, experts and contractors who
have been engaged by SBA 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.
o. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
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litigation, and the use of such records by
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
p. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
q. To members of the President’s
Council on Integrity and Efficiency, DOJ
or other agencies for the purpose of
conducting qualitative reviews of SBA
OIG operations for the preparation of
reports to the President and Congress on
the activities of the Inspectors General,
and for other uses in furtherance of the
Inspector General Act of 1978, as
amended.
r. To the public when the matter
under investigation has become public
knowledge, or when the IG determines
that such disclosure is necessary to
preserve confidence in the integrity of
the OIG investigative process, or to
demonstrate the accountability of SBA
employees, or other individuals covered
by this system, or when there exists a
legitimate public interest unless the IG
determines that disclosure of the
specific information in the context of a
particular case would constitute an
unwarranted invasion of personal
privacy.
s. To inform complainants, victims,
and witnesses of the results of an
investigation or inquiry.
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t. To a Federal agency responsible for
considering debarment or suspension
action if the record would be relevant to
such action.
u. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
Self-contained system on dedicated
server and shared drive.
RETRIEVAL:
Subjects’ name or Social Security
number, company name, complainant’s
name, case number, case name or
agent’s name.
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. Retained on
server and shared drive indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for
Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
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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), 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. 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
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
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Office of General Counsel 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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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 Office of Government Ethics
for any purpose consistent with their
mission.
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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
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14909
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that thesecurity or
confidentiality of information in the
system records has been compromised;
SBAhas determined that as a result of
the suspected or confirmed compromise
there is a risk of harm toeconomic or
property interests, identify theft or
fraud, or harm to the security of
integrity of thissystem or other systems
or programs (whether maintained by the
Agency or entity) that rely uponthe
compromised information; and the
disclosure made to such agencies,
entities and persons isreasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected orconfirmed compromise and
prevent, minimize, or remedy such
harm.
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;
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:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Office of Human Capital Management
and third party witnesses.
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
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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. 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 classifiedinformation 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 19
SYSTEM NAME:
LITIGATION AND CLAIMS FILES—
SBA 19
SYSTEM LOCATION:
Headquarters (HQ), Field Offices,
Office of Inspector General Counsel
Division, Disaster Loan Making Centers
(DLMC) 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
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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
ofHousing 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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
h. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA to assist in the
performance of a service related to this
PO 00000
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system of records and who need access
to the records in order to perform this
activity. Recipients of these records
shall be required tocomply with the
requirements of the Privacy Act of 1974,
as amended, 5 U.S.C. 552a.
i. To 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 DOJ is deemed by SBA to be
relevant and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent theemployee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
j. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
k. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
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and prevent, minimize, or remedy such
harm.
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;
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:
DLMC and DHLSC Directors and
Counsel to the Inspector General. See
Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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:
Office of General Counsel and Field
Office Systems Manager. See Appendix
A.
SOURCE CATEGORIES:
Subject employee, Agency personnel,
the public, DOJ, bankruptcy notices,
court records, title companies, and loan
case files.
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
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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), 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 classifiedinformation 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 20
SYSTEM NAME:
DISASTER LOAN CASE FILE—SBA
20
SYSTEM LOCATION:
Office of Disaster Assistance, DCMS
Operations Center, Herndon, Virginia,
SBA Disaster Loan Making Centers and
SBA Loan Servicing Offices. Data
hosting by contractor off site in secure
locations per SBA Office of the Chief
Information Officer standards. See
Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
Applicants and recipients of disaster
home loans.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:
Information relating to preapplication registrants, disaster home
and business loan applicants and
recipients of a disaster home and
business loans from the time of preapplication registration. Included are:
Loan applications, supporting
documents, personal history, financial
statements, credit information,
investigative reports, appraisers’ reports,
waivers, loan record transfers,
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correspondence, recommendations,
authorizations, disbursement amount,
term and rate, payment history,
collateral, UCC filings and re-filings,
collection and liquidation activities,
financial statements, settlements and
compromises, participating bank
information, field visit reports,
borrowers insurance information and
loan accounting information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:
a. To the public on approved loans,
information is limited to recipient name
and address, term and rate of the loan,
and the apportioned amount of the loan
for real or personal property loss.
b. To provide information to potential
investors who are interested in bidding
on loans made available by the Agency
in a sale of assets. Investors will be
required to execute a confidentiality
agreement prior to reviewing any record
or information.
c. To the public, under certain
conditions, on losses incurred by the
government due to non-payment of
obligations by individuals. In these
cases, the name and address of the
obligator and amount incurred (amount
written-off from Agency assets) will not
be released to the public unless the
borrower consents to disclosure or is
required pursuant to the Freedom of
Information Act.
d. To the Federal, State, local or
foreign agency or professional
organization which has responsibility
for investigating, prosecuting or
enforcing violations, statute rules,
regulations or orders issuedwhen the
Agency locates a violation or potential
violation of law whether arising by
general or program statute, or by
regulation, rule or order.
e. To request information from a
Federal, State or local agency or a
private credit agency maintaining civil,
criminal or other information relevant to
determining an applicant’s suitability
for a loan; thismay be requested
individually or part of a computer
match.
f. 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 part of a
computer match.
g. To other Federal agencies to
conduct computer matching programs to
locate delinquent SBA borrowers who
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are receiving Federal salaries or benefit
payments and programs to identify
delinquent SBA borrowers receiving
federal salaries or benefit payments.
Disclosure will be madeif the records
indicate the loan is in default, at least
30 days past due or to update a previous
disclosure. SBA will make disclosures
to obtain repayments of debts under the
provisions of theDebt Collection Act of
1982 by voluntary repayment, or
administrative or salary offset
procedures.
h. To a consumer reporting agency.
i. To provide the Internal Revenue
Service (IRS) with access to an
individual’s records for an official audit
to the extent the information is relevant
to the IRS’s function.
j. To a court, magistrate, grand jury or
administrative tribunal, opposing
counsel during such proceedings or in
settlement negotiations when presenting
evidence.
k. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
l. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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 tocomply with the
requirements of the Privacy Act of 1974,
as amended, 5 U.S.C. 552a.
m. 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines thedisclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government,where SBA
determines that litigation is likely to
affect SBA or any of its components.
n. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, SBA
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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
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
o. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
SYSTEM MANAGER(S) AND ADDRESS:
Disaster Loan Making Center
Directors. Director, DCMS Operations
Center. See Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Subject, individuals, SBA employees,
financial institution, law enforcement
agencies, IRS and FEMA.
SBA 21
SYSTEM NAME:
LOAN SYSTEM—SBA 21
SYSTEM LOCATION:
Headquarters, 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.
RETRIEVAL:
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
By applicant/recipient name, crossreferenced loan number or borrower’s
Social Security Number or Employer
Identification Number.
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).
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 Appendix
18.
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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USES AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED, OR REFERRED:
a. To SBA Resource Partner, its
successors or assigns, (i.e. participating
lender, certified development company,
micro lender) who initially collected the
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individual’s information for the purpose
of making and servicing loans.
b. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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 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.
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 SBA as a part of SBA’s Asset Sales
program.
f. 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.
g. 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.
h. To 7(a) and 504 lenders and/or
participating contractors for purposes of
the Loan and Lender Monitoring
System.
i. 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
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determines that litigation is likely to
affect SBA or any of its components.
j. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
k. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security and
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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
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14913
their official capacities, with a need-toknow, 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 SBA
officials acting in their official
capacities, with a need-to-know. SBA
Resource Partners, their successors or
assigns, will have access only to the
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 review or amend 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
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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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
d. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA is
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authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
e. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Requesting employee and other
Agency personnel.
SBA 23
SYSTEM NAME:
PAYROLL FILES—SBA 23
SYSTEM LOCATION:
Office of Human Capital Management
and Office of Inspector General (for OIG
employees), both at 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 Accountability Office
Policy and Procedures Manual, 31
U.S.C. Part 285, Sections 112(a) and 113
of the Budget and Accounting
Procedures Act of 1950 and 5 USC
Chapters 55 through 63.
SYSTEM MANAGER(S) AND ADDRESS:
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:
HQ, Counsel to the Inspector General
and Field Managers. See Appendix A.
a. To the Federal, State, local or
foreign agency or professional
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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 GAO for audit purposes.
d. To the 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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
f. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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 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,
Public Law 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.
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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
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that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
i. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
j. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
RETRIEVAL:
By employee name and/or SSN.
SAFEGUARDS:
Physical, technical and administrative
security is maintained and admission to
Frm 00027
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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, HQ. See
Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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. 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:
5 U.S.C. App. 3 (The Inspector
General Act of 1978, as amended); 15
U.S.C. Chapters 14A and 14B; 44 U.S.C.
3101, Executive Order 10450, as
amended.
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:
Paper and electronic files.
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a. To the Federal, State, local or
foreign agency or professional
organization which investigates,
prosecutes or enforces violations,
statutes, rules, regulations or orders
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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 grand jury, court, magistrate,
administrative tribunal, or to opposing
counsel in the course of hearings, trials
or settlement negotiations.
d. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
e. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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 OPM in accordance with that
agency’s authority to evaluate Federal
personnel management.
g. To the Merit Systems Protection
Board in connection with its
consideration of appeals of personnel
actions.
h. To physicians conducting fitness
for duty examinations.
i. 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.
j 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.
k. To the Office of Government Ethics
for any purpose consistent with their
mission.
l. To members of the President’s
Council on Integrity and Efficiency, the
Department of Justice or other agencies
for the purpose of conducting
qualitative reviews of SBA OIG
operations for the preparation of reports
to the President and Congress on the
activities of the Inspectors General, and
for other uses in furtherance of the
Inspector General Act of 1978, as
amended.
m. To 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 DOJ is deemed by SBA to be
relevant and necessary to the litigation,
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provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
n. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
o. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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.
PO 00000
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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:
In accordance with SOP 00 41.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for
Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
Assistant Inspector General for
Investigations or designee.
CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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, Disaster Loan Making
Centers (DLMC) and Disaster Home
Loan Service Centers (DHLSC). See
Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
Recipients of SBA Disaster Home
Loans.
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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 Government Accountability
Office in the course of their review of
the Agency.
b. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
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their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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; 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:
DLMC Directors and DHLSC
Managers. See Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Office of Portfolio Review, Loan Case
Files, SBA personnel and field visits to
borrowers.
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SBA 26
SYSTEM NAME:
POWER OF ATTORNEY FILES—SBA
26
SYSTEM LOCATION:
Field Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDE:
Insurance agents who have the
authority to execute a surety bond.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDE:
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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To SBA volunteers, contractors,
interns, grantees, and experts who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
d. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
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determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
e. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
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:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will
determine procedures.
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CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Authorizing surety company.
SBA 27
SYSTEM NAME:
EMPLOYEE MISCONDUCT FILES—
SBA 27
SYSTEM LOCATION:
Office of the Inspector General (OIG),
Investigations Division Offices,
Headquarters duty stations in the field
and Federal Record Center. 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 followup 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, as amended), 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.
PO 00000
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Fmt 4701
Sfmt 4703
b. To a grand jury, court, magistrate,
administrative tribunal, or to opposing
counsel in the course of hearings, trials
or settlement negotiations.
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 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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
h. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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.
i. To the Office of Government Ethics
or the Office of Personnel Management
for any purpose consistent with their
respective missions.
j. To the Government Accountability
Office 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 taxes authorized
by the Debt Collection Act of 1982, 31
U.S.C. 3718.
n. To third parties during the course
of an investigation to the extent
necessary to obtain information
pertinent to the investigation.
o. To a grand jury agent pursuant to
a Federal or State grand jury subpoena
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or to a prosecution request that records
be introduced to a grand jury.
p. To DOJ to obtain advice regarding
FOIA disclosure obligations.
q. To the Office of Management and
Budget to obtain that advice regarding
PA obligations.
r. To members of the President’s
Council on Integrity and Efficiency, DOJ
or other agencies for the purpose of
conducting qualitative reviews of SBA
OIG operations for the preparation of
reports to the President and Congress on
the activities of the Inspectors General,
and for other uses in furtherance of the
Inspector General Act of 1978, as
amended.
s. To 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 DOJ is deemed by SBA to be
relevant and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
t. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
u. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
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fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
14919
In accordance with Standard
Operating Procedure 00 41.
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. 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
fulfill commitments made to protect the
confidentiality of sources and to protect
subjects of investigations from
frustrating the investigatory process.
SYSTEM MANAGER(S) AND ADDRESS:
SBA 28
Assistant Inspector General for
Investigations or designee. See
Appendix A.
SYSTEM NAME:
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:
NOTIFICATION PROCEDURE:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
SMALL BUSINESS PERSON AND
ADVOCATE AWARDS—SBA 28
SYSTEM LOCATION:
Headquarters (HQ) and Field Offices.
See Appendix A.
ACCESS PROCEDURES:
Assistant Inspector General for
Investigations or PA Officer will
determine procedures.
CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Subject individual, SBA personnel,
informants, and investigative
Government agencies, such as the FBI.
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
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Fmt 4701
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
Candidates and winners of the Small
Business Person of the Year, Advocate,
Minority Small Business Person and
Phoenix Awards.
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,
applications, biographical summaries,
correspondence, recommendations and
narratives. Records of Community
Development Awards in HQ include
biographical and qualifying information
and recommendations from field offices.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
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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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
f. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
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17:50 Mar 31, 2009
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g. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
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:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORY:
Subject individual, individual
sponsors, Advisory Council members,
Agency personnel, research
publications, directories and news
media.
SBA 29
SYSTEM NAME:
STANDARDS OF CONDUCT FILES—
SBA 29
Frm 00032
Fmt 4701
Sfmt 4703
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:
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 Sections 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:
Paper and electronic files.
PO 00000
SYSTEM LOCATION:
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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
e. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
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records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
g. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
h. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
SAFEGUARDS:
Access strictly limited to those
employees with an official need to
know; computers secured by passwords
and user identification codes.
In accordance with National Archives
and Records Administration General
Records Schedule 1.1.
SYSTEM MANAGER(S) AND ADDRESS:
Office of Human Capital Management,
OIG, PA Officer and Field Office
Directors. See Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Confidential statement of employment
and financial interests by the employee.
Adverse information could come from
other employees or 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
REPOSITORY—SBA 30
SYSTEM LOCATION:
By employee name and/or Social
Security Number.
Headquarters and Field Offices. See
Appendix A.
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDE:
Applicants and program participants
in SBA’s 8(a) Business Development
program.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDE:
RETENTION AND DISPOSAL:
RETRIEVAL:
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14921
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 from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
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which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security or
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORAGE,
RETRIEVAL, ACCESS, RETENTION AND DISPOSAL
OF RECORDS:
STORAGE:
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:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
PA Officer or Field Office Systems
Manager will determine procedures.
CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
RECORD SOURCE CATEGORIES:
Small business applicants or
participants in the 8(a) Business
Development program.
SBA 31
SYSTEM NAME:
TEMPORARY DISASTER
EMPLOYEES—SBA 31
SYSTEM LOCATION:
Office of Disaster Assistance: 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.
Electronic database records reside on
SBA secured mainframe system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
RETRIEVAL:
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:
Name of individual and business
name.
SAFEGUARDS:
Access and use is limited to persons
whose official duties designate such a
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17:50 Mar 31, 2009
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15 U.S.C. 634(b)(6), 44 U.S.C. 101.
a. To verify previous employment
with SBA when a former employee is
considered for reemployment.
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Sfmt 4703
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 that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
f. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
g. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
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the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORAGE,
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:
Individuals may make record
inquiries 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Disaster Loan Making Centers.
SBA 32
SYSTEM NAME:
TORT CLAIMS—SBA 32
SYSTEM LOCATION:
Headquarters (HQ), Field Offices,
Disaster Loan Making Centers (DLMC)
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.
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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 rental car company
responsible for personal injuries and
property damage.
d. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
e. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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 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 DOJ is deemed by SBA to be
relevant and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
g. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, SBA
determines that disclosure of the
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records to a court or other adjudicative
body is a use of the information
contained in the records that is a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
h. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORAGE,
RETRIEVAL, ACCESS, RETENTION AND DISPOSAL
OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
Name of government employee or
involved individual(s).
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
DLMC Director. See Appendix A.
NOTIFICATION PROCEDURES:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
Systems Manager or PA Officer will
determine procedures.
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CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) 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 and Federal Records Center. 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 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.
b. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
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or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
f. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected orconfirmed compromise and
prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORAGE,
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.
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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:
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
System Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Employees Travel Vouchers.
SBA 34
SYSTEM NAME:
IDENTITY MANAGEMENT
SYSTEM—SBA 34
SYSTEM LOCATION:
Headquarters (HQ), contractor
provided hosted facility. (see Appendix
A).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
Individuals who require regular,
ongoing access to SBA facilities,
including, applicants for employment or
contracts, federal employees,
contractors, students, interns,
volunteers, and individuals authorized
to perform or use services provided in
SBA facilities (e.g., Credit Union,
Fitness Center, etc.). The system does
not apply to occasional visitors or shortterm guests to whom SBA will issue
temporary identification and
credentials.
CATEGORIES OF RECORDS IN THE SYSTEM:
Full name, social security number;
date of birth; signature; image
(photograph); fingerprints; hair color;
eye color; height; weight; organization/
office of assignment; company name;
telephone number; copy of background
investigation form; personal addresses
for past 5 years; high school and college
attended (as applicable); Card Holder
Unique Identification Number; Personal
Identification Number; Personal Identity
Verification (PIV) enrollment package;
PIV card issue and expiration dates;
personal identification number; results
of background investigation; PIV request
form; PIV registrar approval signature;
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PIV card serial number; emergency
responder designation; PIV card
expiration date; copies of documents
used to verify identification or
information derived from those
documents; level of national security
clearance and expiration date; computer
system user name; user access and
permission rights, authentication
certificates; digital signature
information; National Agency Check
with Written Inquiries investigation;
fingerprint check; National Criminal
History Name Check, information
technology systems, or information
classified in the interest of national
security.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; Federal Information
Security Act (Pub. L. 104–106, sec.
5113), Electronic Government Act (Pub.
L. 104–347, sec. 203), Paperwork
Reduction Act of 1995 (44 U.S.C. 3501),
Government Paperwork Elimination Act
(Pub. L. 105–277, 44 U.S.C. 3504),
Homeland Security Presidential
Directive 12, Federal Property and
Administrative Act of 1949, as
amended.
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 National Archives and Records
Administration or to the General
Services Administration for records
management inspections conducted
under 44 U.S.C. 2904 and 2906.
b. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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 a Federal, State, local, foreign,
or tribal or other public authority of the
fact that this system of records contains
information relevant to the retention of
an employee, the retention of a security
clearance, the letting of a contract, or
the issuance or retention of a license,
grant, or other benefit with appropriate
restrictions on further disclosure.
e. To the Office of Management and
Budget (OMB) when necessary for the
review of private relief legislation
pursuant to OMB Circular No. A–19.
f. To a Federal, State, or local agency,
or other appropriate entities or
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individuals, or through established
liaison channels to selected foreign
governments, in order to enable an
intelligence agency to carry out its
responsibilities under the National
Security Act of 1947 as amended, the
CIA Act of 1949 as amended, Executive
Order 12333 or any successor order,
applicable national security directives,
or classified implementing procedures
approved by the Attorney General and
promulgated pursuant to such statutes,
orders or directives.
g. To notify another Federal agency
when, or verify whether a PIV card is no
longer valid.
h. To a supervisor or manager in order
to verify employee time and attendance
record for personnel actions. Note:
Disclosures within SBA of data
pertaining to date and time of entry and
exit of an agency employee working in
the District of Columbia may not be
made to supervisors, managers or any
other persons (other than the individual
to whom the information applies) to
verify the employee time and
attendance record for personnel actions
because 5 U.S.C. 6106 prohibits Federal
Executive agencies (other than the
Bureau of Engraving and Printing) from
using a recording within the District of
Columbia, unless used as a part of a
flexible schedule program under 5
U.S.C. 6120 et seq.
i. 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
j. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
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14925
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individualcapacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
k. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS:
STORAGE:
Records are stored in electronic media
and in paper files and not on the card.
RETRIEVABILITY:
Records are retrievable by name,
social security number, PIV card serial
number, or Card Holder Unique
Identification Number.
SAFEGUARDS:
Paper records are kept in locked
cabinets in secure facilities, access is
restricted to individuals whose role
requires use of the records. Access to
facilities will be controlled by the PIV
card, the System requires a PIV card to
log on and to digitally sign transactions.
The computer servers storing the
records are located in facilities that are
secured by alarm systems and off-master
key access. The computer servers are
password-protected. Access to
individuals working at guard stations is
password-protected; each person
granted access to the system at guard
stations must be individually authorized
to use the system. A Privacy Act
Warning Notice appears on the monitor
screen when PIV records are first
displayed. Data exchanged between the
servers and the client PCs at the guard
stations and badging office are
encrypted. Backup tapes are stored in a
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locked and controlled room in a secure,
off-site location. An audit trail is
maintained and reviewed periodically
to identify unauthorized access. Persons
given roles in the PIV process must
complete training specific to their roles
to ensure their knowledge about how to
protect individually identifiable
information. The system uses the high
risk confidentiality and integrity
security controls specified in the
National Institute of Standards and
Technology Special Publication 800–53.
RETENTION AND DISPOSAL:
Records relating to persons covered
by this system are retained in
accordance with General Records
Schedule 18, Item 17. Unless retained
for specific, ongoing security
investigations, for maximum security
facilities, records of access are
maintained for five years and then
destroyed by wiping hard drives and
shredding paper. For other facilities,
records are maintained for two years
and then destroyed by wiping hard
drives and shredding paper. All other
records relating to employees are
destroyed two years after ID security
card expiration date. In accordance with
FIPS 201–1, PIV Cards are deactivated
within 18 hours of cardholder
separation, notification of loss of card,
or expiration. The information on PIV
Cards is maintained in accordance with
General Records Schedule 11, Item 4.
PIV Cards that are turned in for
destruction are shredded within 90
days.
SYSTEM MANAGER(S) AND ADDRESSES:
Assistant Administrator/Human
Capital Management, Associate
Administrator/Disaster Assistance, or
designees, PA Officer. See Appendix A.
NOTIFICATION PROCEDURES:
An individual may submit a record
inquiry either in person or in writing to
the System Manager or the PA Officer.
When requesting notification of or
access to records, an individual should
provide their full name, date of birth,
and work location. Individuals
requesting notification of records in
person must provide identity
documents sufficient to satisfy the
custodian of the records that the
requester is entitled to access, such as
a government-issued photo ID.
Individuals requesting notification via
mail or telephone must furnish, at
minimum, name, date of birth, social
security number, and home address in
order to establish identity.
ACCESS PROCEDURES:
System Manager or PA Officer will
determine procedures.
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CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
SOURCE CATEGORIES:
Employee, contractor, or applicant;
sponsoring SBA; former sponsoring
SBA; other Federal agencies; contract
employer; former employer.
SBA 35
SYSTEM NAME:
NON-EMPLOYMENT RELATED
BACKGROUND CHECKS—SBA 35
SYSTEM LOCATION:
Office of Inspector General (OIG),
Investigations Division, Office of
Security Operations. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
Applicants for SBA loans or other
assistance.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:
Information about applicants for SBA
loans or other assistance or recognition,
including application forms, such as
SBA Form 912 and related fingerprint
cards, criminal history and other
records checks and correspondence
concerning background.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. 3 (The Inspector
General Act of 1978, as amended); 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 Bureau of
Investigation (FBI) and other agencies,
for the purpose of obtaining criminal
history records and other information
relevant to determining applicant
suitability.
b. 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.
c. To other Federal Agencies, upon
request, that are conducting background
checks.
d. To a court, magistrate judge, grand
jury or administrative tribunal,
opposing counsel during such
proceedings or in settlement
negotiations when presenting evidence.
e. To a Congressional office from an
individual’s record, when that office is
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inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
f. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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 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.
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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
i. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
j. To appropriate agencies, entities,
and persons when: SBA suspects or has
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confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identify theft or
fraud, or harm to the security of
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
k. To members of the President’s
Council on Integrity and Efficiency, DOJ
or other agencies for the purpose of
conducting qualitative reviews of SBA
OIG operations for the preparation of
reports to the President and Congress on
the activities of the Inspectors General,
and for other uses in furtherance of the
Inspector General Act of 1978, as
amended.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
SOURCE CATEGORIES:
Person(s) applying for SBA loans or
other assistance, other federal agencies,
including the FBI, and SBA personnel.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:
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 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 36
Rotary diebold power files and
electronic data systems.
SYSTEM NAME:
RETRIEVAL:
SUSPENSION AND DEBARMENT
FILES—SBA 36
By applicant name and/or Social
Security number.
SYSTEM LOCATION:
Office of the Inspector General (OIG)
Counsel Division. See Appendix A.
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:
In accordance with SOP 00 41.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Inspector General for
Investigations or designee. See
Appendix A.
Individuals may make record
inquiries in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:
Assistant Inspector General for
Investigations or designee.
CONTESTING PROCEDURES:
Notify officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
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Individuals covered by the system
include the individuals or entities who
have been considered for suspension
and/or debarment, recommended for
suspension and/or debarment, or
formally suspended and/or debarred,
persons providing information used by
the recommending person or the
suspending/debarring officials.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:
NOTIFICATION PROCEDURES:
VerDate Nov<24>2008
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:
Records consist of materials compiled
from investigations and/or audits which
identify violations which may be cause
for suspension or debarment pursuant to
the Federal Acquisition Regulations or
the government-wide non-procurement
suspension and debarment regulations.
These materials include indictments,
information, plea agreements,
judgments, loan agreements, contract
documents, etc., that pertain to an
individual’s or entity’s participation in
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14927
government contracts, SBA loan
programs, and other SBA assistance.
AUTHORITY FOR MAINTENANCE OF THE SYSTEMS:
5 U.S.C. App. 3 (the Inspector General
Act of 1978, as amended); 15 U.S.C.
Chapters 14A and 14B; and 44 U.S.C.
3101; 48 CFR Subpart 9.4
(procurement); 2 CFR Parts 180 and
2700 (non-procurement), and Executive
Orders 12549 and 12682.
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 a suspension or debarment
action.
d. 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.
e. To Federal, State, or local bar
associations and other professional,
regulatory or disciplinary bodies for use
in disciplinary proceedings and
inquiries.
f. To a Congressional office from an
individual’s record, when that office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
g. To the Government Accountability
Office and to the General Services
Administration’s Board of Contract
Appeals in bid protest cases involving
an agency procurement.
h. To any Federal agency which has
the authority to subpoena other Federal
agencies’ records and has issued a valid
subpoena.
i. To DOJ to obtain advice regarding
FOIA disclosure obligations.
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Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices
j. To the Office of Management and
Budget to obtain advice regarding PA
obligations.
k. To SBA volunteers, contractors,
interns, grantees, experts and who have
been engaged by SBA 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
DOJ is deemed by SBA to be relevant
and necessary to the litigation,
provided, however, that in each case,
SBA determines the disclosure of the
records to DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected: SBA,
or any component thereof; any SBA
employee in their official capacity; any
SBA employee in their individual
capacity where DOJ has agreed to
represent the employee; or The United
States Government, where SBA
determines that litigation is likely to
affect SBA or any of its components.
m. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which SBA 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 SBA
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, 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 a
compatible purpose for which the
records were collected: SBA, or any
SBA component; any SBA employee in
their official capacity; any SBA
employee in their individual capacity
where DOJ has agreed to represent the
employee; or The United States
Government, where SBA determines
that litigation is likely to affect SBA or
any of its components.
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17:50 Mar 31, 2009
Jkt 217001
n. To appropriate agencies, entities,
and persons when: SBA suspects or has
confirmed that the security or
confidentiality of information in the
system records has been compromised;
SBA has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or
fraud, or harm to the security and
integrity of this system or other systems
or programs (whether maintained by the
Agency or entity) that rely upon the
compromised information; and the
disclosure made to such agencies,
entities and persons is reasonably
necessary to assist in connection with
SBA’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:
Paper and electronic files.
RETRIEVAL:
By name.
SAFEGUARDS:
Paper files are maintained in locked
offices; computers are protected by
password and user identification codes.
RETENTION AND DISPOSAL:
Following final agency action, records
are maintained in accordance with SBA
SOP 00 41.
SYSTEM MANAGER(S) AND ADDRESS:
Counsel to the Inspector General 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 officials listed above and state
reason(s) for contesting and proposed
amendment(s) sought.
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SOURCE CATEGORIES:
OIG and/or Agency personnel, subject
individuals or entities, third parties, and
other investigative 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), 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.
Dated: March 20, 2009.
Delorice P. Ford,
Senior Privacy Act Official, Small Business
Administration.
[FR Doc. E9–7050 Filed 3–31–09; 8:45 am]
BILLING CODE 8025–01–P
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| File Type | application/pdf |
| File Modified | 2010-08-25 |
| File Created | 2010-08-25 |