Regulation 69 FR 58599

3245-0346 69 FR 58599 - Privacy Act SOR 2-29-16.pdf

PCLP Quarterly Loan Loss Reserve Report and PCLP Guarantee Request

Regulation 69 FR 58599

OMB: 3245-0346

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58598

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices

SMALL BUSINESS ADMINISTRATION
Revision of Privacy Act System of
Records
Small Business Administration.
Notice of revision of Agency’s
System of Records pursuant to the
provisions of the Privacy Act and to
open comment period.

AGENCY:
ACTION:

SUMMARY: This notice provides for
review and comment on a major
revision of the Agency’s Privacy Act
Systems of Records. Four of the former
Systems have been eliminated and four
new Systems have been developed. The
numbers of all of the Systems have also
been changed. All Systems now include
electronic formats and access and a new
routine use which allows for disclosure
to Agency volunteers, interns, experts
and contractors when necessary for their
official duties. The title of System 8 has
been changed to Correspondence and
Inquires, and there is a new category of
records for System 14, Freedom of
Information and Privacy Act Records.
The title of System 21 has been changed
to the Loan System and a new routine
use, (j), for the system is included.
DATES: Written comments on the System
of Records must be received on or before
October 29, 2004. The notice shall be
effective as proposed with or without
further publication at the end of the
comment period, unless comments are
received which would require contrary
determination.
ADDRESSES: Written comments on the
System of Records should be directed to
Lisa J. Babcock, Chief, Freedom of
Information/Privacy Acts Office, U. S.
Small Business Administration, 409 3rd
Street, SW., Washington, DC 20416.
FOR FURTHER INFORMATION CONTACT: Lisa
J. Babcock, Chief, Freedom of
Information/Privacy Acts Office, (202)
401–8203.
SUPPLEMENTARY INFORMATION: This
publication is in accordance with the
Privacy Act stipulation that Agencies
publish their Systems of Records in the
Federal Register when there is a
revision, change or addition.

Altered Systems of Records; Narrative
Statement; U.S. Small Business
Administration, Privacy Act System of
Records SBA 14, Freedom of
Information and Privacy Act Records;
Addition of a New Category of Records
A. Narrative Statement
1. The purpose of adding a new
category of records to Privacy Act
System of Records 14 is to include the
Agency’s FOI/PA Tracking System that
will be used to record and monitor all

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FOI/PA requests, appeals and inquiries.
The Tracking System will be accessed
by the FOI/PA Office and their
designated contacts in each SBA
program and field office. The FOI/PA
contacts will have access only to data
pertaining to the FOI/PA cases assigned
to their office. The FOI/PA Office will
have access to all data in the Tracking
System.
2. Refer to the following citations: 5
U.S.C. 301, 44 U.S.C. 3101, 15 U.S.C.
634(b)6.
3. The effect on the individual FOI/
PA requester and appellant will be
minimal. The information contained in
the FOI/PA files will be viewed only by
Agency personnel, contractors, experts,
consultants or volunteers in the line of
their official duties. These individuals
must comply with the requirements of
the PA of 1974, as amended, pursuant
to 5 U.S.C. 552a(m).
4. Access and use of FOI/PA files is
limited to specified individuals who
have a need to know to accomplish their
duties. The FOI/PA Tracking System
will be accessed via restricted
passwords and user identifications.
5. The new proposed category of
records use satisfies the compatibility
requirement of subsection (a)(4) of the
Act as the FOI/PA Tracking System is a
‘‘collection, or grouping of information
about an individual that is maintained
by an agency’’ and ‘‘contains his name,
or the identifying number, symbol, or
other identifying particular assigned to
the individual.’’
6. This is an internal information
collection. The Agency deems the OMB
approved information collection
requirements unnecessary.
Altered Systems of Records; Narrative
Statement; U.S. Small Business
Administration, Privacy Act System of
Records SBA 21, Loan System; Change
of System Name and the Addition of a
New Routine Use
B. Narrative Statement
1. The name of the former Privacy Act
System of Records 21, Loan Monitoring
System is changed to the Loan System.
The purpose of adding a new routine
use to Privacy Act System of Records 21
is to allow for the disclosure of records
from this System to 7(a) and 504 lenders
and/or participating contractors for
purposes of the Agency’s Loan and
Lender Monitoring System.
2. Refer to the following citations:
Public Law 85–536, 15 U.S.C. 631 et
seq. (Small Business Act, all provisions
relating to loan programs); 44 U.S.C.
3101 (Records Management by Federal
Agencies); and Public Law 103–62
(Government Performance and Results
Act).

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3. The effect on the individual is
minimal because the information
collected is already being collected by
the Department of Treasury Financial
Management Service, by the SBA under
previously approved manual form and
by the SBA’s previously established and
published Privacy Act System or
Records 170, Loan Monitoring System.
The information contained in the
System will be viewed only by Agency
personnel, participating contractors and
lenders in the line of their official
duties. All of these individuals must
comply with the requirements of the PA
of 1974, as amended, pursuant to 5
U.S.C. 552a(m).
4. Access and use of Lender System
records is limited to Agency officials
acting in their official capacities, with a
need-to-know, and to SBA Resource
Partners and participating contractors.
Access and use by SBA Resource
Partners and participating contractors
will generally be via the Internet, with
restricted password(s)/passcode(s).
5. The new proposed routine use
satisfies the compatibility requirement
of subsection (a)(7) of the Act as follows:
The proposed routine use allows
disclosure to 7(a) and 504 lenders and/
or participating contractors for purposes
of the Loan and Lender Monitoring
system (L/LMS). SBA needs to share
relevant information with SBA lenders
and contractors so that those entities
can assist SBA in decisions regarding
the making and servicing of business
(non-disaster) loans. The information is
collected by SBA to assist in its
decisions regarding the making and
servicing of loans.
6. OMB approved SBA 3245–0016—
Application for Business Loans (SBA
Form 4, Schedule A, Form 4–1, Form
4L) on 11/7/2001.
Appendix A
Headquarters: 409 Third St., SW.,
Washington, DC 20416.
Boston Regional Office: 10 Causeway St.,
Suite 812, Boston, MA 02222–1093.
New York Regional Office: 26 Federal
Plaza, Suite 3108, New York, NY 10278.
Philadelphia Regional Office: 900 Market
St., 5th Floor, Philadelphia, PA 19107.
Atlanta Regional Office: 233 Peachtree St.,
NE., South Tower, Suite 496, Atlanta, GA
30303.
Chicago Regional Officec: 500 West
Madison St., Suite 1250, Chicago, IL 60661–
2511.
Dallas Regional Office: 4300 Amon Carter
Blvd., Suite 114, Fort Worth, TX 76155.
Kansas City Regional Office: 323 West 8th
St., Suite 307, Kansas City, MO 64105.
Denver Regional Office: 721 19th St., Suite
101, Denver, CO 80202.
San Francisco Regional Office: 455 Market
St., Suite 2200, San Francisco, CA 94105.
Seattle Regional Office: 1200 Sixth Ave.,
Suite 1805, Seattle, WA 98101–1128.

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SBA District Offices
Region I
Maine District Office: 40 Western Ave.,
Room 512, Augusta, ME 04330.
Massachusetts District Office: 10 Causeway
St., Suite 265, Boston, MA 02222–1093.
New Hampshire District Office: 55 Pleasant
St., Suite 3101, Concord, NH 03301.
Connecticut District Office: 330 Main St.,
2nd Floor, Hartford, CT 06106.
Vermont District Office: 87 State St., Suite
205, Montpelier, VT 05602.
Rhode Island District Office: 380
Westminster Mall, 5th Floor, Providence, RI
02903.
Springfield Branch Office: 1441 Main St.,
Suite 410, Springfield, MA 01103.
Region II
Buffalo District Office: 111 West Huron St.,
Room 1311, Buffalo, NY 14202.
Elmira Branch Office: 333 E. Water St., 4th
Floor, Elmira, NY 14901.
Melville Branch Office: 35 Pinelawn Road,
Suite 207, Melville, NY 11747.
New Jersey District Office: Two Gateway
Center, 15th Floor, Newark, NJ 07102.
New York District Office: 26 Federal Plaza,
Rm. 3108, New York, NY 10278.
Puerto Rico & Virgin Islands District Office:
252 Ponce De Leon Blvd., Hato Rey, Puerto
Rico 00918.
Rochester Branch Office: 100 State Street,
Suite 410, Rochester, NY 14614.
Syracuse District Office: 401 South Salina
St., 5th Floor, Syracuse, NY 13202.
St. Croix Branch Office: Sunny Isle
Professional Building, Suites 5&6,
Christiansted, VI 00820.
St. Thomas Branch Office: 3800 Crown Bay
Street, St. Thomas, VI 00802.
Region III
Baltimore District Office: 10 S. Howard St.,
Suite 6220, Baltimore, MD 21201–2525.
Charleston Branch Office: 405 Capitol St.,
Suite 412, Charleston, WV 25301.
West Virginia District Office: Federal
Center, Suite 330, 320 West Pike St.,
Clarksburg, WV 26301.
Harrisburg Branch Office: 100 Chestnut St.,
Suite 107, Harrisburg, PA 17101.
Philadelphia District Office: 900 Market
St., 5th Floor, Philadelphia, PA 19107.
Pittsburgh District Office: Federal Building,
Rm. 1128, 1000 Liberty Ave., Pittsburgh, PA
15222–4004.
Richmond District Office: 400 North 8th
St., 11th Floor, Richmond, VA 23240–0126.
Washington District Office: 1110 Vermont
Ave., NW., Suite 900, Washington, DC 20005.
Wilkes-Barre Branch Office: 7 North
Wilkes-Barre Blvd, Suite 407, Wilkes-Barre,
PA 18702.
Delaware District Office: 1318 North
Market, Wilmington, DE 19801–3011.
Region IV
Georgia District Office: 233 Peachtree Rd.,
NE., Suite 1800, Atlanta, GA 30303.
Alabama District Office: 801 Tom Martin
Dr., Suite 201, Birmingham, AL 35211.
North Carolina District Office: 6302
Fairview Rd., Suite 300, Charlotte, NC
28210–2227.
South Carolina District Office: 1835
Assembly St., Rm. 358, Columbia, SC 29201.

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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., SW., Suite 320, Albuquerque, NM
87102.
Corpus Christi Branch Office: 3649
Leopard St., Suite 411, Corpus Christi, TX
78408.
Dallas/Ft. Worth District Office: 4300
Amon Carter Blvd., Suite 108, Dallas, TX
76155.
El Paso District Office: 10737 Gateways
West, Suite 320, El Paso, TX 79935.
Houston District Office: 8701 S. Gessner
Dr., Suite 1200, Houston, TX 77074.
Arkansas District Office: 2120 Riverfront
Dr., Suite 100, Little Rock, AR 72202.
Lower Rio Grande Valley District Office:
222 E. Van Buren St., Rm. 500, Harlingen, TX
78550–6855.
Lubbock District Office: 1205 Texas Ave.,
Suite 408, Lubbock, TX 79401–2693.
New Orleans District Office: 365 Canal St.,
Suite 2820, New Orleans, LA 70130.
Oklahoma District Office: 301 Northwest
6th St., Suite 116, Oklahoma City, OK 73102.
San Antonio District Office: 727 E.
Durango Blvd., 5th Floor, San Antonio, TX
78206.
Region VII
Cedar Rapids Branch Office: 215 4th Ave.,
SE., Suite 200, Cedar Rapids, IA 52401–1806.
Des Moines District Office: 210 Walnut St.,
Room 749, Des Moines, IA 50309–2186.

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58599

Kansas City District Office: 323 West 8th
Ave., Suite 501, Kansas City, MO 64105–
1500.
Nebraska District Office: 11145 Mill Valley
Rd., Omaha, NB 68154.
Springfield Branch Office: 830 East
Primrose, Suite 101, Springfield, MO 65807–
52540.
St. Louis District Office: 815 Olive Street,
St. Louis, MO 63101.
Wichita District Office: 271 West Third St.,
Suite 2500, Wichita, KS 67202–1212.
Region VIII
Wyoming District Office: 100 East B Street,
Rm. 4001, Casper, WY 82601.
Denver District Office: 721 19th St., Suite
426, Denver, CO 80202.
North Dakota District Office: 657 Second
Ave. North, Room 219, Fargo, ND 58108.
Montana District Office: 10 West 15th St.,
Suite 1100, Helena, MT 59626.
Utah District Office: 125 South State St.,
Room 2237, Salt Lake City, UT 84138.
South Dakota District Office: 2329 North
Career Ave., Suite 105, Sioux Falls, SD
57107.
Region IX
Agana Branch Office: 400 Route 8, Suite
302, Hagatna, GU 96910–2003.
Fresno District Office: 2719 North Air
Fresno Dr., Suite 200, Fresno, CA 93727–
1547.
Hawaii District Office: 300 Ala Moana
Blvd., Rm. 2–235, Honolulu, HI 96850–4981.
Nevada District Office: 300 Las Vegas
Blvd., Suite 110, Las Vegas, NV 89101.
Los Angeles District Office: 330 North
Brand Blvd., Suite 1200, Glendale, CA
91203–2304.
Arizona District Office: 2828 North Central
Ave., Suite 800, Phoenix, AZ 85004–1025.
Sacramento District Office: 650 Capital
Mall, Suite 7–500, Sacramento, CA 95814–
2413.
San Diego District Office: 550 West C St.,
Suite 550, San Diego, CA 92101–3500.
San Francisco District Office: 455 Market
St., 6th Floor, San Francisco, CA 94105–
2445.
Santa Ana District Office: 200 West Santa
Ana Blvd., Suite 700, Santa Ana, CA 92701.
Region X
Alaska District Office: 50 L St., Suite 310,
Anchorage, AK 99501.
Boise District Office: 380 East Parkcenter
Blvd., Boise, ID 83706.
Portland District Office: 1515 S.W. 5th
Ave., Suite 1050, Portland, OR 97201–5494.
Seattle District Office: 1200 6th Ave., Rm.
1700, Seattle, WA 98101–1128.
Spokane Branch Office: 801 West
Riverside, Suite 200, Spokane, WA 99201.
Spokane District Office: 801 West
Riverside Ave., Suite 200, Spokane, WA
99201–0901.
SBA Area Disaster Offices
Disaster Area 1 Office: 360 Rainbow Blvd.,
South, 3rd Floor, Niagara Falls, NY 14303.
Disaster Area 2 Office: One Baltimore
Place, NE., Suite 300, Atlanta, GA 30308.
Disaster Area 3 Office: 14925 Kingsport
Rd., Fort Worth, TX 76155–2643.

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Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices

Disaster Area 4 Office: P.O. Box 419004,
Sacramento, CA 95841–9004, or 6501 Sylvan
Rd., Citrus Heights, CA 95610–5017.
SBA Home Loan Servicing Centers
Birmingham Home Loan Servicing Center:
2121 8th Ave. North, Suite 200, P.O. Box
12247, Birmingham, AL 35202–2247.
New York Home Loan Servicing Center:
201 Varick St., Rm. 628, New York, NY
10014.
El Paso Home Loan Servicing Center:
10737 Gateway West, Suite 300, El Paso, TX
79935.
Santa Ana Loan Servicing & Liquidation
Office: 200 W. Santa Ana Blvd., Santa Ana,
CA 92701.
Commercial Loan Servicing Centers
Fresno Commercial Loan Servicing Center:
2719 N. Fresno Dr., Suite 107, Fresno, CA
93727–1547.
Little Rock Commercial Loan Servicing
Center: 2120 Riverfront Dr., Suite 100, Little
Rock, AR 72202.
Office of the Inspector General
Office of Inspector General, 409 Third
Street, SW., Washington, DC 20416.
Office of Inspector General Investigation
Division, 409 Third Street, SW., Washington,
DC 20416.
Office of Inspector General Auditing
Division, 409 Third Street, SW., Washington,
DC 20416.
Atlanta Inspector General Auditing
Division, 233 Peachtree St., NE., Atlanta, GA
30303.
Dallas/Fort Worth Inspector General
Auditing, 4300 Amon Carter Blvd., Suite 116,
Fort Worth, TX 76155–2654.
Los Angeles Inspector General Auditing
Division, 330 North Brand Blvd., Suite 660,
Glendale, CA 91203–2304.
Atlanta Inspector General Investigations
Division, 233 Peachtree St., NE., Atlanta, GA
30303.
Chicago Inspector General Investigations
Division, 500 West Madison St., Suite 3370,
Chicago, IL 60661.
Dallas/Fort Worth Inspector General
Investigations Division, 4300 Amon Carter
Blvd., Suite 116, Fort Worth, TX 76155–2653.
Houston Investigations Division Resident
Office, 9301 Southwest Freeway, Suite 550,
Houston, TX 77074–1591.
Kansas City Inspector General
Investigations Division, 323 W. 8th St., Room
305, Kansas City, MO 64105.
Los Angeles Inspector General
Investigation Division, 330 North Brand
Blvd., Suite 1280, Glendale, CA 91203–2304.
New York Inspector General Investigations
Division, 26 Federal Plaza, Rm. 41–100, New
York, NY 10278.
Philadelphia Inspector General
Investigations Division, 625 Walnut St., Suite
860B–W, Philadelphia, PA 19106.
Seattle Inspector General Investigations
Division, 1200 Sixth Ave., Suite 1807,
Seattle, WA 98101–1128.
Syracuse Inspector General Investigations
Division, 401 South Salina St., 5th Floor,
Syracuse, NY 13202.
Table of Contents
SBA 1—Administrative Claims

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SBA 2—Administrator’s Executive
Secretariat Files
SBA 3—Advisory Council Files
SBA 4—Office of Inspector General Records
Other Than Investigations Records
SBA 5—Business and Community Initiatives
Resource Files
SBA 6—Civil Rights Compliance Files
SBA 7—Combined Federal Campaign
SBA 8—Correspondence and Inquiries
SBA 9—Cost Allocation Data System
SBA 10—Employee Identification Card Files
SBA 11—Entrepreneurial Development—
Management Information System
SBA 12—Equal Employment Opportunity
Pre-Complaint Counseling
SBA 13—Equal Employment Opportunity
Complaint Cases
SBA 14—Freedom of Information/Privacy
Act Records
SBA 15—Grievance and Appeals Files
SBA 16—Investigative Files
SBA 17—Investigations Division
Management Information System
SBA 18—Legal Work Files on Personnel
Cases
SBA 19—Litigation and Claims Files
SBA 20—Disaster Loan Case Files
SBA 21—Loan System
SBA 22—Outside Employment Files
SBA 23—Payroll Files
SBA 24—Personnel Security Files
SBA 25—Portfolio Review Files
SBA 26—Power of Attorney Files
SBA 27—Security and Investigations Files
SBA 28—Small Business Persons and
Advocate Awards
SBA 29—Standards of Conduct
SBA 30—Servicing and Contracts System/
Minority Enterprise Development
Headquarters Repository
SBA 31—Temporary Disaster Employee Files
SBA 32—Tort Claims
SBA 33—Travel Files
SBA 1
SYSTEM NAME:

Administrative Claims—SBA 1.
SYSTEM LOCATION:

Headquarters (HQ) and Field Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Individuals involved in accidents or
other incidents of loss or damage to
government property.
CATEGORIES OF RECORDS IN THE SYSTEM:

Case report and supporting materials
compiled in cases that involve loss or
damage to government property.
Records of claims up to $5,000 are in
District Offices; claims more than
$5,000 are in the Office of General
Counsel (OGC).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634 (b)(1), 28 CFR 14.11.

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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 the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
d. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;

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(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By name of involved individual(s).
SAFEGUARDS:

Access and use is limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with National Archives
and Records Administration General
Records Schedule 6.10.
SYSTEM MANAGER(S) AND ADDRESS:

HQ and Field Systems Managers. See
Appendix A.
NOTIFICATION PROCEDURE:

An individual may submit a record
inquiry either in person or in writing to
either the Systems Manager or PA
Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Involved individuals, witnesses and
Agency investigation.
SBA 2
SYSTEM NAME:

Administrator’s Executive Secretariat
Files—SBA 2.
SYSTEM LOCATION:

Headquarters (HQ). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Individuals who correspond with the
SBA Administrator.
CATEGORIES OF RECORDS IN THE SYSTEM:

Correspondence in Controlled
Documents System from October 1,
1987.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101.

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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 oversee and maintain Agency
correspondence with Government
officials, Members of Congress, and the
public.
b. To oversee and maintain
memoranda or documents detailing
policy and operational decisions made
by the Administrator.
c. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
e. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
f. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:

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58601

(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By document number, can be crossreferenced by name, subject, keyword,
phrase, date, constituent and
organizational name.
SAFEGUARDS:

Access and use is limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with Standard
Operating Procedure 00 41 2 00:01.
SYSTEM MANAGER(S) AND ADDRESS:

Executive Secretariat, HQ. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Correspondence, memoranda authors,
and other sources that could engender
communication by the SBA
Administrator.
SBA 3
SYSTEM NAME:

Advisory Council Files—SBA 3.
SYSTEM LOCATION:

Headquarters (HQ) and Field Offices.
See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Current, former and prospective
members of SBA Advisory Councils.

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CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Information relating to members of
SBA Advisory Councils.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To disclose information about an
Advisory Council member to the public.
b. To respond to requests from the
National Archives and Records
Administration (NARA).
c. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
e. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
f. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative

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body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By name.
SAFEGUARDS:

Access and use is limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with Standard
Operating Procedure 00 41 2 95:01.
SYSTEM MANAGER(S) AND ADDRESS:

Field Office Systems Managers. See
Appendix A.
NOTIFICATION PROCEDURE:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager for Field Office
Records or PA Officer for HQ Records.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Record subject, Congressional offices,
Agency employees, media, Advisory
Council members, Federal Register.
SBA 4
SYSTEM NAME:

Office of Inspector General Records
Other Than Investigations Records—
SBA 4.
SYSTEM LOCATION:

Office of the Inspector General (OIG)
Investigations Division, Audit Division,
Headquarters (HQ) duty stations,

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Agency District and Field Offices and
Federal Records Center (FRC). See
Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Individuals covered by the system
include the assigned auditor or
evaluator, other OIG staff, the audit or
evaluation requestor, the interviewee,
persons examined by the audit and
persons providing information used by
the auditors.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Records consist of materials compiled
and/or generated in connection with
audits, evaluations, and other non-audit
services performed by OIG staff. These
materials include information regarding
the planning, conduct, and resolution of
audits and evaluations of SBA programs
and participants in those programs,
information requests, responses to such
requests, reports of findings, etc.
AUTHORITY FOR MAINTENANCE OF THE SYSTEMS:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the Federal, State, local or
foreign agency or professional
organization which investigates,
prosecutes or enforces violations,
statutes, rules, regulations or orders
issued when the Agency identifies a
violation or potential violation of law
whether arising by general or program
statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or
administrative tribunal, opposing
counsel during such proceedings or in
settlement negotiations when presenting
evidence.
c. To any private or governmental
source or person, to secure information
relevant to an investigation or audit.
d. To other Federal agencies
conducting background checks, to the
extent that the information is relevant to
their function.
e. To any domestic, foreign,
international or private agency or
organization, including those which
maintain civil, criminal or other
enforcement information, for the
assignment, hiring or retention of an
individual, issuance of a security
clearance, reporting of an investigation
of an individual, letting of a contract or
issuance of a license, grant or other
benefit, to the extent the information is
relevant to the agency’s decision on the
matter.
f. To Federal, State or local bar
associations and other professional,

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regulatory or disciplinary bodies for use
in disciplinary proceedings and
inquiries.
g. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
h. To provide data to the General
Accounting Office (GAO) for periodic
reviews of SBA.
i. To the Office of Government Ethics
for any purpose consistent with their
mission.
j. To the General Accounting Office
and to the General Services
Administration’s (GSA) Board of
Contract Appeals in bid protest cases
involving an agency procurement.
k. To any Federal agency which has
the authority to subpoena other Federal
agencies’ records.
l. To the Department of the Treasury
and the DOJ when an agency is seeking
an ex parte court order to obtain
taxpayer information from the Internal
Revenue Service.
m. To debt collection contractors for
collecting delinquent debts as
authorized by the Debt Collection Act of
1982, 31 U.S.C. 3718.
n. To a ‘‘consumer reporting agency’’
as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681 a(f)) and the Federal
Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)), to obtaining information
during an investigation or audit.
o. To personnel responsible for
Program Fraud Civil Remedies Act
litigation, the tribunal and defendant’s
counsel.
p. To a grand jury agent pursuant to
a Federal or State grand jury subpoena
or to a prosecution request that records
be introduced to a grand jury.
q. To the public under the Freedom of
Information Act (FOIA), 5 U.S.C. 552.
r. To the DOJ to obtain advice
regarding FOIA disclosure obligations.
s. To the Office of Management and
Budget to obtain advice regarding PA
obligations.
t. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
u. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
v. To the Department of Justice (DOJ)
when any of the following is a party to

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litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
w. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.

58603

maintained in the respective field
offices for five years and then
transferred to the FRC, which destroys
them after 20 years. Alphabetical
indices are maintained on all
investigations for an indefinite period of
time.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for
Auditing or designee. See Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry in writing to the Systems
Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Subject individuals, Agency
personnel, third parties, the FBI and
other investigative Government
agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

By name and cross-referenced to
related IG Audit files.

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.

SAFEGUARDS:

SBA 5

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

Sensitive reports are kept in locked
filing cabinets, while others are
provided lesser levels of security as
appropriate.

SYSTEM NAME:

Business and Community Initiatives
Resource Files—SBA 5.

RETENTION AND DISPOSAL:

SYSTEM LOCATION:

Following final agency action as the
result of an audit, records are

Headquarters (HQ) and Field Offices.
See Appendix A.

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Users of Business and Community
Initiatives training materials, potential
speakers, counselors, authors and
reviewers.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Information relating to individuals:
Biographical sketches, correspondence,
copies of travel vouchers and
counseling reports, files of
accomplishments, publications, news
releases and clippings.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To provide university coordinators
with information about potential
speakers at management training
sessions.
b. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act, as amended, 5 U.S.C. 552a.
d. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which

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any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.

SBA 6

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:

44 U.S.C. 3101, Civil Rights
Compliance SOP 90 30 3 and 13 CFR
parts 112, 113, and 117.

STORAGE:

RETRIEVAL:

By name.
SAFEGUARDS:

Access and use is limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with Standard
Operating Procedure 00 41 2 65:01,
65:02, 65:03, 65:04, 65:05, 65:07 and
65:09.
SYSTEM MANAGER(S) AND ADDRESS:

Field Office Director and PA Officer.
See Appendix A.
NOTIFICATION PROCEDURE:

An individual may submit a record
inquiry either in person or in writing to
the Systems Managers for Field Office
Records or PA Officer for HQ Records.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Record subject, Agency employees,
media, educators, universities,
professional and civic organizations.

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Civil Rights Compliance Files—SBA
6.
SYSTEM LOCATION:

Headquarters. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

SBA recipients of Federal financial
assistance and individuals who have
filed allegations of discrimination
against SBA recipients of Federal
financial assistance or against Agency
programs or program offices based on
disability.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Reviews, correspondence, supporting
documents, interview statements,
program files, information developed in
allegation/complaint investigation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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 NAME:

a. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
c. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or

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(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
d. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By complainant’s name, address and
four digit fiscal year/order in which
received during that fiscal year (four
digit number is keyed to Complaint Log
for that fiscal year).
SAFEGUARDS:

Access and use is limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with National Archives
and Records Administration General
Records Schedule 1.25.a and d(2).
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Administrator for Equal
Employment Opportunity and Civil
Rights Compliance (EEO/CRC). See
Appendix A.
NOTIFICATION PROCEDURE:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.

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CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

SBA recipient of Federal financial
assistance reviewed by EEO/CRC
personnel and complainants.
SBA 7
SYSTEM NAME:

Combined Federal Campaign—SBA 7.
SYSTEM LOCATION:

Headquarters (HQ) Office and Field
Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Information pertaining to SBA
employees involved with the campaign.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the public, the names and
addresses of employees connected with
the drive are released.
b. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
d. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the

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58605

DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By name and/or Social Security
Number.
SAFEGUARDS:

Access and use is limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with National Archives
and Records Administration General
Record Schedule 2.15.
SYSTEM MANAGER(S) AND ADDRESS:

HQ and Field Office Supervisors. See
Appendix A.
NOTIFICATION PROCEDURE:

An individual may submit a record
inquiry either in person or in writing to
the Systems Managers or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.

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CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Subject employee.
SBA 8
SYSTEM NAME:

Correspondence and Inquiries—SBA
8.
SYSTEM LOCATION:

Headquarters (HQ) and Field Offices.
See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Individuals who have corresponded
with the Agency.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To oversee and maintain
correspondence to the Agency.
b. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
d. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or

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(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By name of correspondent.
SAFEGUARDS:

Access and use is limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with Standard
Operating Procedure 00 41 2 00:01.
SYSTEM MANAGER(S) AND ADDRESS:

PA Officer for HQ records and Field
Managers for field records. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.

PO 00000

Frm 00010

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Sfmt 4703

SOURCE CATEGORIES:

Subject individual, Agency personnel,
case files and Congressional
correspondence.
SBA 9
SYSTEM NAME:

Cost Allocation Data System—9.
SYSTEM LOCATION:

Office of the Chief Financial Officer
(CFO), Headquarters.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

All SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Individual information on all SBA
employees, i.e., name, social security
number, office code, pay dates, survey
results on the percentage of time spent
on administration of various SBA
programs and activities. Also, Agencywide costs, i.e., rent, postage,
telecommunications, centralized
printing, centralized training,
employees’ relocation costs, credit
report costs, performance management
appraisal system awards, contractors
costs, Agency loan count and SBA
employment full time equivalent
counts.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

44 U.S.C. 3101 (Records Management
by Federal Agencies), Public Law 101–
576 (Chief Financial Officers Act) and
Public Law 103–62 (Government
Performance and Results Act).
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the Agency cost contractor for
use in the Agency’s cost accounting
activity.
b. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
d. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be

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relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.

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.

20:28 Sep 29, 2004

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In accordance with National Archives
and Records Administration General
Records Retention Schedule 8.1, 8.5,
8.6, 8.7 and 8.8.
SYSTEM MANAGER(S) AND ADDRESS:

Chief Financial Officer, HQ. See
Appendix A.
NOTIFICATION PROCEDURE:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

SBA employees.
SBA 10
SYSTEM NAME:

Employee Identification Card Files—
SBA 10.
SYSTEM LOCATION:

Office of Human Capital Management
(Headquarters), Denver Human Capital
Management Operations Division and
Disaster Area Offices (DAO). See
Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Employee name and their
identification card numbers.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:

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RETENTION AND DISPOSAL:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.

PO 00000

Frm 00011

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58607

c. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
d. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By name or identification card
number.
SAFEGUARDS:

Access and use is limited to persons
with official need to know; computers
are protected by password and user
identification codes.

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RETENTION AND DISPOSAL:

In accordance with National Archives
and Records Administration General
Records Retention Schedule 1.6.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Administrator/Human
Capital Management (HQ) and DAO
Directors. See Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Subject employee, individuals and
agency personnel records.
SBA 11
SYSTEM NAME:

Entrepreneurial Development—
Management Information System—SBA
11.
SYSTEM LOCATION:

Headquarters.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals using SBA’s business
counseling and assistance services.
CATEGORIES OF RECORDS IN THE SYSTEM:

Individual and business information
on SBA clients.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Public Law 85–536, 15 U.S.C. 631
(Small Business Act), sec. 7(j)(1),
(Business Counseling), 15 U.S.C. 648
sec. 21 (Small Business Development
Centers), 15 U.S.C. 656 sec. 29
(Women’s Business Centers), Public
Law 106–50 (Veterans’
Entrepreneurship and Small Business
Development Act of 1999), 44 U.S.C.
3101 (Records Management by Federal
Agencies) and Public Law 103–62
(Government Performance and Results
Act).
ROUTINE USES OF RECORDS MAINTAINED BY THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the Agency service provider
(resource partner) who initially
collected the individual’s information.
b. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the

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Member’s access rights are no greater
than the individual’s.
c. To the Federal, state, local or
foreign agency or organization which
investigates, prosecutes, or enforces
violations, statutes, rules, regulations, or
orders issued when an agency identifies
a violation or potential violation of law,
arising by general or program statute, or
by regulation, rule or order.
d. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
e. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
f. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or

PO 00000

Frm 00012

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(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Electronic form in secured database
on a dedicated computer.
RETRIEVAL:

By SBA Customer Number and 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:

An individual may submit a record
inquiry in person or in writing to the
Systems Manager or PA Office.
ACCESS PROCEDURES:

The Systems Manager or PA Officer
will determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Subject individuals or businesses.
SBA 12
SYSTEM NAME:

Equal Employment Opportunity PreComplaint 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)

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who have requested counseling
regarding employment discrimination.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Case files may include employee and
interview statements. The Equal
Employment Opportunity (EEO)
Counselor’s Report becomes part of the
EEO Complaint case.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 CFR part 1611.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To report counseling activity to the
Office of Equal Employment
Opportunity and Civil Rights
Compliance (EEO/CRC).
b. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
d. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records

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is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By employee name.
SAFEGUARDS:

Access and use is limited to persons
with official need to know; computers
are protected by password and user
identification code.
RETENTION AND DISPOSAL:

In accordance with National Archives
and Records Administration General
Records Schedule 1.25.a.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Administrator for EEO&CRC
and Field Office Systems Managers. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Employee requesting counseling,
other employees, EEO Counselor,
personnel and employment records.
SBA 13
SYSTEM NAME:

Equal Employment Opportunity
Complaint Cases—SBA 13.
SYSTEM LOCATION:

PO 00000

Headquarters (HQ). See Appendix A.

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58609

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Current/former SBA employees and/
or members of a class complaint who
have requested counseling regarding
employment discrimination.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Complaint files, Equal Employment
Opportunity (EEO) Counselor’s Report,
information from investigations, notes,
hearing report, Hearing Examiner’s
recommendations and Agency action.
Closed cases are included.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 CFR part 1611.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To report to the Equal Employment
Opportunity Commission (EEOC).
b. To the EEOC when there is a
hearing, these records will be used in
the case.
c. To the EEOC when a complaint is
appealed, these records will be used by
the Office of Equal Employment
Opportunity and Civil Rights
Compliance (EEO/CRC) in their decision
making.
d. To the Office of General Counsel
and the Department of Justice (DOJ)
when a complaint results in a suit in a
Federal court, these records will be
referred and used to prepare and present
the case in court.
e. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
f. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
g. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;

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(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
h. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.

ACCESS PROCEDURES:

SYSTEM LOCATION:

Systems Manager or PA Officer will
determine procedures.

Headquarters (HQ) and Field Offices.
See Appendix A.

CONTESTING PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORY:

Complainant, witnesses, hearing
transcript, personnel and employment
records, examiner’s recommendations
and agency investigation.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Assistant Administrator for EEO/CRC
and Field Office Systems Managers and
the Office of the Inspector General
(OIG). See Appendix A.

(1) Pursuant to 5 U.S.C. 552a(j)(2),
records in this system of records which
belong to the OIG are exempt from the
application of all provisions of section
552a except sections (b), (c)(1) and (2),
(e)(4)(A) through (F),(e)(6), (7), (9), (10),
(11), and (i), to the extent that it consists
of (A) information compiled for the
purpose of identifying individual
criminal offenders and alleged offenders
and consisting only of identifying data
and notations of arrests, confinement,
release, and parole and probation status;
(B) information compiled for the
purpose of criminal investigation,
including reports of informants and
investigators, and associated with an
identifiable individual; or (C) reports
identifiable to an individual compiled at
any stage of the process of enforcement
of the criminal laws from arrest or
indictment through release from
supervision. This system is exempted in
order to maintain the efficacy and
integrity of the Office of the Inspector
General’s criminal law enforcement
function.
(2) Pursuant to 5 U.S.C. 552a(k)(2)and
(k)(5), except as otherwise provided
therein, all OIG’s investigatory material
compiled for law enforcement purposes
for the purpose of determining
suitability, eligibility, or qualifications
for Federal civilian employment,
Federal contracts, or access to classified
information contained in this system of
records is exempt from sections 3(c)(3),
(d), (e)(1), (e)(4)(G) through (I), and (f) of
the PA, 5 U.S.C. 552a (c)(3), (d), (e)(1),
(e)(4)(G) through (I) and (f). This
exemption is necessary in order to
protect the confidentiality of sources of
information and to maintain access to
sources necessary in making
determinations of suitability for
employment.

NOTIFICATION PROCEDURES:

SBA 14

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By name of complainant.
SAFEGUARDS:

Access and use is limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with National Archives
and Records Administration General
Records Schedule 1.25.a.
SYSTEM MANAGER(S) AND ADDRESS:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer. See
Appendix A.

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SYSTEM NAME:

Freedom of Information and Privacy
Acts Records—SBA 14.

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Persons who have submitted requests
or appeals under either of the Acts.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Files created for Freedom of
Information/Privacy Acts (FOI/PA)
appeals and agency-wide database to
track FOI/PA requests and appeals.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

44 U.S.C. 3101, 15 U.S.C. 634(b)(6), 5
U.S.C. 552 and 5 U.S.C. 552a.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To review individual cases, keep
logs and records, comply with statutory
time limitations and prepare mandated
reports.
b. To the Federal, State, local or
foreign agency or professional
organization, including SBA offices,
which investigates prosecutes or
enforces violations, statutes, rules,
regulations or orders issued when the
Agency identifies a violation or
potential violation of law whether
arising by general or program statute, or
by regulation, rule or order.
c. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To agency personnel responsible
for bringing Program Civil Remedies Act
litigation to the tribunal hearing
litigation or any appeals and to counsel
for the defendant party in any such
litigation.
e. To a grand jury agent pursuant to
a Federal or State grand jury subpoena
or to a prosecution request that records
be released for introduction to a grand
jury.
f. To a Federal agency which has the
authority to subpoena other Federal
agencies records and has issued a valid
subpoena.
g. To the public pursuant to the
provisions of the FOIA, 5 U.S.C. 552.
h. To the Department of Justice (DOJ)
in order to obtain that department’s
advice regarding an agency’s FOIA
disclosure obligations.
i. To the Office of Management and
Budget to obtain that office’s advice
regarding an agency’s PA obligations.
j. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to

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assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
k. To the DOJ when any of the
following is a party to litigation or has
an interest in such litigation, and the
use of such records by the DOJ is
deemed by the agency to be relevant and
necessary to the litigation, provided,
however, that in each case, the agency
determines the disclosure of the records
to the DOJ is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
l. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Locked file cabinets and electronic
files.
RETRIEVAL:

By name or database number.

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SAFEGUARDS:

Access and use limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

Retention is in accordance with
National Archives and Records
Administration’s General Records
Schedule 14.
SYSTEM MANAGER(S) AND ADDRESS:

PA Officer for HQ records and Field
Managers for field records. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry in person or in writing to the
Systems Manager.
ACCESS PROCEDURES:

The Systems Manager or PA Officer
will determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Correspondence submitted directly to
and replies from the SBA.
SBA 15
SYSTEM NAME:

Grievances and Appeals—SBA 15.
SYSTEM LOCATION:

Servicing Personnel Office and the
Office of Hearings and Appeals (OHA)
where grievances or appeals have been
filed. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

SBA employees who have filed
grievances or disputes under applicable
procedures or Personnel Practices
Appeals Procedures.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Correspondence, supporting
documents, hearing transcripts,
investigation appeal information and
decisions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101,
Collective Bargaining Agreements with
Unions which represent SBA
employees, SOP 37 71–1 and 13 CFR
part 134.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the Union pursuant to the
grievance procedure.

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58611

b. To the Office of Personnel
Management (OPM) or used in reporting
to the OPM on labor-management
relations activity.
c. To a Hearing Examiner from the
record of an individual in response to
another Agency’s inquiry, pursuant to
established procedures.
d. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
e. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
f. To the Office of the Special Counsel
for any purpose consistent with their
mission.
g. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
h. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;

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(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.

CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

RETRIEVAL:

Name of filing employee.
SAFEGUARDS:

Access and use limited to persons
whose official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

Retention is in accordance with
Standard Operating Procedure 00 41 2
30:02.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Administrator for OHA,
Chief Human Capital Officer and Field
Managers. See Appendix A.
NOTIFICATION PROCEDURE:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Grievants, appellants, employees,
Union, personnel and employment
records.
SBA 16
SYSTEM NAME:

Investigative Files—SBA 16.
SYSTEM LOCATION:

Office of the Inspector General (OIG),
Investigations Division and Federal
Records Center (FRC). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Persons against whom are made
allegations that are within the
jurisdiction of the OIG to investigate;
persons identified as making such

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allegations; or persons cross-referenced
in investigative file or subsequent
investigations. Applicants to, and
participants in SBA programs, their
principals, representatives and resource
partners; contractors and parties to
cooperative agreements and their
principals, representatives, and other
interested parties; governmental
entities; SBA employees, members of
the Advisory Councils, Service Corps of
Retired Executive volunteers in
connection with allegations of
wrongdoing that are within the
jurisdiction of the OIG to investigate.

Material provide to, gathered or
created by OIG in investigating, or
otherwise dealing with allegations that
are within the jurisdiction of the OIG to
investigate, documentation of
allegations, consultations, decisions,
interviews, records reviews, reports of
investigations, and various
correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. App. 3 (The Inspector
General Act of 1978), 15 U.S.C. Chapters
14A and 14B and 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the Federal, State, local or
foreign agency or professional
organization which investigates,
prosecutes or enforces violations,
statutes, rules, regulations or orders
issued when the Agency identifies a
violation or potential violation of law
whether arising by general or program
statute, or by regulation, rule or order.
b. To a grand jury, court, magistrate or
administrative tribunal, including
disclosures to opposing counsel in the
course of such proceedings or in
settlement negotiations.
c. To other Federal agencies
conducting background checks; only to
the extent the information is relevant to
the requesting agencies’ function.
d. To any Federal, State, local, foreign
or international agency, in connection
with such entity’s assignment, hiring
and retention of an individual, issuance
of a security clearance, reporting of an
investigation of an individual, letting of
a contract or issuance of a license, grant
or other benefit, to the extent that the
information is relevant and necessary to
such agency’s decision on the matter.
e. To a domestic, foreign, or
international government agency
maintaining civil, criminal, relevant
enforcement or other pertinent
information, for the assignment hiring

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or retention of an individual, the
issuance of a security clearance, the
letting of a contract, or the issuance of
a license, grant, or other benefit.
f. To Federal, State or local bar
associations and other professional
regulatory or disciplinary bodies for use
in disciplinary proceedings and
inquiries.
g. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
h. To the General Accounting Office
(GAO) for periodic reviews of SBA.
i. To the Office of Government Ethics
for any purpose consistent with their
mission.
j. To the GAO, and to the General
Services Administration’s Board of
Contract Appeals in bid protest cases
involving an agency procurement.
k. To any Federal agency which has
the authority to subpoena otherFederal
agencies records and has issued a valid
subpoena.
l. To the Department of Treasury and
the Department of Justice (DOJ) when an
agency is seeking an ex parte court order
to obtain taxpayer information from the
Internal Revenue Service.
m. To debt collection contractors for
collecting delinquent debtsas authorized
by the Debt Collection Act of 1982, 31
U.S.C. 3718.
n. To a ‘‘consumer reporting agency’’
as that term is defined in the Fair Credit
Reporting Act (15 U.S.C. 1681 a (f) and
the Federal Claims Collection Act of
1966 (31 U.S.C. 701(a)(3)), to obtain
information during an investigation or
audit.
o. To agency personnel responsible
for Program Civil Remedies Act
litigation, the tribunal and defendant’s
counsel.
p. To a grand jury agent pursuant
either to a Federal or State grand jury
subpoena or to a prosecution request
that records be introduced to a grand
jury.
q. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
r. To the DOJ when any of the
following is a party to litigation or has
an interest in such litigation, and the
use of such records by the DOJ is
deemed by the agency to be relevant and
necessary to the litigation, provided,

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however, that in each case, the agency
determines the disclosure of the records
to the DOJ is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
s. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that
iscompatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

File folders in filing cabinets and
safes, and electronic files.
RETRIEVAL:

Indexed by name of the investigated
individual and cross-referenced to the
number(s) of the investigative file(s)
containing related materials.
SAFEGUARDS:

All filing cabinets are locked. Access
to and use limited to those persons with
official need to know; computers are
protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with Standard
Operating Procedure 00 41 2 Item Nos.

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90:10 and 90:12. Cut off at the end of the
calendar year. Transfer to FRC 6 years
after cutoff. Destroy 15 years after cutoff.
SYSTEM MANAGER(S) AND ADDRESS:

58613

regulations. This exemption is necessary
in order to fulfillcommitments made to
protect the confidentiality of sources
and to protect subjects of investigations
from frustrating the investigatory
process.

Assistant Inspector General for
Investigations or designee. See
Appendix A.

SBA 17

NOTIFICATION PROCEDURES:

SYSTEM NAME:

An individual may submit a record
inquiry in writing or in person to the
Systems Manager or PA Officer.

Investigations Division Management
Information System—SBA 17.

ACCESS PROCEDURES:

Office of the Inspector General (OIG),
Investigations Division. See Appendix
A.

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Subject individual, Agency personnel,
informants, the Federal Bureau of
Investigation and other investigative
Government agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

(1) Pursuant to 5 U.S.C. 552a(j)(2),
records in this system of records are
exempt from the application of all
provisions of section 552a except
sections (b), (c)(1) and (2), (e)(4)(A)
through (F), (e)(6), (7), (9), (10), (11), and
(i), to the extent that it consists of (A)
information compiled for the purpose of
identifying individual criminal
offenders and alleged offendersand
consisting only of identifying data and
notations of arrests, confinement,
release, and parole and probation status;
(B) information compiled for the
purpose of criminal investigation,
including reports of informants and
investigators, and associated with an
identifiable individual; or (C) reports
identifiable to an individual compiled at
any stage of the process of enforcement
of the criminal laws from arrest or
indictment through release from
supervision. This system is exempted in
order to maintain the efficacy and
integrity of the Office of the Inspector
General’s criminal law enforcement
function.
(2) Pursuant to 5 U.S.C. 552(a)(k)(2)
and (k)(5), all investigatory material in
the record compiled for law
enforcement purposes or for the purpose
of determining suitability, eligibility, or
qualifications for Federal civilian
employment, Federal contracts, or
access to classified information is
exempt from the notification, access,
and contest requirements (under 5
U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f) of the Agency

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SYSTEM LOCATION:

CATEGORIES OF INDIVIDUALS COVERED IN THE
SYSTEM INCLUDES:

Persons against whom are made
allegations that are within the OIG’s
jurisdiction to investigate, persons
identified as making allegations or
persons who are cross-referenced to an
investigative file, principals,
representatives of applicants,
participants, contractors, grantees,
participants in cooperative agreements,
resource partners and their principals
and representatives and other interested
parties participating in SBA programs,
and members of Advisory Councils and
SCORE/ACE volunteers.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Material gathered or created during
preparation for, conduct of and followup on investigations conducted by OIG,
the FBI and other Federal, State, local,
or foreign regulatory or law enforcement
agency. May include alphabetical
indices of names and case numbers and
information about allegations, decisions,
investigative assignments and special
techniques, and reports and results of
investigations and time spent by
investigators.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. App. 3 (The Inspector
General Act of 1978), 15 U.S.C. Chapters
14A and 14B; 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the Federal, State, local or
foreign agency or professional
organization which investigates,
prosecutes or enforces violations,
statutes, rules, regulations or orders
issued when the Agency identifies a
violation or potential violation of law
whether arising by general or program
statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or
administrative tribunal, opposing
counsel during such proceedings or in

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settlement negotiations when presenting
evidence.
c. To the General Accounting Office
for periodic reviews of the SBA.
d. To the Office of Government Ethics
for any purpose consistent with their
mission.
e. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
f. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
g. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that

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litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:

Self-contained system and computer
disks.

Legal Work Files on Personnel
Cases—SBA 18.
SYSTEM LOCATION:

RETRIEVAL:

Subjects’ name, company name, case
number, agent’s name, Social Security
Number or agent’s identification
number.
SAFEGUARDS:

Access to and use of these records is
limited to those persons whose official
duties require such access; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with Standard
Operating Procedure 00 41 2 Items 90:10
and 90:12. Retained on computer disks
indefinitely. Hard copies are made
monthly, retained for five years before
being destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for
Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Subject individual, Agency personnel,
informants, the Federal Bureau of
Investigation and other investigative
Government agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Pursuant to 5 U.S.C. 552(a)(k)(2) and
(k)(5), all investigatory material in the
record compiled for law enforcement
purposes or for the purpose of
determining suitability, eligibility, or
qualifications for Federal civilian
employment, Federal contracts, or
access to classified requirements (under
5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f) of the Agency
regulations. This exemption is necessary
in order to fulfill commitments made to
protect the confidentiality of sources

Frm 00018

SBA 18
SYSTEM NAME:

STORAGE:

PO 00000

and to protect subjects of investigations
from frustrating the investigatory
process.

Fmt 4701

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Headquarters (HQ), Office of the
Inspector General (OIG) and Field
Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Opinions, advice, transcripts, witness
statements, etc. maintained by the
Office of General Counsel (OGC) on
personnel cases.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6).
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
c. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that

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litigation is likely to affect the agency or
any of its components.
d. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

Litigation and Claims Files—SBA 19.
SYSTEM LOCATION:

Headquarters (HQ), Field Offices,
Disaster Area Offices (DAO) and
Disaster Home Loan Servicing Centers
(DHLSC). See Appendix A for
addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

All Disaster Home Loan recipients
and individuals involved in lawsuits or
claims pertaining to SBA.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Records relating to recipients
classified as ‘‘in litigation’’ and all
individuals involved in claims by or
against the Agency. Wherever
applicable: affidavits, briefs, pleadings,
depositions and interrogatories, loan
status summaries with litigation
progress, opinions, copies of
Department of Justice (DOJ) papers
concerning loan case litigation,
summary foreclosures, chattel lien
searches, requests and responses under
the Freedom of Information Act, loan
modifications, recipients’ attorneys’
names, amount of liability, narrative
report of actual and contingent
liabilities and related correspondence.
15 U.S.C. 634(b)(6), 44 U.S.C. 3101.

SAFEGUARDS:

Access to and use limited to those
persons with official need to know to
know; computers are protected by
password and user identification codes.
RETENTION AND DISPOSAL:

In accordance with Standard
Operating Procedure 00 41 2 70:01,
70:07 and 70:11.
SYSTEM MANAGER(S) AND ADDRESS:

OGC and OIG. See Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or the PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
SOURCE CATEGORIES:

Office of Human Capital Management
and third party witnesses.

20:28 Sep 29, 2004

SYSTEM NAME:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

By employee name.

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Jkt 203001

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the Federal, State, local or
foreign agency or organization that
investigates, prosecutes or enforces
violations, statutes, rules, regulations or
orders issued when the agency
identifies a violation or potential
violation of law arising by general or
program statute, or by regulation, rule or
order.
b. To the Federal, State or local
private credit agency maintaining civil,
criminal or other relevant information to
determine an applicant’s suitability for
a loan; this may be requested
individually or part of a computer
match program.
c. To a request from a State or Federal
agency in connection with the issuance
of a grant, loan or other benefit by that
agency which is relevant to their
decision on the matter; this may be
requested individually or part of a
computer match. SBA will provide
information to the Department of
Housing and Urban Development (HUD)

PO 00000

Frm 00019

Fmt 4701

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58615

to be maintained in a central repository
where agencies can request information
on a case-by-case basis or as part of a
computer match.
d. To another Federal agency,
including Defense Manpower Data
Center, U.S. Postal Service and HUD, to
conduct computer matching programs to
locate delinquent SBA borrowers who
are receiving Federal salaries or benefit
payments.
e. To a consumer reporting agency.
f. To a court, magistrate, grand jury or
administrative tribunal, opposing
counsel during such proceedings or in
settlement negotiations when presenting
evidence.
g. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
h. To a grand jury agent pursuant
either to a federal or state grand jury
subpoena or to a prosecution request
that such record be introduced to a grant
jury.
i. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
j. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or here individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
k. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency

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determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosures of
the records to a court or other
adjudicative body is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:

SOURCE CATEGORIES:

Subject employee, Agency personnel,
the public, the DOJ, bankruptcy notices,
court records, title companies, and Loan
Case Files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Pursuant to 5 U.S.C. 552a(k)(2) and
(k)(5), all investigatory material in the
record compiled for law enforcement
purposes or for the purpose of
determining suitability, eligibility, or
qualifications for Federal civilian
employment, Federal contracts, or
access to classified information is
exempt from the notification, access,
and contest requirements (under 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f) of the Agency
regulations. This exemption is necessary
in order for the Agency legal staff to
properly perform its functions.
SBA 20

STORAGE:

Paper and electronic files.

SYSTEM NAME:

RETRIEVAL:

Disaster Loan Case File—SBA 20.

By recipient and claimant name.

SYSTEM LOCATION:

SAFEGUARDS:

Access to and use limited to those
persons with official need to know to
know; computers are protected by
password and user identification codes.
RETENTION AND DISPOSAL:

SBA Disaster Area Offices and the
Department of Housing and Urban
Development (HUD). See Appendix A
for SBA addresses; HUD addresses are
published by HUD.

In accordance with SOP 00 41 2 70:09
and 70:13.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

SYSTEM MANAGER(S) AND ADDRESS:

Applicants and recipients of disaster
home loans.

DAO and DHLSC Directors and Office
of General Counsel. See Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
RETENTION AND DISPOSAL:

In accordance with Standard
Operating Procedure 00 41 2 Item Nos.
70:07, 70:08, 70:09, 70:10, 70:11, 70:13,
70:14 and 70:15, OGC NI–309–88–1,
OGC NI 309–99–1, OGC NI–309–88–1.
In accordance with National Archives
and Records Administration General
Records Schedule 14.11.
SYSTEM MANAGER(S) AND ADDRESS:

OGC and Field Office Systems
Manager. See Appendix A.

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Jkt 203001

CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Information relating to applicants and
recipients of a disaster home loan from
the time of application until the date of
payment in full or charge-off is
approved; or until the date of an official
denial if declined. These records
include: Loan applications, supporting
documents, personal history, financial
statements, credit information
investigative reports, appraisers’ reports,
waivers, loan record transfers,
correspondence, recommendations,
authorizations, disbursement amount,
term and rate, payment history,
collateral, UCC filings and re-filings,
collection and liquidation activities,
financial statements, settlements and
compromises, participating bank
information, field visit reports,
borrowers insurance information and
loan accounting information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101.

PO 00000

Frm 00020

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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 public on approved loans,
information is limited to recipient name
and address, term and rate of the loan,
and the apportioned amount of the loan
for real or personal property loss.
b. To provide information to potential
investors who are interested in bidding
on loans made available by the Agency
in a sale of assets. Investors will be
required to execute a confidentiality
agreement prior to reviewing any record
or information.
c. To the public, under certain
conditions, on losses incurred by the
government due to non-payment of
obligations by individuals. In these
cases, the name and address of the
obligator and amount incurred (amount
written-off from Agency assets) will not
be released to the public unless the
borrower consents to disclosure or is
required pursuant to the Freedom of
Information Act.
d. To the Federal, State, local or
foreign agency or professional
organization which has responsibility
for investigating, prosecuting or
enforcing violations, statute rules,
regulations or orders issued when the
Agency locates a violation or potential
violation of law whether arising by
general or program statute, or by
regulation, rule or order.
e. To request information from a
Federal, State or local agency or a
private credit agency maintaining civil,
criminal or other information relevant to
determining an applicant’s suitability
for a loan; this may be requested
individually or part of a computer
match.
f. To provide data to the General
Accounting Office for periodic reviews
of SBA.
g. To a request from a State or Federal
agency in connection with the issuance
of a grant, loan or other benefit by that
agency which is relevant to their
decision on the matter; this may be
requested individually or part of a
computer match. SBA will provide
information to HUD to be maintained in
a central repository where agencies can
request information on a case-by-case
basis or as part of a computer match.
h. To another Federal agency, HUD, to
conduct computer matching programs to
locate delinquent SBA borrowers who
are receiving Federal salaries or benefit
payments and programs to identify
delinquent SBA borrowers receiving
federal salaries or benefit payments.
Disclosure will be made if the records
indicate the loan is in default, at least
30 days past due or to update a previous

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disclosure. SBA will make the
disclosures to obtain repayments of
debts under the provisions of the Debt
Collection Act of 1982 by voluntary
repayment, or by administrative or
salary offset procedures.
i. To a consumer reporting agency.
j. To provide the Internal Revenue
Service (IRS) with access to an
individual’s records for an official audit
to the extent the information is relevant
to the IRS’s function.
k. To a court, magistrate, grand jury or
administrative tribunal, opposing
counsel during such proceedings or in
settlement negotiations when presenting
evidence.
l. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
m. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
n. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
o. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative

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Jkt 203001

body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.

58617

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.

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 to know;
computers are protected by password
and user identification codes.
RETENTION AND DISPOSAL:

In accordance with Standard
Operating Procedure 00 41 2 Item Nos.
70:09 and 70:13.
SYSTEM MANAGER(S) AND ADDRESS:

Disaster Area Office Director. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry in person or in writing to the
Systems Manager of PA Officer. See
Appendix A.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
SOURCE CATEGORIES:

Subject, individuals, Agency
employees, financial institution, law
enforcement agencies, and Federal
Emergency Management Agency.
SBA 21
SYSTEM NAME:

Loan System—SBA 21.
SYSTEM LOCATION:

Headquarters (HQ), Regional Offices,
District Offices, Branch Offices,

PO 00000

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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 SBA Resource Partner, its
successors or assigns, (i.e., participating
lender, certified development company,
micro lender) who initially collected the
individual’s information for the purpose
of making and servicing loans.
b. To a Congressional office from an
individual’s record when the office is
inquiring on the individual’s behalf.
The Member’s access rights are no
greater than the individual’s.
c. To the Federal, state, local or
foreign agency or organization which
investigates, prosecutes, or enforces
violations, statues, rules, regulations, or
orders issued when an agency identifies
a violation or potential violation of law,
arising by general or program statute, or
by regulation, rule, or order.
d. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
e. To qualified investors who have
signed a confidentiality agreement
related to review of files for the purpose
of evaluating, negotiating and

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implementing the purchase of loans
from the Agency as a part of the
Agency’s Asset Sales program.
f. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
g. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
h. To request information from a
Federal, State, local agency or a private
credit agency maintaining civil,
criminal or other information relevant to
determining an applicant’s suitability
for a business loan. This applies to
individuals involved in business loans.
i. To a recipient who has provided the
agency with advance adequate written
assurance that the record will be used
solely as a statistical research or
reporting record, and the record is to be
transferred in a form that is not
individually identifiable.

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j. To 7(a) and 504 lenders and/or
participating contractors for purposes of
the Loan and Lender Monitoring System
(L/LMS).

record; retention period varies
according to the type of record.
SYSTEM MANAGERS AND ADDRESSES:

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.

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.

RETRIEVABILITY:

NOTIFICATION PROCEDURE:

Electronic Records: By individual
name, personal identifier, SBA
Identifier, Participating Lender
Identifier, Participating Lender Name,
business name, and business identifier.

An individual may submit a written
record inquiry to the appropriate
Systems Manager or PA Officer.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

PAPER RECORDS: BY INDIVIDUAL NAME,
PERSONAL IDENTIFIER AND SBA IDENTIFIER.
SAFEGUARDS:

Electronic Records: Access and use is
limited to Agency officials acting in
their official capacities, with a need-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 Agency officials acting in
their official capacities, with a need-toknow. SBA Resource Partners, their
successors or assigns, will have access
only to those individual records that
were collected by that particular
partner. Information contained in loan
files will be available only to potential
asset sale purchasers who have executed
a confidentiality agreement. Only those
SBA employees in the performance of
their official duties may amend or
review the records.
RETENTION AND DISPOSAL:

In accordance with SBA Standard
Operating Procedure 00 41 2, Item Nos.
50:04, 50:08, 50:09, 50:10, 50:11, 50:12,
50:13, 50:19, 50:22, 55:02. Records are
retained for the life of SBA’s interest in
the business loan and are disposed of
according to the reference in the SOP
that pertains to a particular type of

PO 00000

Frm 00022

Fmt 4701

Sfmt 4703

RECORDS ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING RECORD PROCEDURES:

Notify the official listed above and
state reason(s) for contesting and the
proposed amendment sought.
RECORD SOURCE CATEGORIES:

Subject individuals and businesses,
financial institutions, credit reporting
agencies, law enforcement agencies and
SBA resource partners.
SBA 22
SYSTEM NAME:

Outside Employment Files—SBA 22.
SYSTEM LOCATION:

Headquarters (HQ) and Field Offices.
See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

SBA employees who have requested
permission for outside employment.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Correspondence concerning requests
for outside employment.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To a Congressional office from an
individual’s record, when office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of

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these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
c. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
d. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By employee name.
Access and use limited to persons
with official need to know; computers

20:28 Sep 29, 2004

RETENTION AND DISPOSAL:

Jkt 203001

of the Budget and Accounting
Procedures Act of 1950 and 5 U.S.C.
Chapters 55 through 63.

In accordance with Standard
Operating Procedure 00 41 2 Item 2
30.01.

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:

SYSTEM MANAGER(S) AND ADDRESS:

a. To the Federal, State, local or
foreign agency or professional
organization which investigates,
prosecutes or enforces violations,
statutes, rules, regulations or orders
issued when the Agency identifies a
violation or potential violation of law
whether arising by general or program
statute, or by regulation, rule or order.
b. To transmit data to U.S.
Department of Treasury to effect
issuance of paychecks to employees and
distribution of pay according to
employee directions for savings bonds,
allotments, financial institutions, and
other authorized purposes.
c. To the GAO for audit purposes.
d. To Internal Revenue Service and
appropriate State and local authorities
when reporting tax withholding; FICA
deductions to the Social Security
Administration; dues deductions to
labor unions; withholdings for health
insurance to insurance carriers and the
Office of Personnel Management;
charity contribution deductions to
agents of charitable institutions; annual
W–2 statements to taxing authorities
and the individual.
e. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
f. To the Office of Child Support
Enforcement, Administration for
Children and Families, Department of
Health and Human Services to locate
individuals in order to establish
paternity and modify orders of child
support, identify sources of income, and
other child support enforcement actions
as required by the Personal
Responsibility and Work Opportunity
Reconciliation Act (Welfare Reform law,
Pub. L. 104–193), SBA will provide the
names, SSN, home addresses, dates of
birth and hire, quarterly earnings,
employer identifying information, and
State of hire of employees.
g. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.

HQ and Field Managers. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
SOURCE CATEGORIES:

Requesting employee and other
Agency personnel.
SBA 23
SYSTEM NAME:

Payroll Files—SBA 23.
SYSTEM LOCATION:

Office of Human Capital Management,
Headquarters (HQ). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Active and inactive SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Employee name, Social Security
Number (SSN), date of birth, grade, step,
and salary; organization, retirement and
FICA codes and date as applicable;
Federal, State and local tax deductions;
savings bond and charity deductions;
co-owner and/or beneficiary of bonds,
insurance deduction and plan or code;
cash award data; union dues
deductions; type and amount of
allotments; financial institution code
and account number; status and data on
all types of leave; time and attendance
records, including breakdown of hours
worked; mailing address; marital status
and number of dependents; notification
of Personnel Actions; unemployment
records; register of separations; annual
leave restoration; over-payment
indebtedness; correspondence from
employees concerning payroll.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

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are protected by password and user
identification codes.

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Title 6 General Accounting Office
(GAO) Policy and Procedures Manual,
31 U.S.C. 285, sections 112(a) and 113

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h. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
i. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:

Paper and electronic files.
RETRIEVAL:

By employee name and/or SSN.
SAFEGUARDS:

Physical, technical and administrative
security is maintained and admission to
record storage areas limited to
authorized personnel.

20:28 Sep 29, 2004

Jkt 203001

In accordance with National Archives
and Records Administration General
Record Schedule 2.
SYSTEM MANAGER(S) AND ADDRESS:

Chief Human Capital Officer,
Headquarters. See Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer. See
Appendix A.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

Subject employee, individuals,
supervisors, timekeepers, official
personnel records, and IRS.
SBA 24
SYSTEM NAME:

Personnel Security Files—SBA 24.
SYSTEM LOCATION:

Office of Inspector General (OIG),
Investigations Division, Office of
Security Operations (OSO). See
Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Active and inactive SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Active and inactive personnel
security files, employee or former
employee’s name, background
information, personnel actions, Office of
Personnel Management (OPM) and/or
authorized contracting firm background
investigations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101,
Executive Order 10450.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

STORAGE:

VerDate jul<14>2003

RETENTION AND DISPOSAL:

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.

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Frm 00024

Fmt 4701

Sfmt 4703

b. To other Federal Agencies, upon
request, that are conducting background
checks.
c. To a court, magistrate, grand jury or
administrative tribunal, opposing
counsel during such proceedings or in
settlement negotiations when presenting
evidence.
d. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
e. To the Office of Personnel
Management in accordance with that
agency’s authority to evaluate Federal
personnel management.
f. To the Merit Systems Protection
Board in connection with its
consideration of appeals of personnel
actions.
g. To physicians conducting fitness
for duty examinations.
h. To any Federal, State, local, foreign
or international agency, in connection
with their assignment, hiring or
retention of an individual, issuance of a
security clearance, reporting of an
investigation of an individual, letting of
a contract or issuance of a license, grant
or other benefit, to the extent the
information is relevant to their decision
on the matter.
i. To a grand jury agent pursuant
either to a Federal or State grand jury
subpoena or to a prosecution request
that record be released for introduction
to a grand jury.
j. To the Office of Government Ethics
for any purpose consistent with their
mission.
k. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
l. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;

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(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
m. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Rotary diebold power files and
electronic data systems. OPM National
Agency checks that are not immediately
referred to OPM are maintained in
locked safes.

Assistant Inspector General for
Investigations or designee. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Inspector General or designee.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting and the
proposed amendment sought.
SOURCE CATEGORIES:

SBA employees, Office of Human
Capital Management, witnesses and
OPM.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Pursuant to 5 U.S.C. 552a(k)(5), all
investigatory material in the record
compiled for law enforcement purposes
or for the purpose of determining
suitability, eligibility, or qualifications
for Federal civilian employment,
Federal contracts, or access to classified
information is exempt from the
notification, access and contest
requirements (under 5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4)(G), (H), and (I) and (f)
of the Agency regulations. This
exemption is necessary in order to fulfill
commitments made to protect the
confidentiality of sources and to
maintain access to sources necessary in
making determinations of suitability for
employment.
SBA 25
SYSTEM NAME:

Portfolio Reviews—SBA 25.
SYSTEM LOCATION:

RETRIEVAL:

By employee name.
SAFEGUARDS:

All file cabinets are locked. Access
and use limited to persons with official
need to know; computers are protected
by password and user identification
codes.
RETENTION AND DISPOSAL:

Upon separation of an employee from
SBA, OIG/OSO destroys all nonderogatory information, derogatory
information is retained by OIG/OSO and
transferred to Federal Records Centers
(FRC) five years after cutoff (date of
separation). After 15 years, FRC destroys
the files.

VerDate jul<14>2003

SYSTEM MANAGER(S) AND ADDRESS:

20:28 Sep 29, 2004

Jkt 203001

Headquarters (HQ), Disaster Area
Offices (DAO) and Disaster Home Loan
Service Centers (DHLSC). See Appendix
A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Recipients of SBA Disaster Home
Loans.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Reports compiled by the Office of
Portfolio Review during review of field
office loan processing. Disaster Home
Loans may be included.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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15 U.S.C. 634(b)(6), 44 U.S.C. 3101.

Frm 00025

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58621

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the General Accounting Office
in the course their review of the Agency.
b. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
c. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
d. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the

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DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By borrower’s name, loan number and
Social Security Number.
SAFEGUARDS:

Access and use limited to persons
with official need to know to know;
personnel screening and computer
passwords used to prevent unauthorized
disclosure.
RETENTION AND DISPOSAL:

In accordance with SOP 00 41 2 Item
Nos. 95:04 and 95:06.
SYSTEM MANAGER(S) AND ADDRESS:

DAO and DHLSC Managers. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
SOURCE CATEGORIES:

Office of Portfolio Review, Loan Case
Files, SBA personnel and field visits to
borrowers.
SBA 26
SYSTEM NAME:

Power of Attorney Files—SBA 26.
SYSTEM LOCATION:

Field Offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Insurance agents who have the
authority to execute a surety bond.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Records that identify individuals
authorized to execute bonds for surety
companies.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6) and 44 U.S.C.
3101.

VerDate jul<14>2003

20:28 Sep 29, 2004

Jkt 203001

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
b. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
c. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
d. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or

PO 00000

Frm 00026

Fmt 4701

Sfmt 4703

(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By agent and broker name.
SAFEGUARDS:

Access and use limited to persons
with an official need to know; personnel
screening and computer passwords used
to prevent unauthorized disclosure.
RETENTION AND DISPOSAL:

In accordance with SOP 00 41 2 Item
No. 50:21.
SYSTEM MANAGER(S) AND ADDRESSES:

Field Office Systems Managers. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a records
inquiry either in person or in writing to
the Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
SOURCE CATEGORIES:

Authorizing surety company.
SBA 27
SYSTEM NAME:

Security and Investigations Files—
SBA 27.
SYSTEM LOCATION:

Office of the Inspector General (OIG),
Investigations Division, Headquarters
duty stations in the field and Federal
Record Center (FRC). See Appendix for
SBA addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Active SBA employees that are
subjects of investigations involving
alleged administrative violations or
irregularities that may warrant
administrative disciplinary action.
Inactive SBA employees that are subject
of Workers’ Compensation
Investigations.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Material gathered or created during
preparation for, conduct of and follow-

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up on investigations conducted by OIG,
the Federal Bureau of Investigation (FBI)
and other Federal, State, local or foreign
regulatory or law enforcement agencies
as well as other material submitted to or
gathered by OIG in furtherance of its
investigative function. These records
include FBI and other Federal, State,
local and foreign regulatory or law
enforcement investigative reports,
personal history statements, background
character checks, field investigations,
arrest and conviction records, parole
and probation data, recommendations
and related correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. App. 3 (The Inspector
General Act of 1978), 15 U.S.C. Chapters
14A and 14B; 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the Federal, State, local or
foreign agency or professional
organization which investigates,
prosecutes or enforces violations,
statutes, rules, regulations or orders
issued when the Agency identifies a
violation or potential violation of law
whether arising by general or program
statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or
administrative tribunal, opposing
counsel during such proceedings or in
settlement negotiations when presenting
evidence.
c. To any private or governmental
source or person to secure information
relevant to an investigation or audit.
d. To other Federal conducting
background checks, to the extent the
information is relevant to their function.
e. To any Federal, State, local, foreign,
international, private agency or
organization for the hiring or retention
of an individual, issuance of a security
clearance, reporting of an investigation
of an individual, letting of a contract or
issuance of a license, grant or other
benefit, to the extent the information is
relevant to their decision on the matter.
f. To Federal, State or local bar
associations and other professional
regulatory or disciplinary bodies for use
in disciplinary proceedings and
inquiries.
g. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
h. To the General Accounting Office
(GAO) for periodic reviews of this SBA.
i. To the Office of Government Ethics
for any purpose consistent with their
mission.

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j. To the GAO and to the General
Service Administration’s Board of
Contract Appeals in bid protest cases
involving an agency procurement.
k. To any Federal agency which has
the authority to subpoena other Federal
agencies records and has issued a valid
subpoena.
l. To the Department of the Treasury
and the Department of Justice (DOJ)
when an agency is seeking an ex parte
court order to obtain taxpayer
information from the Internal Revenue
Service.
m. To debt collection contractors
collecting delinquent authorized by the
Debt Collection Act of 1982, 31 U.S.C.
3718.
n. To a ‘‘consumer reporting agency’’
as that term is defined in the Fair Credit
Reporting Act (15 U.S.C. 1681 a(f)) and
the Federal Claims Collection Act of
1966 (31 U.S.C. 701(a)(3)), to obtain
information during an investigation or
audit.
o. To agency personnel responsible
for Program Civil Remedies Act
litigation, the tribunal and defendant’s
counsel.
p. To a grand jury agent pursuant to
a Federal or State grand jury subpoena
or to a prosecution request that records
be introduced to a grand jury.
q. To the public under the Freedom of
Information Act (FOIA), 5 U.S.C. 552.
r. To the DOJ to obtain advice
regarding FOIA disclosure obligations.
s. To the Office of Management and
Budget to obtain that advice regarding
PA obligations.
t. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
u. To the DOJ when any of the
following is a party to litigation or has
an interest in such litigation, and the
use of such records by the DOJ is
deemed by the agency to be relevant and
necessary to the litigation, provided,
however, that in each case, the agency
determines the disclosure of the records
to the DOJ is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the

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DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
v. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Rotary diebold power files, file
cabinets and electronic systems.
RETRIEVAL:

By name and referenced to the
number of the IG file(s) containing
related material.
SAFEGUARDS:

Records are stored in locked filing
cabinets or in filing cabinets located in
locked rooms. Access and use limited to
persons with official need to know;
computers are protected by password
and user identification codes.
RETENTION AND DISPOSAL:

In accordance with Standard
Operating Procedure 00 41 2 Item No.s
90:10 and 90:12. Cut off on separation
of employee. OIG destroys records of a
non-adverse nature. Records containing
adverse information are retained by OIG
and transferred to FRC five years after
cutoff. Destroy 15 years after cutoff.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for
Investigations or designee. See
Appendix A.

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NOTIFICATION PROCEDURE:

SBA 28

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer. See
Appendix A.

SYSTEM NAME:

Small Business Person and Advocate
Awards—SBA 28.
SYSTEM LOCATION:

ACCESS PROCEDURES:

Headquarters (HQ) and Field Offices.
See Appendix A.

IG or PA Officer will determine
procedures.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.

Candidates and winners of the Small
Business Person of the Year Awards,
Advocate Awards, Minority Small
Business Person and Phoenix Award.

SOURCE CATEGORIES:

CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Subject individual, Agency personnel,
informants, the FBI and investigative
Government agencies.

Information regarding the candidacy
and selection of Small Business Person
of the Year, Minority Small Business
Person and Advocate of the Year in field
offices, applications, biographical
summaries, correspondence,
recommendations and narratives. The
record of Community Development
Awards in HQ includes biographical
and qualifying information as well as
recommendations from field offices.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

(1) Pursuant to 5 U.S.C. 552a(j)(2), this
system of records is exempt from the
application of all provisions of section
552a except sections (b), (c)(1) and (2),
(e)(4)(A) through (F), (e)(6), (7), (9), (10),
(11), and (i), to the extent that it consists
of (A) information compiled for the
purpose of identifying individual
criminal offenders and alleged offenders
and consisting only of identifying data
and notations of arrests, confinement,
release, and parole and probation status;
(B) information compiled for the
purpose of criminal investigation,
including reports of informants and
investigators, and associated with an
identifiable individual; or (C) reports
identifiable to an individual compiled at
any stage of the process of enforcement
of the criminal laws from arrest or
indictment through release from
supervision. This system is exempted in
order to maintain the efficacy and
integrity of the OIG’s criminal law
enforcement function.
(2) Pursuant to 5 U.S.C. 552a(k)(2) and
(k)(5), except as otherwise provided
therein, all investigatory material
compiled for law enforcement purposes
or for the purpose of determining
suitability, eligibility, or qualifications
for Federal civilian employment,
Federal contracts, or access to classified
information contained in this system of
records is exempt from sections 3(c)(3),
(d), (e)(1), (e)(4)(G) through (I), and (f) of
the PA. 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G) through (I) and (f). This
exemption is necessary in order to
protect the confidentiality of sources of
information and to maintain access to
sources necessary in making
determinations of suitability for
employment.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the news media for public
disclosure of the name, address, and
biography of award recipients.
b. To communicate with State and
local governments about the status of a
particular candidate.
c. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
e. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records

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that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
f. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS,
RETENTION AND DISPOSAL OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By individual name.
SAFEGUARDS:

Access and use limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with National Archives
and Records Administration General
Records Schedule 16.8.
SYSTEM MANAGER(S) AND ADDRESS:

Field Office Systems Managers. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry either in person or in writing to
the Systems Manager or PA Officer.

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ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
SOURCE CATEGORY:

Subject individual, recommendations
from individual sponsors, Advisory
Council members, Agency personnel,
research publications, directories and
news media.
SBA 29
SYSTEM NAME:

Standards of Conduct Files—SBA 29.
SYSTEM LOCATION:

Headquarters (HQ), Office of the
Inspector General and Field Offices. See
Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Confidential employment and
financial statements of employees Grade
13 and above, Grade 12 Branch
Managers and other designated
individuals. Ad Hoc Committee
decisions and memoranda concerning
standards of conduct questions used as
precedent for later decisions (HQ only).
Correspondence concerning conflicts of
interest. List of all SBA employees who
have been indicted or convicted in
matters involving SBA business.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

13 CFR 105 parts 101 and 401.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED OR REFERRED:

a. To the Federal, State, local or
foreign agency or professional
organization which investigates,
prosecutes or enforces violations,
statutes, rules, regulations or orders
issued when the Agency identifies a
violation or potential violation of law
whether arising by general or program
statute, or by regulation, rule or order.
b. To a court, magistrate, grand jury or
administrative tribunal, opposing
counsel during such proceedings or in
settlement negotiations when presenting
evidence.
c. To the Office of Personnel
Management when requested.
d. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the

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Member’s access rights are no greater
than the individual’s.
e. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
f. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
g. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.

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58625

POLICIES, PRACTICES, RETRIEVAL, ACCESS,
RETENTION AND DISPOSAL OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By employee name and/or Social
Security Number.
SAFEGUARDS:

Access strictly limited to those
employees with an official need to
know; computers secured by passwords
and user identification codes.
RETENTION AND DISPOSAL:

In accordance with National Archives
and Records Administration General
Records Schedule 1.1.
SYSTEM MANAGER(S) AND ADDRESS:

Systems Managers. See Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
SOURCE CATEGORIES:

Confidential statement of employment
and financial interests by the employee.
Any adverse information could come
from other employees or from a member
of the general public with specific
knowledge of the matter reported.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Pursuant to 5 U.S.C. 552a(k)(5), all
investigatory material in the record
compiled for the purpose of determining
suitability, eligibility, or qualifications
for Federal civilian employment,
Federal contracts, or access to classified
information is exempt from the
notification, access, and contest
requirements (under 5 U.S.C. 552a
(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I),
and (f) of the Agency regulations. This
exemption is necessary in order to fulfill
communications made to protect the
confidentiality of sources and maintain
access to sources necessary in making
determinations of suitability.
SBA 30
SYSTEM NAME:

Servicing and Contracts System/
Minority Enterprise Development
Headquarters Reporitory—SBA 30.

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SYSTEM LOCATION:

SBA Headquarters and all SBA
district offices. See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDE:

Applicants and program participants
in SBA’s 8(a) Business Development
program (8(a).
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDE:

8(a) Business Development program
applications, business development
working files, business plan files and
contract files containing personal and
financial information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Public Law 100–656, Small Business
Act 15 U.S.C. 636, section (j) (Technical
and Management Assistance); Public
Law 100–656, 15 U.S.C. 637, section
8(a) (Business Development).
PURPOSE:

To collect confidential business and
financial information used to determine
if applicants and current 8(a)
participants are in compliance with
statutory and regulatory requirements
for continued eligibility for program
participation. This information
facilitates the Agency in carrying out the
functions of the Office of 8(a) Business
Development.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED, OR REFERRED:

a. To a Congressional office, when the
office is inquiring on the individual’s
behalf; the Member’s access rights are
no greater than the individual’s.
b. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
c. To the Federal, state, local or
foreign agency or professional
organization which investigates,
prosecutes, or enforces violation or
potential violation of law, arising by
general or program statute, or by
regulation, rule, or order.
d. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,

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the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
e. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES AND PRACTICES FOR STORAGE,
RETRIEVAL, ACCESS, RETENTION AND DISPOSAL
OF RECORDS:
STORAGE:

Electronic database records reside on
the SBA secured mainframe system.
RETRIEVAL:

Name of individual and business
name.
SAFEGUARDS:

Access and use is limited to persons
whose official duties designate such a
need; personnel screening by password
is used to prevent unauthorized
disclosure.
RETENTION AND DISPOSAL:

In accordance with SACS/MEDHR
NI–309–03–4.
SYSTEM MANAGER(S) AND ADDRESS:

PA Officer, Associate Administrator
for 8(a) Business Development and the

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Field Office Systems Manager. See
Appendix A.
NOTIFICATION PROCEDURES:

An individual, who is inquiring
whether the System of Records contain
information about him or her, may
submit a record inquiry either in person
or in writing to the PA Officer,
Associate Administrator for 8(a)
Business Development or, Field Office
Systems Manager.
ACCESS PROCEDURES:

PA Officer or Field Office Systems
Manager will determine procedures.
CONTESTING PROCEDURES:

Individuals seeking to contest or
amend information contained in this
system of records should contact the
system manager listed above, state the
reason(s) for contesting the record and
the proposed amendment sought.
RECORD SOURCE CATEGORIES:

Small business concerns who have
applied to or are participants in the 8(a)
Business Development program.
SBA 31
SYSTEM NAME:

Temporary Disaster Employees—SBA
31.
SYSTEM LOCATION:

Office of Disaster Assistance (ODA):
HQ and Field locations. See Appendix
A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Employees who have been
temporarily employed by the ODA.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Name, address, telephone number,
Social Security Number (SSN), Disaster
Area, job series, grade and title, dates of
employment, reason for termination,
supervisor’s name and job and summary
of supervisor’s evaluation. Possible
violations of the Agency’s Standards of
Conduct (13 CFR Part 105) and
information, if any, concerning official
investigations and disciplinary actions
taken.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 101.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED, OR REFERRED:

a. To verify previous employment
with SBA when a former employee is
considered for reemployment.
b. To locate current or former
employees with special skills or

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language capabilities needed in specific
situations.
c. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
e. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
f. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that

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litigation is likely to affect the agency or
any of its components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS,
RETENTION AND DISPOSAL OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By name and/or SSN.
SAFEGUARDS:

Access and use limited to persons
with official need to know; computers
are protected by password and user
identification codes.
RETENTION AND DISPOSAL:

In accordance with National Records
and Archives Administration General
Records Schedule 1.10.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Administrator for Disaster
Assistance. See Appendix A.
NOTIFICATION PROCEDURE:

An individual may submit a record
inquiry in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
SOURCE CATEGORIES:

Disaster Area Offices.
SBA 32
SYSTEM NAME:

Tort Claims—SBA 32.
SYSTEM LOCATION:

Headquarters (HQ), Field Offices,
Disaster Area Offices (DAO) and Federal
Records Center (FRC). See Appendix A
for SBA addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM INCLUDES:

Government employees and other
individuals involved in accidents.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Contains reports on accidents which
result in tort claims involving the
Government.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

44 U.S.C. 3101, 42 U.S.C. 3211.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES, THESE RECORDS
MAY BE USED, DISCLOSED, OR REFERRED:

a. To the Department of Justice (DOJ)
for handling of the suit and the

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58627

preparation and presentation of the case
in the event that a tort claim results in
a court suit.
b. To the General Services
Administration for reporting on
accidents and tort claims.
c. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To a rental car company
responsible for personal injuries and
property damage.
e. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
f. To the DOJ when any of the
following is a party to litigation or has
an interest in such litigation, and the
use of such records by the DOJ is
deemed by the agency to be relevant and
necessary to the litigation, provided,
however, that in each case, the agency
determines the disclosure of the records
to the DOJ is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
g. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the
records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;

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Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices

(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS,
RETENTION AND DISPOSAL OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

Name of involved individual.
SAFEGUARDS:

Locked cabinets. Access and use
limited to persons with official need to
know; computers are protected by
password and user identification codes.
RETENTION AND DISPOSAL:

In accordance with National Archives
and Records Administration General
Records Schedule 6.10.
SYSTEM MANAGER(S) AND ADDRESS:

Field Office Systems Manager or DAO
Director. See Appendix A.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry in person or in writing to the
Systems Manager or PA Officer.
ACCESS PROCEDURES:

Systems Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
SOURCE CATEGORIES:

Individuals involved in accident,
witnesses, investigation of the accident.
SBA 33
SYSTEM NAME:

Travel Files—SBA 33.
SYSTEM LOCATION:

All SBA offices, Denver Financial
Center, Denver and Federal Records
Center (FRC). See Appendix A.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SBA employees.
CATEGORIES OF RECORDS IN THE SYSTEM
INCLUDES:

Employee travel vouchers.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

15 U.S.C. 634(b)(6), 44 U.S.C. 3101.

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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 Accounting Office
in the course of an audit of the SBA.
b. To the appropriate Federal, State,
local or foreign agency or professional
organization which has responsibility
for investigating, prosecuting or
enforcing violations, statutes rules,
regulations or orders issued when the
Agency identifies a violation or
potential violation of law arising by
general or program statute, by
regulation, rule or order.
c. To a Congressional office from an
individual’s record, when the office is
inquiring on the individual’s behalf; the
Member’s access rights are no greater
than the individual’s.
d. To Agency volunteers, interns,
grantees, experts and contractors who
have been engaged by the Agency to
assist in the performance of a service
related to this system of records and
who need access to the records in order
to perform this activity. Recipients of
these records shall be required to
comply with the requirements of the
Privacy Act of 1974, as amended, 5
U.S.C. 552a.
e. To the Department of Justice (DOJ)
when any of the following is a party to
litigation or has an interest in such
litigation, and the use of such records by
the DOJ is deemed by the agency to be
relevant and necessary to the litigation,
provided, however, that in each case,
the agency determines the disclosure of
the records to the DOJ is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
f. In a proceeding before a court, or
adjudicative body, or a dispute
resolution body before which the agency
is authorized to appear or before which
any of the following is a party to
litigation or has an interest in litigation,
provided, however, that the agency
determines that the use of such records
is relevant and necessary to the
litigation, and that, in each case, the
agency determines that disclosure of the

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Fmt 4701

Sfmt 4703

records to a court or other adjudicative
body is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected:
(1) The agency, or any component
thereof;
(2) Any employee of the agency in his
or her official capacity;
(3) Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee; or
(4) The United States Government,
where the agency determines that
litigation is likely to affect the agency or
any of its components.
POLICIES, PRACTICES, RETRIEVAL, ACCESS,
RETENTION AND DISPOSAL OF RECORDS:
STORAGE:

Paper and electronic files.
RETRIEVAL:

By employee name.
SAFEGUARDS:

Access and use limited to persons
with official need to know; computers
are protected by passwords and user
identification codes.
RETENTION AND DISPOSAL:

Records are maintained according to
National Archives and Records
Administration’s General Record
Schedule 6.1.a.
SYSTEM MANAGER(S) AND ADDRESS:

Chief Financial Officer. See Appendix
A for address.
NOTIFICATION PROCEDURES:

An individual may submit a record
inquiry in person or in writing to the
Systems Manager or PA Officer. See
Appendix A.
ACCESS PROCEDURES:

System Manager or PA Officer will
determine procedures.
CONTESTING PROCEDURES:

Notify the official listed above, state
the reason(s) for contesting it and the
proposed amendment sought.
SOURCE CATEGORIES:

Employees Travel Vouchers.
Dated: September 21, 2004.
Delorice P. Ford,
Senior Privacy Act Official, Small Business
Administration.
[FR Doc. 04–21670 Filed 9–29–04; 8:45 am]
BILLING CODE 8025–01–P

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