58598 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

SMALL BUSINESS ADMINISTRATION

Revision of Privacy Act System of 

Records

AGENCY: Small Business Administration.

ACTION: Notice of revision of Agency’s 

System of Records pursuant to the 

provisions of the Privacy Act and to 

open comment period. 

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 

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). 

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. 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58599

SBA District Offices 

Region I 

Maine District Office: 40 Western Ave., 

Room 512, Augusta, ME 04330. 

Massachusetts District Office: 10 Causeway 

St., Suite 265, Boston, MA 02222–1093. 

New Hampshire District Office: 55 Pleasant 

St., Suite 3101, Concord, NH 03301. 

Connecticut District Office: 330 Main St., 

2nd Floor, Hartford, CT 06106. 

Vermont District Office: 87 State St., Suite 

205, Montpelier, VT 05602. 

Rhode Island District Office: 380 

Westminster Mall, 5th Floor, Providence, RI 

02903. 

Springfield Branch Office: 1441 Main St., 

Suite 410, Springfield, MA 01103. 

Region II 

Buffalo District Office: 111 West Huron St., 

Room 1311, Buffalo, NY 14202. 

Elmira Branch Office: 333 E. Water St., 4th 

Floor, Elmira, NY 14901. 

Melville Branch Office: 35 Pinelawn Road, 

Suite 207, Melville, NY 11747. 

New Jersey District Office: Two Gateway 

Center, 15th Floor, Newark, NJ 07102. 

New York District Office: 26 Federal Plaza, 

Rm. 3108, New York, NY 10278. 

Puerto Rico & Virgin Islands District Office: 

252 Ponce De Leon Blvd., Hato Rey, Puerto 

Rico 00918. 

Rochester Branch Office: 100 State Street, 

Suite 410, Rochester, NY 14614. 

Syracuse District Office: 401 South Salina 

St., 5th Floor, Syracuse, NY 13202. 

St. Croix Branch Office: Sunny Isle 

Professional Building, Suites 5&6, 

Christiansted, VI 00820. 

St. Thomas Branch Office: 3800 Crown Bay 

Street, St. Thomas, VI 00802.

Region III 

Baltimore District Office: 10 S. Howard St., 

Suite 6220, Baltimore, MD 21201–2525. 

Charleston Branch Office: 405 Capitol St., 

Suite 412, Charleston, WV 25301. 

West Virginia District Office: Federal 

Center, Suite 330, 320 West Pike St., 

Clarksburg, WV 26301. 

Harrisburg Branch Office: 100 Chestnut St., 

Suite 107, Harrisburg, PA 17101. 

Philadelphia District Office: 900 Market 

St., 5th Floor, Philadelphia, PA 19107. 

Pittsburgh District Office: Federal Building, 

Rm. 1128, 1000 Liberty Ave., Pittsburgh, PA 

15222–4004. 

Richmond District Office: 400 North 8th 

St., 11th Floor, Richmond, VA 23240–0126. 

Washington District Office: 1110 Vermont 

Ave., NW., Suite 900, Washington, DC 20005. 

Wilkes-Barre Branch Office: 7 North 

Wilkes-Barre Blvd, Suite 407, Wilkes-Barre, 

PA 18702. 

Delaware District Office: 1318 North 

Market, Wilmington, DE 19801–3011. 

Region IV 

Georgia District Office: 233 Peachtree Rd., 

NE., Suite 1800, Atlanta, GA 30303. 

Alabama District Office: 801 Tom Martin 

Dr., Suite 201, Birmingham, AL 35211. 

North Carolina District Office: 6302 

Fairview Rd., Suite 300, Charlotte, NC 

28210–2227. 

South Carolina District Office: 1835 

Assembly St., Rm. 358, Columbia, SC 29201. 

Gulfport Branch Office: 2909 13th St., 

Suite 203, Gulfport, MS 39501–1949. 

Mississippi District Office: 210 E. Capitol 

St., Suite 210E, Jackson, MS 39201. 

Jacksonville—North Florida District Office: 

7825 Baymeadows Way., Suite 100-B, 

Jacksonville, FL 32256–7504. 

Kentucky District Office: 600 Dr. M.L. King 

Jr. Place, Rm. 188, Louisville, KY 40202. 

Miami—South Florida District Office: 100 

S. Biscayne Blvd, 7th Floor, Miami, FL 

33131. 

Tennessee District Office: 50 Vantage Way, 

Suite 201, Nashville, TN 37228–1500.

Region V 

Illinois District Office: 500 West Madison 

St., Chicago, IL 60661–2511. 

Cincinnati Branch Office: 525 Vine St., 

Suite 870, Cincinnati, OH 45202. 

Cleveland District Office: 1111 Superior 

Ave., Suite 630, Cleveland, OH 44114–2507. 

Columbus District Office: 2 Nationwide 

Plaza, Suite 1400, Columbus, OH 43215–

2542. 

Michigan District Office: 477 Michigan 

Ave., Suite 515, Detroit, MI 48226. 

Indiana District Office: 429 North 

Pennsylvania St., Suite 100, Indianapolis, IN 

46204–1873. 

Wisconsin District Office: 310 West 

Wisconsin Ave., Suite 400, Madison, WI 

53203. 

Minnesota Branch Office: 100 North 6th 

St., 210–C, Minneapolis, MI 55403. 

Wisconsin Branch Office: 310 West 

Wisconsin Ave., Milwaukee, WI 53203. 

Minnesota District Office: 100 North 6th 

St., Minneapolis, MN 55403–1563. 

Springfield Branch Office: 511 W. Capitol 

Ave., Suite 302, Springfield, IL 62704. 

Region VI 

New Mexico District Office: 625 Silver 

Ave., SW., Suite 320, Albuquerque, NM 

87102. 

Corpus Christi Branch Office: 3649 

Leopard St., Suite 411, Corpus Christi, TX 

78408. 

Dallas/Ft. Worth District Office: 4300 

Amon Carter Blvd., Suite 108, Dallas, TX 

76155. 

El Paso District Office: 10737 Gateways 

West, Suite 320, El Paso, TX 79935. 

Houston District Office: 8701 S. Gessner 

Dr., Suite 1200, Houston, TX 77074. 

Arkansas District Office: 2120 Riverfront 

Dr., Suite 100, Little Rock, AR 72202. 

Lower Rio Grande Valley District Office: 

222 E. Van Buren St., Rm. 500, Harlingen, TX 

78550–6855. 

Lubbock District Office: 1205 Texas Ave., 

Suite 408, Lubbock, TX 79401–2693. 

New Orleans District Office: 365 Canal St., 

Suite 2820, New Orleans, LA 70130. 

Oklahoma District Office: 301 Northwest 

6th St., Suite 116, Oklahoma City, OK 73102. 

San Antonio District Office: 727 E. 

Durango Blvd., 5th Floor, San Antonio, TX 

78206. 

Region VII 

Cedar Rapids Branch Office: 215 4th Ave., 

SE., Suite 200, Cedar Rapids, IA 52401–1806. 

Des Moines District Office: 210 Walnut St., 

Room 749, Des Moines, IA 50309–2186. 

Kansas City District Office: 323 West 8th 

Ave., Suite 501, Kansas City, MO 64105–

1500. 

Nebraska District Office: 11145 Mill Valley 

Rd., Omaha, NB 68154. 

Springfield Branch Office: 830 East 

Primrose, Suite 101, Springfield, MO 65807–

52540. 

St. Louis District Office: 815 Olive Street, 

St. Louis, MO 63101. 

Wichita District Office: 271 West Third St., 

Suite 2500, Wichita, KS 67202–1212. 

Region VIII 

Wyoming District Office: 100 East B Street, 

Rm. 4001, Casper, WY 82601. 

Denver District Office: 721 19th St., Suite 

426, Denver, CO 80202. 

North Dakota District Office: 657 Second 

Ave. North, Room 219, Fargo, ND 58108. 

Montana District Office: 10 West 15th St., 

Suite 1100, Helena, MT 59626. 

Utah District Office: 125 South State St., 

Room 2237, Salt Lake City, UT 84138. 

South Dakota District Office: 2329 North 

Career Ave., Suite 105, Sioux Falls, SD 

57107. 

Region IX 

Agana Branch Office: 400 Route 8, Suite 

302, Hagatna, GU 96910–2003. 

Fresno District Office: 2719 North Air 

Fresno Dr., Suite 200, Fresno, CA 93727–

1547. 

Hawaii District Office: 300 Ala Moana 

Blvd., Rm. 2–235, Honolulu, HI 96850–4981. 

Nevada District Office: 300 Las Vegas 

Blvd., Suite 110, Las Vegas, NV 89101. 

Los Angeles District Office: 330 North 

Brand Blvd., Suite 1200, Glendale, CA 

91203–2304. 

Arizona District Office: 2828 North Central 

Ave., Suite 800, Phoenix, AZ 85004–1025. 

Sacramento District Office: 650 Capital 

Mall, Suite 7–500, Sacramento, CA 95814–

2413. 

San Diego District Office: 550 West C St., 

Suite 550, San Diego, CA 92101–3500. 

San Francisco District Office: 455 Market 

St., 6th Floor, San Francisco, CA 94105–

2445. 

Santa Ana District Office: 200 West Santa 

Ana Blvd., Suite 700, Santa Ana, CA 92701.

Region X 

Alaska District Office: 50 L St., Suite 310, 

Anchorage, AK 99501. 

Boise District Office: 380 East Parkcenter 

Blvd., Boise, ID 83706. 

Portland District Office: 1515 S.W. 5th 

Ave., Suite 1050, Portland, OR 97201–5494. 

Seattle District Office: 1200 6th Ave., Rm. 

1700, Seattle, WA 98101–1128. 

Spokane Branch Office: 801 West 

Riverside, Suite 200, Spokane, WA 99201. 

Spokane District Office: 801 West 

Riverside Ave., Suite 200, Spokane, WA 

99201–0901. 

SBA Area Disaster Offices 

Disaster Area 1 Office: 360 Rainbow Blvd., 

South, 3rd Floor, Niagara Falls, NY 14303. 

Disaster Area 2 Office: One Baltimore 

Place, NE., Suite 300, Atlanta, GA 30308. 

Disaster Area 3 Office: 14925 Kingsport 

Rd., Fort Worth, TX 76155–2643. 

58600 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 

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. 

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; 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58601

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name of involved individual(s). 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL:

In accordance with National Archives 

and Records Administration General 

Records Schedule 6.10. 

SYSTEM MANAGER(S) AND ADDRESS: 

HQ and Field Systems Managers. See

Appendix A. 

NOTIFICATION PROCEDURE: 

An individual may submit a record 

inquiry either in person or in writing to 

either the Systems Manager or PA 

Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Involved individuals, witnesses and 

Agency investigation. 

SBA 2 

SYSTEM NAME: 

Administrator’s Executive Secretariat 

Files—SBA 2. 

SYSTEM LOCATION: 

Headquarters (HQ). See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Individuals who correspond with the 

SBA Administrator. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Correspondence in Controlled 

Documents System from October 1, 

1987. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To oversee and maintain Agency 

correspondence with Government 

officials, Members of Congress, and the 

public. 

b. To oversee and maintain 

memoranda or documents detailing 

policy and operational decisions made 

by the Administrator. 

c. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

e. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

f. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By document number, can be 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. 

58602 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

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 

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, 

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, 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58603

regulatory or disciplinary bodies for use 

in disciplinary proceedings and 

inquiries. 

g. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

h. To provide data to the General 

Accounting Office (GAO) for periodic 

reviews of SBA. 

i. To the Office of Government Ethics 

for any purpose consistent with their 

mission. 

j. To the General Accounting Office 

and to the General Services 

Administration’s (GSA) Board of 

Contract Appeals in bid protest cases 

involving an agency procurement. 

k. To any Federal agency which has 

the authority to subpoena other Federal 

agencies’ records. 

l. To the Department of the Treasury 

and the DOJ when an agency is seeking 

an ex parte court order to obtain 

taxpayer information from the Internal 

Revenue Service. 

m. To debt collection contractors for 

collecting delinquent debts as 

authorized by the Debt Collection Act of 

1982, 31 U.S.C. 3718. 

n. To a ‘‘consumer reporting agency’’

as defined in the Fair Credit Reporting 

Act (15 U.S.C. 1681 a(f)) and the Federal 

Claims Collection Act of 1966 (31 U.S.C. 

3701(a)(3)), to obtaining information 

during an investigation or audit. 

o. To personnel responsible for 

Program Fraud Civil Remedies Act 

litigation, the tribunal and defendant’s 

counsel. 

p. To a grand jury agent pursuant to 

a Federal or State grand jury subpoena 

or to a prosecution request that records 

be introduced to a grand jury. 

q. To the public under the Freedom of 

Information Act (FOIA), 5 U.S.C. 552. 

r. To the DOJ to obtain advice 

regarding FOIA disclosure obligations. 

s. To the Office of Management and 

Budget to obtain advice regarding PA 

obligations. 

t. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

u. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

v. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

w. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name and cross-referenced to 

related IG Audit files. 

SAFEGUARDS: 

Sensitive reports are kept in locked 

filing cabinets, while others are 

provided lesser levels of security as 

appropriate. 

RETENTION AND DISPOSAL: 

Following final agency action as the 

result of an audit, records are 

maintained in the respective field 

offices for five years and then 

transferred to the FRC, which destroys 

them after 20 years. Alphabetical 

indices are maintained on all 

investigations for an indefinite period of 

time. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Auditing or designee. See Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry in writing to the Systems 

Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Subject individuals, Agency 

personnel, third parties, the FBI and 

other investigative Government 

agencies. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

Pursuant to 5 U.S.C. 552a(j)(2), this 

system of records is exempt from the 

application of all provisions of section 

552a except sections (b), (c)(1) and (2), 

(e)(4)(A) through (F), (e)(6), (7), (9), (10), 

(11), and (i), to the extent that it consists 

of (A) information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

SBA 5 

SYSTEM NAME: 

Business and Community Initiatives 

Resource Files—SBA 5. 

SYSTEM LOCATION: 

Headquarters (HQ) and Field Offices. 

See Appendix A. 

58604 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Users of Business and Community 

Initiatives training materials, potential 

speakers, counselors, authors and 

reviewers. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Information relating to individuals: 

Biographical sketches, correspondence, 

copies of travel vouchers and 

counseling reports, files of 

accomplishments, publications, news 

releases and clippings. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To provide university coordinators 

with information about potential 

speakers at management training 

sessions.

b. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act, as amended, 5 U.S.C. 552a. 

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 65:01, 

65:02, 65:03, 65:04, 65:05, 65:07 and 

65:09. 

SYSTEM MANAGER(S) AND ADDRESS: 

Field Office Director and PA Officer. 

See Appendix A. 

NOTIFICATION PROCEDURE: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Managers for Field Office 

Records or PA Officer for HQ Records. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Record subject, Agency employees, 

media, educators, universities, 

professional and civic organizations. 

SBA 6 

SYSTEM NAME: 

Civil Rights Compliance Files—SBA 

6. 

SYSTEM LOCATION: 

Headquarters. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

SBA recipients of Federal financial 

assistance and individuals who have 

filed allegations of discrimination 

against SBA recipients of Federal 

financial assistance or against Agency 

programs or program offices based on 

disability. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Reviews, correspondence, supporting 

documents, interview statements, 

program files, information developed in 

allegation/complaint investigation. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

44 U.S.C. 3101, Civil Rights 

Compliance SOP 90 30 3 and 13 CFR 

parts 112, 113, and 117. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

c. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58605

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

d. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components.

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By complainant’s name, address and 

four digit fiscal year/order in which 

received during that fiscal year (four 

digit number is keyed to Complaint Log 

for that fiscal year). 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Schedule 1.25.a and d(2). 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator for Equal 

Employment Opportunity and Civil 

Rights Compliance (EEO/CRC). See

Appendix A. 

NOTIFICATION PROCEDURE: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

SBA recipient of Federal financial 

assistance reviewed by EEO/CRC 

personnel and complainants. 

SBA 7 

SYSTEM NAME: 

Combined Federal Campaign—SBA 7. 

SYSTEM LOCATION: 

Headquarters (HQ) Office and Field 

Offices. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Information pertaining to SBA 

employees involved with the campaign. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the public, the names and 

addresses of employees connected with 

the drive are released. 

b. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name and/or Social Security 

Number. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Record Schedule 2.15. 

SYSTEM MANAGER(S) AND ADDRESS: 

HQ and Field Office Supervisors. See

Appendix A. 

NOTIFICATION PROCEDURE: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Managers or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

58606 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Subject employee. 

SBA 8 

SYSTEM NAME: 

Correspondence and Inquiries—SBA 

8. 

SYSTEM LOCATION: 

Headquarters (HQ) and Field Offices. 

See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Individuals who have corresponded 

with the Agency. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Correspondence. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To oversee and maintain 

correspondence to the Agency. 

b. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name of correspondent. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 00:01. 

SYSTEM MANAGER(S) AND ADDRESS: 

PA Officer for HQ records and Field 

Managers for field records. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Subject individual, Agency personnel, 

case files and Congressional 

correspondence. 

SBA 9 

SYSTEM NAME: 

Cost Allocation Data System—9. 

SYSTEM LOCATION: 

Office of the Chief Financial Officer 

(CFO), Headquarters. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

All SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Individual information on all SBA 

employees, i.e., name, social security 

number, office code, pay dates, survey 

results on the percentage of time spent 

on administration of various SBA 

programs and activities. Also, 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 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58607

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof;

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

The electronic form is maintained in 

a database which is behind the Agency’s 

firewall. 

RETRIEVABILITY: 

Employee’s Social Security Number 

and first and last name retrieve survey 

result. 

SAFEGUARDS: 

Access and use of the CADS are 

accomplished via the use of restricted 

password. Access and use are limited to 

Project Leader and Group members and 

only those other Agency employees 

whose official duties require such 

access. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Retention Schedule 8.1, 8.5, 

8.6, 8.7 and 8.8. 

SYSTEM MANAGER(S) AND ADDRESS: 

Chief Financial Officer, HQ. See

Appendix A. 

NOTIFICATION PROCEDURE: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

SBA employees. 

SBA 10 

SYSTEM NAME: 

Employee Identification Card Files—

SBA 10. 

SYSTEM LOCATION: 

Office of Human Capital Management 

(Headquarters), Denver Human Capital 

Management Operations Division and 

Disaster Area Offices (DAO). See

Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Employee name and their 

identification card numbers. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

c. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

d. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name or identification card 

number. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

58608 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Retention Schedule 1.6. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator/Human 

Capital Management (HQ) and DAO 

Directors. See Appendix A.

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Subject employee, individuals and 

agency personnel records. 

SBA 11 

SYSTEM NAME: 

Entrepreneurial Development—

Management Information System—SBA 

11. 

SYSTEM LOCATION: 

Headquarters. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals using SBA’s business 

counseling and assistance services. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Individual and business information 

on SBA clients. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Public Law 85–536, 15 U.S.C. 631 

(Small Business Act), sec. 7(j)(1), 

(Business Counseling), 15 U.S.C. 648 

sec. 21 (Small Business Development 

Centers), 15 U.S.C. 656 sec. 29 

(Women’s Business Centers), Public 

Law 106–50 (Veterans’

Entrepreneurship and Small Business 

Development Act of 1999), 44 U.S.C. 

3101 (Records Management by Federal 

Agencies) and Public Law 103–62 

(Government Performance and Results 

Act). 

ROUTINE USES OF RECORDS MAINTAINED BY THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Agency service provider 

(resource partner) who initially 

collected the individual’s information. 

b. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To the Federal, state, local or 

foreign agency or organization which 

investigates, prosecutes, or enforces 

violations, statutes, rules, regulations, or 

orders issued when an agency identifies 

a violation or potential violation of law, 

arising by general or program statute, or 

by regulation, rule or order. 

d. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

e. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

f. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Electronic form in secured database 

on a dedicated computer. 

RETRIEVAL: 

By SBA Customer Number and 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) 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58609

who have requested counseling 

regarding employment discrimination. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Case files may include employee and 

interview statements. The Equal 

Employment Opportunity (EEO) 

Counselor’s Report becomes part of the 

EEO Complaint case. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

29 CFR part 1611.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To report counseling activity to the 

Office of Equal Employment 

Opportunity and Civil Rights 

Compliance (EEO/CRC). 

b. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By employee name. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification code. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Schedule 1.25.a. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator for EEO&CRC 

and Field Office Systems Managers. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Employee requesting counseling, 

other employees, EEO Counselor, 

personnel and employment records. 

SBA 13 

SYSTEM NAME: 

Equal Employment Opportunity 

Complaint Cases—SBA 13. 

SYSTEM LOCATION: 

Headquarters (HQ). See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Current/former SBA employees and/

or members of a class complaint who 

have requested counseling regarding 

employment discrimination. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Complaint files, Equal Employment 

Opportunity (EEO) Counselor’s Report, 

information from investigations, notes, 

hearing report, Hearing Examiner’s 

recommendations and Agency action. 

Closed cases are included. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

29 CFR part 1611. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To report to the Equal Employment 

Opportunity Commission (EEOC).

b. To the EEOC when there is a 

hearing, these records will be used in 

the case. 

c. To the EEOC when a complaint is 

appealed, these records will be used by 

the Office of Equal Employment 

Opportunity and Civil Rights 

Compliance (EEO/CRC) in their decision 

making. 

d. To the Office of General Counsel 

and the Department of Justice (DOJ) 

when a complaint results in a suit in a 

Federal court, these records will be 

referred and used to prepare and present 

the case in court. 

e. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

f. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

g. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

58610 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

h. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name of complainant. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Schedule 1.25.a. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator for EEO/CRC 

and Field Office Systems Managers and 

the Office of the Inspector General 

(OIG). See Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. See

Appendix A. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORY: 

Complainant, witnesses, hearing 

transcript, personnel and employment 

records, examiner’s recommendations 

and agency investigation. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

(1) Pursuant to 5 U.S.C. 552a(j)(2), 

records in this system of records which 

belong to the OIG are exempt from the 

application of all provisions of section 

552a except sections (b), (c)(1) and (2), 

(e)(4)(A) through (F),(e)(6), (7), (9), (10), 

(11), and (i), to the extent that it consists 

of (A) information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the Office of the Inspector 

General’s criminal law enforcement 

function. 

(2) Pursuant to 5 U.S.C. 552a(k)(2)and 

(k)(5), except as otherwise provided 

therein, all OIG’s investigatory material 

compiled for law enforcement purposes 

for the purpose of determining 

suitability, eligibility, or qualifications 

for Federal civilian employment, 

Federal contracts, or access to classified 

information contained in this system of 

records is exempt from sections 3(c)(3), 

(d), (e)(1), (e)(4)(G) through (I), and (f) of 

the PA, 5 U.S.C. 552a (c)(3), (d), (e)(1), 

(e)(4)(G) through (I) and (f). This 

exemption is necessary in order to 

protect the confidentiality of sources of 

information and to maintain access to 

sources necessary in making 

determinations of suitability for 

employment. 

SBA 14 

SYSTEM NAME: 

Freedom of Information and Privacy 

Acts Records—SBA 14. 

SYSTEM LOCATION: 

Headquarters (HQ) and Field Offices. 

See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Persons who have submitted requests 

or appeals under either of the Acts. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Files created for Freedom of 

Information/Privacy Acts (FOI/PA) 

appeals and agency-wide database to 

track FOI/PA requests and appeals. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

44 U.S.C. 3101, 15 U.S.C. 634(b)(6), 5 

U.S.C. 552 and 5 U.S.C. 552a. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To review individual cases, keep 

logs and records, comply with statutory 

time limitations and prepare mandated 

reports.

b. To the Federal, State, local or 

foreign agency or professional 

organization, including SBA offices, 

which investigates prosecutes or 

enforces violations, statutes, rules, 

regulations or orders issued when the 

Agency identifies a violation or 

potential violation of law whether 

arising by general or program statute, or 

by regulation, rule or order. 

c. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To agency personnel responsible 

for bringing Program Civil Remedies Act 

litigation to the tribunal hearing 

litigation or any appeals and to counsel 

for the defendant party in any such 

litigation. 

e. To a grand jury agent pursuant to 

a Federal or State grand jury subpoena 

or to a prosecution request that records 

be released for introduction to a grand 

jury. 

f. To a Federal agency which has the 

authority to subpoena other Federal 

agencies records and has issued a valid 

subpoena. 

g. To the public pursuant to the 

provisions of the FOIA, 5 U.S.C. 552. 

h. To the Department of Justice (DOJ) 

in order to obtain that department’s 

advice regarding an agency’s FOIA 

disclosure obligations. 

i. To the Office of Management and 

Budget to obtain that office’s advice 

regarding an agency’s PA obligations. 

j. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58611

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

k. To the DOJ when any of the 

following is a party to litigation or has 

an interest in such litigation, and the 

use of such records by the DOJ is 

deemed by the agency to be relevant and 

necessary to the litigation, provided, 

however, that in each case, the agency 

determines the disclosure of the records 

to the DOJ is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

l. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Locked file cabinets and electronic 

files. 

RETRIEVAL: 

By name or database number. 

SAFEGUARDS: 

Access and use limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

Retention is in accordance with 

National Archives and Records 

Administration’s General Records 

Schedule 14. 

SYSTEM MANAGER(S) AND ADDRESS: 

PA Officer for HQ records and Field 

Managers for field records. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry in person or in writing to the 

Systems Manager. 

ACCESS PROCEDURES: 

The Systems Manager or PA Officer 

will determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Correspondence submitted directly to 

and replies from the SBA. 

SBA 15 

SYSTEM NAME: 

Grievances and Appeals—SBA 15. 

SYSTEM LOCATION: 

Servicing Personnel Office and the 

Office of Hearings and Appeals (OHA) 

where grievances or appeals have been 

filed. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

SBA employees who have filed 

grievances or disputes under applicable 

procedures or Personnel Practices 

Appeals Procedures. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Correspondence, supporting 

documents, hearing transcripts, 

investigation appeal information and 

decisions. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

Collective Bargaining Agreements with 

Unions which represent SBA 

employees, SOP 37 71–1 and 13 CFR 

part 134. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Union pursuant to the 

grievance procedure. 

b. To the Office of Personnel 

Management (OPM) or used in reporting 

to the OPM on labor-management 

relations activity. 

c. To a Hearing Examiner from the 

record of an individual in response to 

another Agency’s inquiry, pursuant to 

established procedures. 

d. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

e. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a.

f. To the Office of the Special Counsel 

for any purpose consistent with their 

mission. 

g. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

h. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

58612 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

Name of filing employee. 

SAFEGUARDS: 

Access and use limited to persons 

whose official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

Retention is in accordance with 

Standard Operating Procedure 00 41 2 

30:02. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator for OHA, 

Chief Human Capital Officer and Field 

Managers. See Appendix A. 

NOTIFICATION PROCEDURE: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Grievants, appellants, employees, 

Union, personnel and employment 

records. 

SBA 16 

SYSTEM NAME: 

Investigative Files—SBA 16. 

SYSTEM LOCATION: 

Office of the Inspector General (OIG), 

Investigations Division and Federal 

Records Center (FRC). See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Persons against whom are made 

allegations that are within the 

jurisdiction of the OIG to investigate; 

persons identified as making such 

allegations; or persons cross-referenced 

in investigative file or subsequent 

investigations. Applicants to, and 

participants in SBA programs, their 

principals, representatives and resource 

partners; contractors and parties to 

cooperative agreements and their 

principals, representatives, and other 

interested parties; governmental 

entities; SBA employees, members of 

the Advisory Councils, Service Corps of 

Retired Executive volunteers in 

connection with allegations of 

wrongdoing that are within the 

jurisdiction of the OIG to investigate. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Material provide to, gathered or 

created by OIG in investigating, or 

otherwise dealing with allegations that 

are within the jurisdiction of the OIG to 

investigate, documentation of 

allegations, consultations, decisions, 

interviews, records reviews, reports of 

investigations, and various 

correspondence. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. App. 3 (The Inspector 

General Act of 1978), 15 U.S.C. Chapters 

14A and 14B and 44 U.S.C. 3101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To a grand jury, court, magistrate or 

administrative tribunal, including 

disclosures to opposing counsel in the 

course of such proceedings or in 

settlement negotiations. 

c. To other Federal agencies 

conducting background checks; only to 

the extent the information is relevant to 

the requesting agencies’ function. 

d. To any Federal, State, local, foreign 

or international agency, in connection 

with such entity’s assignment, hiring 

and retention of an individual, issuance 

of a security clearance, reporting of an 

investigation of an individual, letting of 

a contract or issuance of a license, grant 

or other benefit, to the extent that the 

information is relevant and necessary to 

such agency’s decision on the matter. 

e. To a domestic, foreign, or 

international government agency 

maintaining civil, criminal, relevant 

enforcement or other pertinent 

information, for the assignment hiring 

or retention of an individual, the 

issuance of a security clearance, the 

letting of a contract, or the issuance of 

a license, grant, or other benefit. 

f. To Federal, State or local bar 

associations and other professional 

regulatory or disciplinary bodies for use 

in disciplinary proceedings and 

inquiries. 

g. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s.

h. To the General Accounting Office 

(GAO) for periodic reviews of SBA. 

i. To the Office of Government Ethics 

for any purpose consistent with their 

mission. 

j. To the GAO, and to the General 

Services Administration’s Board of 

Contract Appeals in bid protest cases 

involving an agency procurement. 

k. To any Federal agency which has 

the authority to subpoena otherFederal 

agencies records and has issued a valid 

subpoena. 

l. To the Department of Treasury and 

the Department of Justice (DOJ) when an 

agency is seeking an ex parte court order 

to obtain taxpayer information from the 

Internal Revenue Service. 

m. To debt collection contractors for 

collecting delinquent debtsas authorized 

by the Debt Collection Act of 1982, 31 

U.S.C. 3718. 

n. To a ‘‘consumer reporting agency’’

as that term is defined in the Fair Credit 

Reporting Act (15 U.S.C. 1681 a (f) and 

the Federal Claims Collection Act of 

1966 (31 U.S.C. 701(a)(3)), to obtain 

information during an investigation or 

audit. 

o. To agency personnel responsible 

for Program Civil Remedies Act 

litigation, the tribunal and defendant’s 

counsel. 

p. To a grand jury agent pursuant 

either to a Federal or State grand jury 

subpoena or to a prosecution request 

that records be introduced to a grand 

jury. 

q. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

r. To the DOJ when any of the 

following is a party to litigation or has 

an interest in such litigation, and the 

use of such records by the DOJ is 

deemed by the agency to be relevant and 

necessary to the litigation, provided, 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58613

however, that in each case, the agency 

determines the disclosure of the records 

to the DOJ is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

s. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that 

iscompatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

File folders in filing cabinets and 

safes, and electronic files. 

RETRIEVAL: 

Indexed by name of the investigated 

individual and cross-referenced to the 

number(s) of the investigative file(s) 

containing related materials. 

SAFEGUARDS: 

All filing cabinets are locked. Access 

to and use limited to those persons with 

official need to know; computers are 

protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 Item Nos. 

90:10 and 90:12. Cut off at the end of the 

calendar year. Transfer to FRC 6 years 

after cutoff. Destroy 15 years after cutoff. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Investigations or designee. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry in writing or in person to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Subject individual, Agency personnel, 

informants, the Federal Bureau of 

Investigation and other investigative 

Government agencies. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

(1) Pursuant to 5 U.S.C. 552a(j)(2), 

records in this system of records are 

exempt from the application of all 

provisions of section 552a except 

sections (b), (c)(1) and (2), (e)(4)(A) 

through (F), (e)(6), (7), (9), (10), (11), and 

(i), to the extent that it consists of (A) 

information compiled for the purpose of 

identifying individual criminal 

offenders and alleged offendersand 

consisting only of identifying data and 

notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the Office of the Inspector 

General’s criminal law enforcement 

function. 

(2) Pursuant to 5 U.S.C. 552(a)(k)(2) 

and (k)(5), all investigatory material in 

the record compiled for law 

enforcement purposes or for the purpose 

of determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classified information is 

exempt from the notification, access, 

and contest requirements (under 5 

U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), 

(H), and (I), and (f) of the Agency 

regulations. This exemption is necessary 

in order to fulfillcommitments made to 

protect the confidentiality of sources 

and to protect subjects of investigations 

from frustrating the investigatory 

process. 

SBA 17

SYSTEM NAME: 

Investigations Division Management 

Information System—SBA 17. 

SYSTEM LOCATION: 

Office of the Inspector General (OIG), 

Investigations Division. See Appendix 

A.

CATEGORIES OF INDIVIDUALS COVERED IN THE

SYSTEM INCLUDES: 

Persons against whom are made 

allegations that are within the OIG’s 

jurisdiction to investigate, persons 

identified as making allegations or 

persons who are cross-referenced to an 

investigative file, principals, 

representatives of applicants, 

participants, contractors, grantees, 

participants in cooperative agreements, 

resource partners and their principals 

and representatives and other interested 

parties participating in SBA programs, 

and members of Advisory Councils and 

SCORE/ACE volunteers. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Material gathered or created during 

preparation for, conduct of and 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 

58614 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

settlement negotiations when presenting 

evidence. 

c. To the General Accounting Office 

for periodic reviews of the SBA. 

d. To the Office of Government Ethics 

for any purpose consistent with their 

mission. 

e. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

f. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

g. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Self-contained system and computer 

disks. 

RETRIEVAL: 

Subjects’ name, company name, case 

number, agent’s name, Social Security 

Number or agent’s identification 

number. 

SAFEGUARDS: 

Access to and use of these records is 

limited to those persons whose official 

duties require such access; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 Items 90:10 

and 90:12. Retained on computer disks 

indefinitely. Hard copies are made 

monthly, retained for five years before 

being destroyed. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Investigations or designee. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Subject individual, Agency personnel, 

informants, the Federal Bureau of 

Investigation and other investigative 

Government agencies. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

Pursuant to 5 U.S.C. 552(a)(k)(2) and 

(k)(5), all investigatory material in the 

record compiled for law enforcement 

purposes or for the purpose of 

determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classified requirements (under 

5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), 

(H), and (I), and (f) of the Agency 

regulations. This exemption is necessary 

in order to fulfill commitments made to 

protect the confidentiality of sources 

and to protect subjects of investigations 

from frustrating the investigatory 

process. 

SBA 18 

SYSTEM NAME: 

Legal Work Files on Personnel 

Cases—SBA 18. 

SYSTEM LOCATION: 

Headquarters (HQ), Office of the 

Inspector General (OIG) and Field 

Offices. See Appendix A.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Opinions, advice, transcripts, witness 

statements, etc. maintained by the 

Office of General Counsel (OGC) on 

personnel cases. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 634(b)(6). 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

c. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58615

litigation is likely to affect the agency or 

any of its components. 

d. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By employee name. 

SAFEGUARDS: 

Access to and use limited to those 

persons with official need to know to 

know; computers are protected by 

password and user identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 70:01, 

70:07 and 70:11. 

SYSTEM MANAGER(S) AND ADDRESS: 

OGC and OIG. See Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or the PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting it and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Office of Human Capital Management 

and third party witnesses. 

SBA 19 

SYSTEM NAME: 

Litigation and Claims Files—SBA 19. 

SYSTEM LOCATION: 

Headquarters (HQ), Field Offices, 

Disaster Area Offices (DAO) and 

Disaster Home Loan Servicing Centers 

(DHLSC). See Appendix A for 

addresses. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

All Disaster Home Loan recipients 

and individuals involved in lawsuits or 

claims pertaining to SBA. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Records relating to recipients 

classified as ‘‘in litigation’’ and all 

individuals involved in claims by or 

against the Agency. Wherever 

applicable: affidavits, briefs, pleadings, 

depositions and interrogatories, loan 

status summaries with litigation 

progress, opinions, copies of 

Department of Justice (DOJ) papers 

concerning loan case litigation, 

summary foreclosures, chattel lien 

searches, requests and responses under 

the Freedom of Information Act, loan 

modifications, recipients’ attorneys’

names, amount of liability, narrative 

report of actual and contingent 

liabilities and related correspondence. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or organization that 

investigates, prosecutes or enforces 

violations, statutes, rules, regulations or 

orders issued when the agency 

identifies a violation or potential 

violation of law arising by general or 

program statute, or by regulation, rule or 

order. 

b. To the Federal, State or local 

private credit agency maintaining civil, 

criminal or other relevant information to 

determine an applicant’s suitability for 

a loan; this may be requested 

individually or part of a computer 

match program. 

c. To a request from a State or Federal 

agency in connection with the issuance 

of a grant, loan or other benefit by that 

agency which is relevant to their 

decision on the matter; this may be 

requested individually or part of a 

computer match. SBA will provide 

information to the Department of 

Housing and Urban Development (HUD) 

to be maintained in a central repository 

where agencies can request information 

on a case-by-case basis or as part of a 

computer match. 

d. To another Federal agency, 

including Defense Manpower Data 

Center, U.S. Postal Service and HUD, to 

conduct computer matching programs to 

locate delinquent SBA borrowers who 

are receiving Federal salaries or benefit 

payments.

e. To a consumer reporting agency. 

f. To a court, magistrate, grand jury or 

administrative tribunal, opposing 

counsel during such proceedings or in 

settlement negotiations when presenting 

evidence. 

g. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

h. To a grand jury agent pursuant 

either to a federal or state grand jury 

subpoena or to a prosecution request 

that such record be introduced to a grant 

jury. 

i. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

j. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or here individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

k. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

58616 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosures of 

the records to a court or other 

adjudicative body is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By recipient and claimant name. 

SAFEGUARDS: 

Access to and use limited to those 

persons with official need to know to 

know; computers are protected by 

password and user identification codes. 

RETENTION AND DISPOSAL: 

In accordance with SOP 00 41 2 70:09 

and 70:13. 

SYSTEM MANAGER(S) AND ADDRESS: 

DAO and DHLSC Directors and Office 

of General Counsel. See Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting it and the 

proposed amendment sought. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 Item Nos. 

70:07, 70:08, 70:09, 70:10, 70:11, 70:13, 

70:14 and 70:15, OGC NI–309–88–1, 

OGC NI 309–99–1, OGC NI–309–88–1. 

In accordance with National Archives 

and Records Administration General 

Records Schedule 14.11. 

SYSTEM MANAGER(S) AND ADDRESS: 

OGC and Field Office Systems 

Manager. See Appendix A. 

SOURCE CATEGORIES: 

Subject employee, Agency personnel, 

the public, the DOJ, bankruptcy notices, 

court records, title companies, and Loan 

Case Files. 

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

Pursuant to 5 U.S.C. 552a(k)(2) and 

(k)(5), all investigatory material in the 

record compiled for law enforcement 

purposes or for the purpose of 

determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classified information is 

exempt from the notification, access, 

and contest requirements (under 5 

U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 

(H), and (I), and (f) of the Agency 

regulations. This exemption is necessary 

in order for the Agency legal staff to 

properly perform its functions. 

SBA 20 

SYSTEM NAME: 

Disaster Loan Case File—SBA 20. 

SYSTEM LOCATION: 

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. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Applicants and recipients of disaster 

home loans. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Information relating to 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. 

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 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58617

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 

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 applicant/recipient name, crossreferenced loan number or borrower’s 

Social Security Number.

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, 

Processing Centers, and Servicing 

Centers. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals (i.e., borrowers, 

guarantors, principals of businesses 

named in loan records), throughout the 

life of SBA’s interest in a loan, under all 

of the Agency’s business (non-disaster) 

loan programs. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Personal and commercial information 

(i.e., credit history, financial 

information, identifying number or 

other personal identifier ) on 

individuals named in business loan 

files, throughout the life of SBA’s 

interest in the loan, under all of the 

Agency’s business (non-disaster) loan 

programs. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Public Law 85–536, 15 U.S.C. 631 et 

seq. (Small Business Act, all provisions 

relating to loan programs); 44 U.S.C. 

3101 (Records Management by Federal 

Agencies); and Public Law 103–62 

(Government Performance and Results 

Act). 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED, OR REFERRED: 

a. To the SBA Resource Partner, its 

successors or assigns, (i.e., participating 

lender, certified development company, 

micro lender) who initially collected the 

individual’s information for the purpose 

of making and servicing loans. 

b. To a Congressional office from an 

individual’s record when the office is 

inquiring on the individual’s behalf. 

The Member’s access rights are no 

greater than the individual’s. 

c. To the Federal, state, local or 

foreign agency or organization which 

investigates, prosecutes, or enforces 

violations, statues, rules, regulations, or 

orders issued when an agency identifies 

a violation or potential violation of law, 

arising by general or program statute, or 

by regulation, rule, or order. 

d. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

e. To qualified investors who have 

signed a confidentiality agreement 

related to review of files for the purpose 

of evaluating, negotiating and 

58618 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

implementing the purchase of loans 

from the Agency as a part of the 

Agency’s Asset Sales program. 

f. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

g. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

h. To request information from a 

Federal, State, local agency or a private 

credit agency maintaining civil, 

criminal or other information relevant to 

determining an applicant’s suitability 

for a business loan. This applies to 

individuals involved in business loans. 

i. To a recipient who has provided the 

agency with advance adequate written 

assurance that the record will be used 

solely as a statistical research or 

reporting record, and the record is to be 

transferred in a form that is not 

individually identifiable. 

j. To 7(a) and 504 lenders and/or 

participating contractors for purposes of 

the Loan and Lender Monitoring System 

(L/LMS). 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Electronic Records are in a secured 

server and paper records are in files. 

Loan files are in a secured area in either 

locked files or locked file rooms. 

RETRIEVABILITY: 

Electronic Records: By individual 

name, personal identifier, SBA 

Identifier, Participating Lender 

Identifier, Participating Lender Name, 

business name, and business identifier. 

PAPER RECORDS: BY INDIVIDUAL NAME, 

PERSONAL IDENTIFIER AND SBA IDENTIFIER.

SAFEGUARDS: 

Electronic Records: Access and use is 

limited to Agency officials acting in 

their official capacities, with a need-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 

record; retention period varies 

according to the type of record. 

SYSTEM MANAGERS AND ADDRESSES: 

Associate Administrator for Capital 

Access, Associate Administrator for 

Lender Oversight, Associate 

Administrator for Financial Assistance, 

Regional Administrators, District 

Directors, Branch Managers, Loan 

Service Center Director and Loan 

Processing Centers Directors. See

Appendix A. 

NOTIFICATION PROCEDURE: 

An individual may submit a written 

record inquiry to the appropriate 

Systems Manager or PA Officer. 

RECORDS ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING RECORD PROCEDURES: 

Notify the official listed above and 

state reason(s) for contesting and the 

proposed amendment sought. 

RECORD SOURCE CATEGORIES: 

Subject individuals and businesses, 

financial institutions, credit reporting 

agencies, law enforcement agencies and 

SBA resource partners. 

SBA 22 

SYSTEM NAME: 

Outside Employment Files—SBA 22. 

SYSTEM LOCATION: 

Headquarters (HQ) and Field Offices. 

See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

SBA employees who have requested 

permission for outside employment. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Correspondence concerning requests 

for outside employment. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58619

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

c. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

d. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By employee name. 

SAFEGUARDS: 

Access and use limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 Item 2 

30.01. 

SYSTEM MANAGER(S) AND ADDRESS: 

HQ and Field Managers. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting it and the 

proposed amendment sought.

SOURCE CATEGORIES: 

Requesting employee and other 

Agency personnel. 

SBA 23 

SYSTEM NAME: 

Payroll Files—SBA 23. 

SYSTEM LOCATION: 

Office of Human Capital Management, 

Headquarters (HQ). See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Active and inactive SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Employee name, Social Security 

Number (SSN), date of birth, grade, step, 

and salary; organization, retirement and 

FICA codes and date as applicable; 

Federal, State and local tax deductions; 

savings bond and charity deductions; 

co-owner and/or beneficiary of bonds, 

insurance deduction and plan or code; 

cash award data; union dues 

deductions; type and amount of 

allotments; financial institution code 

and account number; status and data on 

all types of leave; time and attendance 

records, including breakdown of hours 

worked; mailing address; marital status 

and number of dependents; notification 

of Personnel Actions; unemployment 

records; register of separations; annual 

leave restoration; over-payment 

indebtedness; correspondence from 

employees concerning payroll. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Title 6 General Accounting Office 

(GAO) Policy and Procedures Manual, 

31 U.S.C. 285, sections 112(a) and 113 

of the Budget and Accounting 

Procedures Act of 1950 and 5 U.S.C. 

Chapters 55 through 63. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To transmit data to U.S. 

Department of Treasury to effect 

issuance of paychecks to employees and 

distribution of pay according to 

employee directions for savings bonds, 

allotments, financial institutions, and 

other authorized purposes. 

c. To the GAO for audit purposes. 

d. To Internal Revenue Service and 

appropriate State and local authorities 

when reporting tax withholding; FICA 

deductions to the Social Security 

Administration; dues deductions to 

labor unions; withholdings for health 

insurance to insurance carriers and the 

Office of Personnel Management; 

charity contribution deductions to 

agents of charitable institutions; annual 

W–2 statements to taxing authorities 

and the individual. 

e. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

f. To the Office of Child Support 

Enforcement, Administration for 

Children and Families, Department of 

Health and Human Services to locate 

individuals in order to establish 

paternity and modify orders of child 

support, identify sources of income, and 

other child support enforcement actions 

as required by the Personal 

Responsibility and Work Opportunity 

Reconciliation Act (Welfare Reform law, 

Pub. L. 104–193), SBA will provide the 

names, SSN, home addresses, dates of 

birth and hire, quarterly earnings, 

employer identifying information, and 

State of hire of employees. 

g. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

58620 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

h. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

i. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By employee name and/or SSN. 

SAFEGUARDS: 

Physical, technical and administrative 

security is maintained and admission to 

record storage areas limited to 

authorized personnel. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Record Schedule 2. 

SYSTEM MANAGER(S) AND ADDRESS: 

Chief Human Capital Officer, 

Headquarters. See Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. See

Appendix A. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Subject employee, individuals, 

supervisors, timekeepers, official 

personnel records, and IRS. 

SBA 24 

SYSTEM NAME: 

Personnel Security Files—SBA 24. 

SYSTEM LOCATION: 

Office of Inspector General (OIG), 

Investigations Division, Office of 

Security Operations (OSO). See

Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Active and inactive SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Active and inactive personnel 

security files, employee or former 

employee’s name, background 

information, personnel actions, Office of 

Personnel Management (OPM) and/or 

authorized contracting firm background 

investigations. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

Executive Order 10450. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To other Federal Agencies, upon 

request, that are conducting background 

checks. 

c. To a court, magistrate, grand jury or 

administrative tribunal, opposing 

counsel during such proceedings or in 

settlement negotiations when presenting 

evidence. 

d. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

e. To the Office of Personnel 

Management in accordance with that 

agency’s authority to evaluate Federal 

personnel management. 

f. To the Merit Systems Protection 

Board in connection with its 

consideration of appeals of personnel 

actions. 

g. To physicians conducting fitness 

for duty examinations. 

h. To any Federal, State, local, foreign 

or international agency, in connection 

with their assignment, hiring or 

retention of an individual, issuance of a 

security clearance, reporting of an 

investigation of an individual, letting of 

a contract or issuance of a license, grant 

or other benefit, to the extent the 

information is relevant to their decision 

on the matter. 

i. To a grand jury agent pursuant 

either to a Federal or State grand jury 

subpoena or to a prosecution request 

that record be released for introduction 

to a grand jury. 

j. To the Office of Government Ethics 

for any purpose consistent with their 

mission. 

k. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

l. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58621

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

m. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components.

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Rotary diebold power files and 

electronic data systems. OPM National 

Agency checks that are not immediately 

referred to OPM are maintained in 

locked safes. 

RETRIEVAL: 

By employee name. 

SAFEGUARDS: 

All file cabinets are locked. Access 

and use limited to persons with official 

need to know; computers are protected 

by password and user identification 

codes. 

RETENTION AND DISPOSAL: 

Upon separation of an employee from 

SBA, OIG/OSO destroys all 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. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Investigations or designee. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Inspector General or designee. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

SBA employees, Office of Human 

Capital Management, witnesses and 

OPM. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

Pursuant to 5 U.S.C. 552a(k)(5), all 

investigatory material in the record 

compiled for law enforcement purposes 

or for the purpose of determining 

suitability, eligibility, or qualifications 

for Federal civilian employment, 

Federal contracts, or access to classified 

information is exempt from the 

notification, access and contest 

requirements (under 5 U.S.C. 552a(c)(3), 

(d), (e)(1), (e)(4)(G), (H), and (I) and (f) 

of the Agency regulations. This 

exemption is necessary in order to fulfill 

commitments made to protect the 

confidentiality of sources and to 

maintain access to sources necessary in 

making determinations of suitability for 

employment. 

SBA 25 

SYSTEM NAME: 

Portfolio Reviews—SBA 25. 

SYSTEM LOCATION: 

Headquarters (HQ), Disaster Area 

Offices (DAO) and Disaster Home Loan 

Service Centers (DHLSC). See Appendix 

A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Recipients of SBA Disaster Home 

Loans. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Reports compiled by the Office of 

Portfolio Review during review of field 

office loan processing. Disaster Home 

Loans may be included. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the General Accounting Office 

in the course their review of the Agency. 

b. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

58622 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files.

RETRIEVAL: 

By borrower’s name, loan number and 

Social Security Number. 

SAFEGUARDS: 

Access and use limited to persons 

with official need to know to know; 

personnel screening and computer 

passwords used to prevent unauthorized 

disclosure. 

RETENTION AND DISPOSAL: 

In accordance with SOP 00 41 2 Item 

Nos. 95:04 and 95:06. 

SYSTEM MANAGER(S) AND ADDRESS: 

DAO and DHLSC Managers. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting it and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Office of Portfolio Review, Loan Case 

Files, SBA personnel and field visits to 

borrowers. 

SBA 26 

SYSTEM NAME: 

Power of Attorney Files—SBA 26. 

SYSTEM LOCATION: 

Field Offices. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Insurance agents who have the 

authority to execute a surety bond. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Records that identify individuals 

authorized to execute bonds for surety 

companies. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

3101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

c. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

d. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity;

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By agent and broker name. 

SAFEGUARDS: 

Access and use limited to persons 

with an official need to know; personnel 

screening and computer passwords used 

to prevent unauthorized disclosure. 

RETENTION AND DISPOSAL: 

In accordance with SOP 00 41 2 Item 

No. 50:21. 

SYSTEM MANAGER(S) AND ADDRESSES: 

Field Office Systems Managers. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a records 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting it and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Authorizing surety company. 

SBA 27 

SYSTEM NAME: 

Security and Investigations Files—

SBA 27. 

SYSTEM LOCATION: 

Office of the Inspector General (OIG), 

Investigations Division, Headquarters 

duty stations in the field and Federal 

Record Center (FRC). See Appendix for 

SBA addresses. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Active SBA employees that are 

subjects of investigations involving 

alleged administrative violations or 

irregularities that may warrant 

administrative disciplinary action. 

Inactive SBA employees that are subject 

of Workers’ Compensation 

Investigations. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Material gathered or created during 

preparation for, conduct of and followVerDate jul<14>2003 20:28 Sep 29, 2004 Jkt 203001 PO 00000 Frm 00026 Fmt 4701 Sfmt 4703 E:\FR\FM\30SEN2.SGM 30SEN2
Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58623

up on investigations conducted by OIG, 

the Federal Bureau of Investigation (FBI) 

and other Federal, State, local or foreign 

regulatory or law enforcement agencies 

as well as other material submitted to or 

gathered by OIG in furtherance of its 

investigative function. These records 

include FBI and other Federal, State, 

local and foreign regulatory or law 

enforcement investigative reports, 

personal history statements, background 

character checks, field investigations, 

arrest and conviction records, parole 

and probation data, recommendations 

and related correspondence. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. App. 3 (The Inspector 

General Act of 1978), 15 U.S.C. Chapters 

14A and 14B; 44 U.S.C. 3101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To a court, magistrate, grand jury or 

administrative tribunal, opposing 

counsel during such proceedings or in 

settlement negotiations when presenting 

evidence. 

c. To any private or governmental 

source or person to secure information 

relevant to an investigation or audit. 

d. To other Federal conducting 

background checks, to the extent the 

information is relevant to their function. 

e. To any Federal, State, local, foreign, 

international, private agency or 

organization for the hiring or retention 

of an individual, issuance of a security 

clearance, reporting of an investigation 

of an individual, letting of a contract or 

issuance of a license, grant or other 

benefit, to the extent the information is 

relevant to their decision on the matter. 

f. To Federal, State or local bar 

associations and other professional 

regulatory or disciplinary bodies for use 

in disciplinary proceedings and 

inquiries. 

g. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

h. To the General Accounting Office 

(GAO) for periodic reviews of this SBA. 

i. To the Office of Government Ethics 

for any purpose consistent with their 

mission. 

j. To the GAO and to the General 

Service Administration’s Board of 

Contract Appeals in bid protest cases 

involving an agency procurement. 

k. To any Federal agency which has 

the authority to subpoena other Federal 

agencies records and has issued a valid 

subpoena. 

l. To the Department of the Treasury 

and the Department of Justice (DOJ) 

when an agency is seeking an ex parte 

court order to obtain taxpayer 

information from the Internal Revenue 

Service. 

m. To debt collection contractors 

collecting delinquent authorized by the 

Debt Collection Act of 1982, 31 U.S.C. 

3718. 

n. To a ‘‘consumer reporting agency’’

as that term is defined in the Fair Credit 

Reporting Act (15 U.S.C. 1681 a(f)) and 

the Federal Claims Collection Act of 

1966 (31 U.S.C. 701(a)(3)), to obtain 

information during an investigation or 

audit. 

o. To agency personnel responsible 

for Program Civil Remedies Act 

litigation, the tribunal and defendant’s 

counsel. 

p. To a grand jury agent pursuant to 

a Federal or State grand jury subpoena 

or to a prosecution request that records 

be introduced to a grand jury. 

q. To the public under the Freedom of 

Information Act (FOIA), 5 U.S.C. 552. 

r. To the DOJ to obtain advice 

regarding FOIA disclosure obligations. 

s. To the Office of Management and 

Budget to obtain that advice regarding 

PA obligations. 

t. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

u. To the DOJ when any of the 

following is a party to litigation or has 

an interest in such litigation, and the 

use of such records by the DOJ is 

deemed by the agency to be relevant and 

necessary to the litigation, provided, 

however, that in each case, the agency 

determines the disclosure of the records 

to the DOJ is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity;

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

v. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS: 

STORAGE: 

Rotary diebold power files, file 

cabinets and electronic systems. 

RETRIEVAL: 

By name and referenced to the 

number of the IG file(s) containing 

related material. 

SAFEGUARDS: 

Records are stored in locked filing 

cabinets or in filing cabinets located in 

locked rooms. Access and use limited to 

persons with official need to know; 

computers are protected by password 

and user identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 Item No.s 

90:10 and 90:12. Cut off on separation 

of employee. OIG destroys records of a 

non-adverse nature. Records containing 

adverse information are retained by OIG 

and transferred to FRC five years after 

cutoff. Destroy 15 years after cutoff. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Investigations or designee. See

Appendix A. 

58624 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

NOTIFICATION PROCEDURE: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. See

Appendix A. 

ACCESS PROCEDURES: 

IG or PA Officer will determine 

procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting it and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Subject individual, Agency personnel, 

informants, the FBI and investigative 

Government agencies. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

(1) Pursuant to 5 U.S.C. 552a(j)(2), this 

system of records is exempt from the 

application of all provisions of section 

552a except sections (b), (c)(1) and (2), 

(e)(4)(A) through (F), (e)(6), (7), (9), (10), 

(11), and (i), to the extent that it consists 

of (A) information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

(2) Pursuant to 5 U.S.C. 552a(k)(2) and 

(k)(5), except as otherwise provided 

therein, all investigatory material 

compiled for law enforcement purposes 

or for the purpose of determining 

suitability, eligibility, or qualifications 

for Federal civilian employment, 

Federal contracts, or access to classified 

information contained in this system of 

records is exempt from sections 3(c)(3), 

(d), (e)(1), (e)(4)(G) through (I), and (f) of 

the PA. 5 U.S.C. 552a(c)(3), (d), (e)(1), 

(e)(4)(G) through (I) and (f). This 

exemption is necessary in order to 

protect the confidentiality of sources of 

information and to maintain access to 

sources necessary in making 

determinations of suitability for 

employment. 

SBA 28 

SYSTEM NAME: 

Small Business Person and Advocate 

Awards—SBA 28. 

SYSTEM LOCATION: 

Headquarters (HQ) and Field Offices. 

See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Candidates and winners of the Small 

Business Person of the Year Awards, 

Advocate Awards, Minority Small 

Business Person and Phoenix Award. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Information regarding the candidacy 

and selection of Small Business Person 

of the Year, Minority Small Business 

Person and Advocate of the Year in field 

offices, applications, biographical 

summaries, correspondence, 

recommendations and narratives. The 

record of Community Development 

Awards in HQ includes biographical 

and qualifying information as well as 

recommendations from field offices.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the news media for public 

disclosure of the name, address, and 

biography of award recipients. 

b. To communicate with State and 

local governments about the status of a 

particular candidate. 

c. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

e. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

f. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES, PRACTICES, RETRIEVAL, ACCESS, 

RETENTION AND DISPOSAL OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By individual name. 

SAFEGUARDS: 

Access and use limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Schedule 16.8. 

SYSTEM MANAGER(S) AND ADDRESS: 

Field Office Systems Managers. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the Systems Manager or PA Officer. 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58625

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting it and the 

proposed amendment sought. 

SOURCE CATEGORY: 

Subject individual, recommendations 

from individual sponsors, Advisory 

Council members, Agency personnel, 

research publications, directories and 

news media. 

SBA 29 

SYSTEM NAME: 

Standards of Conduct Files—SBA 29. 

SYSTEM LOCATION: 

Headquarters (HQ), Office of the 

Inspector General and Field Offices. See

Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Confidential employment and 

financial statements of employees Grade 

13 and above, Grade 12 Branch 

Managers and other designated 

individuals. Ad Hoc Committee 

decisions and memoranda concerning 

standards of conduct questions used as 

precedent for later decisions (HQ only). 

Correspondence concerning conflicts of 

interest. List of all SBA employees who 

have been indicted or convicted in 

matters involving SBA business. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

13 CFR 105 parts 101 and 401. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED OR REFERRED:

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To a court, magistrate, grand jury or 

administrative tribunal, opposing 

counsel during such proceedings or in 

settlement negotiations when presenting 

evidence. 

c. To the Office of Personnel 

Management when requested. 

d. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

e. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

f. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

g. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES, PRACTICES, RETRIEVAL, ACCESS, 

RETENTION AND DISPOSAL OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By employee name and/or Social 

Security Number. 

SAFEGUARDS: 

Access strictly limited to those 

employees with an official need to 

know; computers secured by passwords 

and user identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Schedule 1.1. 

SYSTEM MANAGER(S) AND ADDRESS: 

Systems Managers. See Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting it and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Confidential statement of employment 

and financial interests by the employee. 

Any adverse information could come 

from other employees or from a member 

of the general public with specific 

knowledge of the matter reported. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT: 

Pursuant to 5 U.S.C. 552a(k)(5), all 

investigatory material in the record 

compiled for the purpose of determining 

suitability, eligibility, or qualifications 

for Federal civilian employment, 

Federal contracts, or access to classified 

information is exempt from the 

notification, access, and contest 

requirements (under 5 U.S.C. 552a 

(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), 

and (f) of the Agency regulations. This 

exemption is necessary in order to fulfill 

communications made to protect the 

confidentiality of sources and maintain 

access to sources necessary in making 

determinations of suitability. 

SBA 30 

SYSTEM NAME: 

Servicing and Contracts System/

Minority Enterprise Development 

Headquarters Reporitory—SBA 30. 

58626 Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 

SYSTEM LOCATION: 

SBA Headquarters and all SBA 

district offices. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDE: 

Applicants and program participants 

in SBA’s 8(a) Business Development 

program (8(a).

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDE: 

8(a) Business Development program 

applications, business development 

working files, business plan files and 

contract files containing personal and 

financial information. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Public Law 100–656, Small Business 

Act 15 U.S.C. 636, section (j) (Technical 

and Management Assistance); Public 

Law 100–656, 15 U.S.C. 637, section 

8(a) (Business Development). 

PURPOSE: 

To collect confidential business and 

financial information used to determine 

if applicants and current 8(a) 

participants are in compliance with 

statutory and regulatory requirements 

for continued eligibility for program 

participation. This information 

facilitates the Agency in carrying out the 

functions of the Office of 8(a) Business 

Development. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED, OR REFERRED: 

a. To a Congressional office, when the 

office is inquiring on the individual’s 

behalf; the Member’s access rights are 

no greater than the individual’s. 

b. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

c. To the Federal, state, local or 

foreign agency or professional 

organization which investigates, 

prosecutes, or enforces violation or 

potential violation of law, arising by 

general or program statute, or by 

regulation, rule, or order. 

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES AND PRACTICES FOR STORAGE, 

RETRIEVAL, ACCESS, RETENTION AND DISPOSAL

OF RECORDS: 

STORAGE: 

Electronic database records reside on 

the SBA secured mainframe system. 

RETRIEVAL: 

Name of individual and business 

name. 

SAFEGUARDS: 

Access and use is limited to persons 

whose official duties designate such a 

need; personnel screening by password 

is used to prevent unauthorized 

disclosure. 

RETENTION AND DISPOSAL: 

In accordance with SACS/MEDHR 

NI–309–03–4. 

SYSTEM MANAGER(S) AND ADDRESS: 

PA Officer, Associate Administrator 

for 8(a) Business Development and the 

Field Office Systems Manager. See

Appendix A. 

NOTIFICATION PROCEDURES: 

An individual, who is inquiring 

whether the System of Records contain 

information about him or her, may 

submit a record inquiry either in person 

or in writing to the PA Officer, 

Associate Administrator for 8(a) 

Business Development or, Field Office 

Systems Manager. 

ACCESS PROCEDURES: 

PA Officer or Field Office Systems 

Manager will determine procedures. 

CONTESTING PROCEDURES: 

Individuals seeking to contest or 

amend information contained in this 

system of records should contact the 

system manager listed above, state the 

reason(s) for contesting the record and 

the proposed amendment sought. 

RECORD SOURCE CATEGORIES: 

Small business concerns who have 

applied to or are participants in the 8(a) 

Business Development program.

SBA 31 

SYSTEM NAME: 

Temporary Disaster Employees—SBA 

31. 

SYSTEM LOCATION: 

Office of Disaster Assistance (ODA): 

HQ and Field locations. See Appendix 

A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Employees who have been 

temporarily employed by the ODA. 

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Name, address, telephone number, 

Social Security Number (SSN), Disaster 

Area, job series, grade and title, dates of 

employment, reason for termination, 

supervisor’s name and job and summary 

of supervisor’s evaluation. Possible 

violations of the Agency’s Standards of 

Conduct (13 CFR Part 105) and 

information, if any, concerning official 

investigations and disciplinary actions 

taken. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 634(b)(6), 44 U.S.C. 101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED, OR REFERRED: 

a. To verify previous employment 

with SBA when a former employee is 

considered for reemployment. 

b. To locate current or former 

employees with special skills or 

Federal Register / Vol. 69, No. 189 / Thursday, September 30, 2004 / Notices 58627

language capabilities needed in specific 

situations. 

c. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

e. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

f. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES, PRACTICES, RETRIEVAL, ACCESS, 

RETENTION AND DISPOSAL OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name and/or SSN. 

SAFEGUARDS: 

Access and use limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Records 

and Archives Administration General 

Records Schedule 1.10. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator for Disaster 

Assistance. See Appendix A. 

NOTIFICATION PROCEDURE: 

An individual may submit a record 

inquiry in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting it and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Disaster Area Offices. 

SBA 32 

SYSTEM NAME: 

Tort Claims—SBA 32. 

SYSTEM LOCATION: 

Headquarters (HQ), Field Offices, 

Disaster Area Offices (DAO) and Federal 

Records Center (FRC). See Appendix A 

for SBA addresses. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM INCLUDES: 

Government employees and other 

individuals involved in accidents.

CATEGORIES OF RECORDS IN THE SYSTEM

INCLUDES: 

Contains reports on accidents which 

result in tort claims involving the 

Government. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

44 U.S.C. 3101, 42 U.S.C. 3211. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED, OR REFERRED: 

a. To the Department of Justice (DOJ) 

for handling of the suit and the 

preparation and presentation of the case 

in the event that a tort claim results in 

a court suit. 

b. To the General Services 

Administration for reporting on 

accidents and tort claims. 

c. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To a rental car company 

responsible for personal injuries and 

property damage. 

e. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

f. To the DOJ when any of the 

following is a party to litigation or has 

an interest in such litigation, and the 

use of such records by the DOJ is 

deemed by the agency to be relevant and 

necessary to the litigation, provided, 

however, that in each case, the agency 

determines the disclosure of the records 

to the DOJ is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

g. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

58628 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. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES, THESE RECORDS

MAY BE USED, DISCLOSED, OR REFERRED: 

a. To the General Accounting Office 

in the course of an audit of the SBA.

b. To the appropriate Federal, State, 

local or foreign agency or professional 

organization which has responsibility 

for investigating, prosecuting or 

enforcing violations, statutes rules, 

regulations or orders issued when the 

Agency identifies a violation or 

potential violation of law arising by 

general or program statute, by 

regulation, rule or order. 

c. To a Congressional office from an 

individual’s record, when the office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To Agency volunteers, interns, 

grantees, experts and contractors who 

have been engaged by the Agency to 

assist in the performance of a service 

related to this system of records and 

who need access to the records in order 

to perform this activity. Recipients of 

these records shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

e. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

the DOJ is deemed by the agency to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

the agency determines the disclosure of 

the records to the DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

f. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which the agency 

is authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that the agency 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, the 

agency determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is 

compatible with the purpose for which 

the records were collected: 

(1) The agency, or any component 

thereof; 

(2) Any employee of the agency in his 

or her official capacity; 

(3) Any employee of the agency in his 

or her individual capacity where the 

DOJ has agreed to represent the 

employee; or 

(4) The United States Government, 

where the agency determines that 

litigation is likely to affect the agency or 

any of its components. 

POLICIES, PRACTICES, RETRIEVAL, ACCESS, 

RETENTION AND DISPOSAL OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By employee name. 

SAFEGUARDS: 

Access and use limited to persons 

with official need to know; computers 

are protected by passwords and user 

identification codes. 

RETENTION AND DISPOSAL: 

Records are maintained according to 

National Archives and Records 

Administration’s General Record 

Schedule 6.1.a. 

SYSTEM MANAGER(S) AND ADDRESS: 

Chief Financial Officer. See Appendix 

A for address. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry in person or in writing to the 

Systems Manager or PA Officer. See

Appendix A. 

ACCESS PROCEDURES: 

System Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify the official listed above, state 

the reason(s) for contesting it and the 

proposed amendment sought. 

SOURCE CATEGORIES: 

Employees Travel Vouchers.

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