[Federal Register Volume 69, Number 189 (Thursday, September 30, 2004)]
[Notices]
[Pages 58598-58628]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-21670]



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Part II





Small Business Administration





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Revision of Privacy Act System of Records; Notice

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

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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.

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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.

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SBA District Offices

Region I

    Maine District Office: 40 Western Ave., Room 512, Augusta, ME 
04330.
    Massachusetts District Office: 10 Causeway St., Suite 265, 
Boston, MA 02222-1093.
    New Hampshire District Office: 55 Pleasant St., Suite 3101, 
Concord, NH 03301.
    Connecticut District Office: 330 Main St., 2nd Floor, Hartford, 
CT 06106.
    Vermont District Office: 87 State St., Suite 205, Montpelier, VT 
05602.
    Rhode Island District Office: 380 Westminster Mall, 5th Floor, 
Providence, RI 02903.
    Springfield Branch Office: 1441 Main St., Suite 410, 
Springfield, MA 01103.

Region II

    Buffalo District Office: 111 West Huron St., Room 1311, Buffalo, 
NY 14202.
    Elmira Branch Office: 333 E. Water St., 4th Floor, Elmira, NY 
14901.
    Melville Branch Office: 35 Pinelawn Road, Suite 207, Melville, 
NY 11747.
    New Jersey District Office: Two Gateway Center, 15th Floor, 
Newark, NJ 07102.
    New York District Office: 26 Federal Plaza, Rm. 3108, New York, 
NY 10278.
    Puerto Rico & Virgin Islands District Office: 252 Ponce De Leon 
Blvd., Hato Rey, Puerto Rico 00918.
    Rochester Branch Office: 100 State Street, Suite 410, Rochester, 
NY 14614.
    Syracuse District Office: 401 South Salina St., 5th Floor, 
Syracuse, NY 13202.
    St. Croix Branch Office: Sunny Isle Professional Building, 
Suites 5&6, Christiansted, VI 00820.
    St. Thomas Branch Office: 3800 Crown Bay Street, St. Thomas, VI 
00802.

Region III

    Baltimore District Office: 10 S. Howard St., Suite 6220, 
Baltimore, MD 21201-2525.
    Charleston Branch Office: 405 Capitol St., Suite 412, 
Charleston, WV 25301.
    West Virginia District Office: Federal Center, Suite 330, 320 
West Pike St., Clarksburg, WV 26301.
    Harrisburg Branch Office: 100 Chestnut St., Suite 107, 
Harrisburg, PA 17101.
    Philadelphia District Office: 900 Market St., 5th Floor, 
Philadelphia, PA 19107.
    Pittsburgh District Office: Federal Building, Rm. 1128, 1000 
Liberty Ave., Pittsburgh, PA 15222-4004.
    Richmond District Office: 400 North 8th St., 11th Floor, 
Richmond, VA 23240-0126.
    Washington District Office: 1110 Vermont Ave., NW., Suite 900, 
Washington, DC 20005.
    Wilkes-Barre Branch Office: 7 North Wilkes-Barre Blvd, Suite 
407, Wilkes-Barre, PA 18702.
    Delaware District Office: 1318 North Market, Wilmington, DE 
19801-3011.

Region IV

    Georgia District Office: 233 Peachtree Rd., NE., Suite 1800, 
Atlanta, GA 30303.
    Alabama District Office: 801 Tom Martin Dr., Suite 201, 
Birmingham, AL 35211.
    North Carolina District Office: 6302 Fairview Rd., Suite 300, 
Charlotte, NC 28210-2227.
    South Carolina District Office: 1835 Assembly St., Rm. 358, 
Columbia, SC 29201.
    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.

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    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;

[[Page 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 cross-referenced by name, subject, 
keyword, phrase, date, constituent and organizational name.

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

RETENTION AND DISPOSAL:
    In accordance with Standard Operating Procedure 00 41 2 00:01.

SYSTEM MANAGER(S) AND ADDRESS:
    Executive Secretariat, HQ. See Appendix A.

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

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

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

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

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.

[[Page 58602]]

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,

[[Page 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.

[[Page 58604]]

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

[[Page 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.

[[Page 58606]]

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

SOURCE CATEGORIES:
    Subject employee.
SBA 8

SYSTEM NAME:
    Correspondence and Inquiries--SBA 8.

SYSTEM LOCATION:
    Headquarters (HQ) and Field Offices. See Appendix A.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
    Individuals who have corresponded with the Agency.

CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
    Correspondence.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 634(b)(6), 44 U.S.C. 3101.

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

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS:
STORAGE:
    Paper and electronic files.

RETRIEVAL:
    By name of correspondent.

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

RETENTION AND DISPOSAL:
    In accordance with Standard Operating Procedure 00 41 2 00:01.

SYSTEM MANAGER(S) AND ADDRESS:
    PA Officer for HQ records and Field Managers for field records. See 
Appendix A.

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

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

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

SOURCE CATEGORIES:
    Subject individual, Agency personnel, case files and Congressional 
correspondence.
SBA 9

SYSTEM NAME:
    Cost Allocation Data System--9.

SYSTEM LOCATION:
    Office of the Chief Financial Officer (CFO), Headquarters.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
    All SBA employees.

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    44 U.S.C. 3101 (Records Management by Federal Agencies), Public Law 
101-576 (Chief Financial Officers Act) and Public Law 103-62 
(Government Performance and Results Act).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, 
DISCLOSED OR REFERRED:
    a. To the Agency cost contractor for use in the Agency's cost 
accounting activity.
    b. To a Congressional office from an individual's record, when the 
office is inquiring on the individual's behalf; the Member's access 
rights are no greater than the individual's.
    c. To Agency volunteers, interns, grantees, experts and contractors 
who have been engaged by the Agency to assist in the performance of a 
service related to this system of records and who need access to the 
records in order to perform this activity. Recipients of these records 
shall be required to comply with the requirements of the Privacy Act of 
1974, as amended, 5 U.S.C. 552a.
    d. To the Department of Justice (DOJ) when any of the following is 
a party to litigation or has an interest in such litigation, and the 
use of such records by the DOJ is deemed by the agency to be

[[Page 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.

[[Page 58608]]

RETENTION AND DISPOSAL:
    In accordance with National Archives and Records Administration 
General Records Retention Schedule 1.6.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Administrator/Human Capital Management (HQ) and DAO 
Directors. See Appendix A.

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

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

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

SOURCE CATEGORIES:
    Subject employee, individuals and agency personnel records.
SBA 11

SYSTEM NAME:
    Entrepreneurial Development--Management Information System--SBA 11.

SYSTEM LOCATION:
    Headquarters.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals using SBA's business counseling and assistance 
services.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Individual and business information on SBA clients.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Public Law 85-536, 15 U.S.C. 631 (Small Business Act), sec. 
7(j)(1), (Business Counseling), 15 U.S.C. 648 sec. 21 (Small Business 
Development Centers), 15 U.S.C. 656 sec. 29 (Women's Business Centers), 
Public Law 106-50 (Veterans' Entrepreneurship and Small Business 
Development Act of 1999), 44 U.S.C. 3101 (Records Management by Federal 
Agencies) and Public Law 103-62 (Government Performance and Results 
Act).

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

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS:
STORAGE:
    Electronic form in secured database on a dedicated computer.

RETRIEVAL:
    By SBA Customer Number and cross-referenced by individual or 
business name.

SAFEGUARDS:
    Access and use over the Internet with a restricted numerical 
password. Access and use is limited to Federal officials with a need-
to-know and to designated resource partners. SBA resource partners will 
have access only to those individuals that were collected by that 
particular resource partner. Designated program managers in HQ and 
district directors will have access to individual records only as 
needed for program management.

RETENTION AND DISPOSAL:
    In accordance with EDMIS N1-309-03-06.

SYSTEM MANAGER(S) AND ADDRESS:
    Associate Deputy Administrator for Entrepreneurial Development and 
designee in Headquarters.

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

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

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

SOURCE CATEGORIES:
    Subject individuals or businesses.
SBA 12

SYSTEM NAME:
    Equal Employment Opportunity Pre-Complaint Counseling--SBA 12.

SYSTEM LOCATION:
    Headquarters and Field Offices. See Appendix A.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
    Current/former SBA employees, members of a group (class complaints)

[[Page 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;

[[Page 58610]]

    (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

[[Page 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;

[[Page 58612]]

    (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,

[[Page 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 
follow-up on investigations conducted by OIG, the FBI and other 
Federal, State, local, or foreign regulatory or law enforcement agency. 
May include alphabetical indices of names and case numbers and 
information about allegations, decisions, investigative assignments and 
special techniques, and reports and results of investigations and time 
spent by investigators.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. App. 3 (The Inspector General Act of 1978), 15 U.S.C. 
Chapters 14A and 14B; 44 U.S.C. 3101.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, 
DISCLOSED OR REFERRED:
    a. To the Federal, State, local or foreign agency or professional 
organization which investigates, prosecutes or enforces violations, 
statutes, rules, regulations or orders issued when the Agency 
identifies a violation or potential violation of law whether arising by 
general or program statute, or by regulation, rule or order.
    b. To a court, magistrate, grand jury or administrative tribunal, 
opposing counsel during such proceedings or in

[[Page 58614]]

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

[[Page 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

[[Page 58616]]

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

[[Page 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, cross-referenced 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

[[Page 58618]]

implementing the purchase of loans from the Agency as a part of the 
Agency's Asset Sales program.
    f. To the Department of Justice (DOJ) when any of the following is 
a party to litigation or has an interest in such litigation, and the 
use of such records by the DOJ is deemed by the agency to be relevant 
and necessary to the litigation, provided, however, that in each case, 
the agency determines the disclosure of the records to the DOJ is a use 
of the information contained in the records that is compatible with the 
purpose for which the records were collected:
    (1) The agency, or any component thereof;
    (2) Any employee of the agency in his or her official capacity;
    (3) Any employee of the agency in his or her individual capacity 
where the DOJ has agreed to represent the employee; or
    (4) The United States Government, where the agency determines that 
litigation is likely to affect the agency or any of its components.
    g. In a proceeding before a court, or adjudicative body, or a 
dispute resolution body before which the agency is authorized to appear 
or before which any of the following is a party to litigation or has an 
interest in litigation, provided, however, that the agency determines 
that the use of such records is relevant and necessary to the 
litigation, and that, in each case, the agency determines that 
disclosure of the records to a court or other adjudicative body is a 
use of the information contained in the records that is compatible with 
the purpose for which the records were collected:
    (1) The agency, or any component thereof;
    (2) Any employee of the agency in his or her official capacity;
    (3) Any employee of the agency in his or her individual capacity 
where the DOJ has agreed to represent the employee; or
    (4) The United States Government, where the agency determines that 
litigation is likely to affect the agency or any of its components.
    h. To request information from a Federal, State, local agency or a 
private credit agency maintaining civil, criminal or other information 
relevant to determining an applicant's suitability for a business loan. 
This applies to individuals involved in business loans.
    i. To a recipient who has provided the agency with advance adequate 
written assurance that the record will be used solely as a statistical 
research or reporting record, and the record is to be transferred in a 
form that is not individually identifiable.
    j. To 7(a) and 504 lenders and/or participating contractors for 
purposes of the Loan and Lender Monitoring System (L/LMS).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS:
STORAGE:
    Electronic Records are in a secured server and paper records are in 
files. Loan files are in a secured area in either locked files or 
locked file rooms.

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

Paper Records: By individual name, personal identifier and SBA 
Identifier.
SAFEGUARDS:
    Electronic Records: Access and use is limited to Agency officials 
acting in their official capacities, with a need-to-know, and to SBA 
Resource Partners. Access and use by SBA Resource Partners will 
generally be via the Internet, with restricted password(s)/ 
passcode(s). SBA Resource Partners, their successors or assigns, will 
have access only to those individual records that were collected by 
that particular partner.
    Information contained in files will be available only to potential 
asset sale purchasers who have executed a confidentiality agreement. 
Only SBA employees in the performance of their official duties, who are 
granted access to the records by Agency issuance of User ID and/or 
passcode, may amend or review the records.
    Paper Records: Access and use is limited to Agency officials acting 
in their official capacities, with a need-to-know. SBA Resource 
Partners, their successors or assigns, will have access only to those 
individual records that were collected by that particular partner. 
Information contained in loan files will be available only to potential 
asset sale purchasers who have executed a confidentiality agreement. 
Only those SBA employees in the performance of their official duties 
may amend or review the records.

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

SYSTEM MANAGERS AND ADDRESSES:
    Associate Administrator for Capital Access, Associate Administrator 
for Lender Oversight, Associate Administrator for Financial Assistance, 
Regional Administrators, District Directors, Branch Managers, Loan 
Service Center Director and Loan Processing Centers Directors. See 
Appendix A.

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

RECORDS ACCESS PROCEDURES:
    Systems Manager or PA Officer will determine procedures.

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

RECORD SOURCE CATEGORIES:
    Subject individuals and businesses, financial institutions, credit 
reporting agencies, law enforcement agencies and SBA resource partners.
SBA 22

SYSTEM NAME:
    Outside Employment Files--SBA 22.

SYSTEM LOCATION:
    Headquarters (HQ) and Field Offices. See Appendix A.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
    SBA employees who have requested permission for outside employment.

CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
    Correspondence concerning requests for outside employment.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 634(b)(6), 44 U.S.C. 3101.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, 
DISCLOSED OR REFERRED:
    a. To a Congressional office from an individual's record, when 
office is inquiring on the individual's behalf; the Member's access 
rights are no greater than the individual's.
    b. To Agency volunteers, interns, grantees, experts and contractors 
who have been engaged by the Agency to assist in the performance of a 
service related to this system of records and who need access to the 
records in order to perform this activity. Recipients of

[[Page 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.

[[Page 58620]]

    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;

[[Page 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 non-
derogatory information, derogatory information is retained by OIG/OSO 
and transferred to Federal Records Centers (FRC) five years after 
cutoff (date of separation). After 15 years, FRC destroys the files.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Inspector General for Investigations or designee. See 
Appendix A.

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

ACCESS PROCEDURES:
    Inspector General or designee.

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

SOURCE CATEGORIES:
    SBA employees, Office of Human Capital Management, witnesses and 
OPM.

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

SYSTEM NAME:
    Portfolio Reviews--SBA 25.

SYSTEM LOCATION:
    Headquarters (HQ), Disaster Area Offices (DAO) and Disaster Home 
Loan Service Centers (DHLSC). See Appendix A.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
    Recipients of SBA Disaster Home Loans.

CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
    Reports compiled by the Office of Portfolio Review during review of 
field office loan processing. Disaster Home Loans may be included.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 634(b)(6), 44 U.S.C. 3101.

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

[[Page 58622]]

DOJ has agreed to represent the employee; or
    (4) The United States Government, where the agency determines that 
litigation is likely to affect the agency or any of its components.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS:
STORAGE:
    Paper and electronic files.

RETRIEVAL:
    By borrower's name, loan number and Social Security Number.

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

RETENTION AND DISPOSAL:
    In accordance with SOP 00 41 2 Item Nos. 95:04 and 95:06.

SYSTEM MANAGER(S) AND ADDRESS:
    DAO and DHLSC Managers. See Appendix A.

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

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

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

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

SYSTEM NAME:
    Power of Attorney Files--SBA 26.

SYSTEM LOCATION:
    Field Offices. See Appendix A.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES:
    Insurance agents who have the authority to execute a surety bond.

CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
    Records that identify individuals authorized to execute bonds for 
surety companies.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 634(b)(6) and 44 U.S.C. 3101.

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

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS:
STORAGE:
    Paper and electronic files.

RETRIEVAL:
    By agent and broker name.

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

RETENTION AND DISPOSAL:
    In accordance with SOP 00 41 2 Item No. 50:21.

SYSTEM MANAGER(S) AND ADDRESSES:
    Field Office Systems Managers. See Appendix A.

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

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

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

SOURCE CATEGORIES:
    Authorizing surety company.
SBA 27

SYSTEM NAME:
    Security and Investigations Files--SBA 27.

SYSTEM LOCATION:
    Office of the Inspector General (OIG), Investigations Division, 
Headquarters duty stations in the field and Federal Record Center 
(FRC). See Appendix for SBA addresses.

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

CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES:
    Material gathered or created during preparation for, conduct of and 
follow-

[[Page 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.

[[Page 58624]]

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.

[[Page 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.

[[Page 58626]]

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

[[Page 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;

[[Page 58628]]

    (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