Wednesday, 


April 1, 2009 


Part II 

Small Business 


Administration 


Revision of Privacy Act System of 

Records; Notice 

14890 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

SMALL BUSINESS ADMINISTRATION 

Revision of Privacy Act System of 

Records 

AGENCY: Small Business Administration. 

ACTION: Notice of Revision of Agency’s 

System of Records pursuant to the 

provisions of the Privacy Act and to 

open comment period. 

SUMMARY: This notice provides for 

review and comment on the most recent 

major revision of the Agency’s Privacy 

Act Systems of Records. SBA last 

published its complete Systems of 

Records on September 30, 2004, this 

publication will consolidate all 

revisions since that date. This 

publication will incorporate into the full 

text of the Systems, all changes that 

have been published since the 2004 

publication. These include: the 

December 23, 2004 revision to System 

20, Disaster Loan Files; June 10, 2005 

revision to Systems 3, Advisory Counsel 

Files; in compliance with Homeland 

Security Presidential Directive 12, the 

October 2, 2006 publication of System 

34, Identity Management Systems, and 

the August 23, 2007 publication of new 

routine use for all Agency Systems of 

Records to address the breech of 

personally identifiable information as 

recommended by the Office of 

Management and Budget. This notice 

and revision also includes the addition 

of two new Systems of Records 

proposed by the Office of the Inspector 

General, SBA 35—Non-Employment 

Related Background Checks and SBA 

36—Suspension and Debarment Files. 

Other minor changes such as office 

addresses and titles have been included 

and System 27, formerly entitled 

Security and Investigations Files is 

renamed Employee Misconduct Files. 

DATES: Written comments on the System 

of Records must be received on or before 

April 30, 2009. The notice shall be 

effective as proposed with or without 

further publication at the end of the 

comment period, unless comments are 

received which would require contrary 

determination. 

ADDRESSES: Written comments on the 

System of Records should be directed to 

Lisa J. Babcock, Chief, Freedom of 

Information/Privacy Acts Office, U. S. 

Small Business Administration, 409 3rd 

Street, SW., Washington, DC 20416. 

FOR FURTHER INFORMATION CONTACT: Lisa 

J. Babcock, Chief, Freedom of 

Information/Privacy Acts Office, (202) 

401–8203. 

SUPPLEMENTARY INFORMATION: This 

publication is in accordance with the 

Privacy Act stipulation that Agencies 

publish their Systems of Records in the 

Federal Register when there is a 

revision, change or addition. 

Small Business Administration New 

Privacy Act Systems of Records; 

Narrative StatementPrivacy Act System 

of Records SBA 35; Non-Employment 

Related Background Checks 

A. Narrative Statement 

1. The Small Business Administration 

(SBA) is adding a new system of records 

to the Agency’s Privacy Act Systems of 

Records. The new system is entitled 

‘‘Non-Employment Related Background 

Checks.’’ The systems consists of 

records that maintain information about 

applicants for SBA loans or other 

assistance or recognition, including 

application forms, such as SBA Form 

912 and related fingerprint cards, 

criminal history and other records 

checks and correspondence concerning 

background. The system is maintained 

by SBA’s Office of the Inspector General 

in both electronic and paper formats. 

2. Refer to the following citations: 5 

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

Act of 1978, as amended); 15 U.S.C. 

Chapters 14A and 14B, and 44 U.S.C. 

3101. 

3. The effect on the individual will be 

minimal. The information contained in 

the System will be viewed only by 

Agency personnel, contractors, experts, 

consultants or volunteers in the line of 

their official duties. These individuals 

must comply with the requirements of 

the PA of 1974, as amended, pursuant 

to 5 U.S.C. 552a(m). Any potential 

disclosures outside of the Agency will 

be in compliance with the routine uses 

of the System and will only be to 

individuals with a need to know. 

4. Access and use of the records will 

be limited to specified individuals with 

official need to know. Records will be 

stored in locked file cabinets and all 

computers containing these records are 

protected by password and user 

identification codes. In addition, 

records in this system of records are 

exempt from the application of all 

provisions of section 552a except 

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

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

(i). 

5. The new proposed category of 

records use satisfies the compatibility 

requirement of subsection (a)(4) of the 

Act as the FOI/PA Tracking System is a 

‘‘collection, or grouping of information 

about an individual that is maintained 

by an agency’’ and ‘‘contains his name, 

or the identifying number, symbol, or 

other identifying particular assigned to 

the individual.’’ 

6. This is an internal information 

collection. The Agency deems the OMB 

approved information collection 

requirements unnecessary. 

Small Business Administration New 

Privacy Act Systems of Records; 

Narrative StatementPrivacy Act System 

of Records SBA 36; Suspension and 

Debarment Files 

B. Narrative Statement 

1. The Small Business Administration 

(SBA) is adding a new system of records 

to the Agency’s Privacy Act Systems of 

Records. The new system is entitled 

‘‘Suspension and Debarment Files.’’ The 

systems consists of records that 

maintain information Records consist of 

materials compiled from investigations 

and/or audits which identify violations 

which may be cause for suspension or 

debarment pursuant to the Federal 

Acquisition Regulations or the 

government-wide non-procurement 

suspension and debarment regulations. 

These materials include indictments, 

information, plea agreements, 

judgments, loan agreements, contract 

documents, etc., that pertain to an 

individual’s or entity’s participation in 

government contracts, SBA loan 

programs, and other SBA assistance. 

2. Refer to the following citations: 5 

U.S.C. App. 3 (the Inspector General Act 

of 1978, as amended); 15 U.S.C. 

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

3101; 48 CFR Subpart 9.4 

(procurement); 2 CFR Parts 180 and 

2700 (non-procurement), and Executive 

Orders 12549 and 12682. 

3. The effect on the individual will be 

minimal. The information contained in 

the System will be viewed only by 

Agency personnel, contractors, experts, 

consultants or volunteers in the line of 

their official duties. These individuals 

must comply with the requirements of 

the PA of 1974, as amended, pursuant 

to 5 U.S.C. 552a(m). Any potential 

disclosures outside of the Agency will 

be in compliance with the routine uses 

of the System and will only be to 

individuals with a need to know. 

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

system of records is exempt from the 

application of all provisions of section 

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

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

(11), and (i), and pursuant to 5 U.S.C. 

§ 552(a)(k)(2) and (k)(5). 

4. Access and use of the records will 

be limited to specified individuals with 

official need to know. Records will be 

stored in locked file cabinets and all 

computers containing these records are 

protected by password and user 

identification codes. 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14891 

5. The new proposed category of 

records use satisfies the compatibility 

requirement of subsection (a)(4) of the 

Act as the FOI/PA Tracking System is a 

‘‘collection, or grouping of information 

about an individual that is maintained 

by an agency’’ and ‘‘contains his name, 

or the identifying number, symbol, or 

other identifying particular assigned to 

the individual.’’ 

6. This is an internal information 

collection. The Agency deems the OMB 

approved information collection 

requirements unnecessary. 

Appendix A 

Headquarters 

409 Third St., SW., Washington, DC 20416 

Boston Regional Office 

10 Causeway St., Suite 812, Boston, MA 

02222–1093 

New York Regional Office 

26 Federal Plaza, Suite 3108, New York, 

NY 10278 

New York Regional Office 

26 Federal Plaza, Suite 3108, New York, 

NY 10278 

Philadelphia Regional Office 

900 Market St., 5th Floor, Philadelphia, PA 

19107 

Atlanta Regional Office 

233 Peachtree St., NE., South Tower, Suite 

496, Atlanta, GA 30303 

Chicago Regional Office 

500 West Madison St., Suite 1250, Chicago, 

IL 60661–2511 

Dallas Regional Office 

4300 Amon Carter Blvd., Suite 114, Fort 

Worth, TX 76155 

Kansas City Regional Office 

323 West 8th St., Suite 307, Kansas City, 

MO 64105 

Denver Regional Office 

721 19th St., Suite 101, Denver, CO 80202 

San Francisco Regional Office 

455 Market St., Suite 2200, San Francisco, 

CA 94105 

Seattle Regional Office 

1200 Sixth Ave., Suite 1805, Seattle, WA 

98101–1128 

SBA District Offices 

Region I 

Maine District Office 

40 Western Ave., Room 512, Augusta, ME 

04330 

Massachusetts District Office 

10 Causeway St., Suite 265, Boston, MA 

02222–1093 

New Hampshire District Office 

55 Pleasant St., Suite 3101, Concord, NH 

03301 

Connecticut District Office 

330 Main St., 2nd Floor, Hartford, CT 

06106 

Vermont District Office 

87 State St., Suite 205, Montpelier, VT 

05602 

Rhode Island District Office 

380 Westminster Mall, 5th Floor, 

Providence, RI 02903 

Springfield Branch Office 

1441 Main St., Suite 410, Springfield, MA 

01103 

Region II 

Buffalo District Office 

111 West Huron St., Room 1311, Buffalo, 

NY 14202 

Elmira Branch Office 

333 E. Water St., 4th Floor, Elmira, NY 

14901 

Melville Branch Office 

35 Pinelawn Road, Suite 207, Melville, NY 

11747 

New Jersey District Office 

Two Gateway Center, 15th Floor, Newark, 

NJ 07102 

New York District Office 

26 Federal Plaza, Rm. 3108, New York, NY 

10278 

Puerto Rico & Virgin Islands District Office 

252 Ponce De Leon Blvd., Hato Rey, Puerto 

Rico 00918 

Rochester Branch Office 

100 State Street, Suite 410, Rochester, NY 

14614 

Syracuse District Office 

401 South Salina St., 5th Floor, Syracuse, 

NY 13202 

St. Croix Branch Office 

Sunny Isle Professional Building, Suites 

5&6, Christiansted, VI 00820 

St. Thomas Branch Office 

3800 Crown Bay Street, St. Thomas, VI 

00802 

Region III 

Baltimore District Office 

10 S. Howard St., Suite 6220, Baltimore, 

MD 21201–2525 

Charleston Branch Office 

405 Capitol St., Suite 412, Charleston, WV 

25301 

West Virginia District Office 

Federal Center, Suite 330, 320 West Pike 

St., Clarksburg, WV 26301 

Harrisburg Branch Office 

100 Chestnut St., Suite 107, Harrisburg, PA 

17101 

Philadelphia District Office 

900 Market St., 5th Floor, Philadelphia, PA 

19107 

Pittsburgh District Office 

Federal Building, Rm. 1128, 1000 Liberty 

Ave., Pittsburgh, PA 15222–4004 

Richmond District Office 

400 North 8th St., 11th Floor, Richmond, 

VA 23240–0126 

Washington District Office 

1110 Vermont Ave., NW., Suite 900, 

Washington, D.C. 20005 

Wilkes-Barre Branch Office 

7 North Wilkes-Barre Blvd., Suite 407, 

Wilkes-Barre, PA 18702 

Delaware District Office 

1318 North Market, Wilmington, DE 

19801–3011 

Region IV 

Georgia District Office 

233 Peachtree Rd., NE., Suite 1800, 

Atlanta, GA 30303 

Alabama District Office 

801 Tom Martin Dr., Suite 201, 

Birmingham, AL 35211 

North Carolina District Office 

6302 Fairview Rd., Suite 300, Charlotte, 

NC 28210–2227 

South Carolina District Office 

1835 Assembly St., Rm. 358, Columbia, SC 

29201 

Gulfport Branch Office 

2909 13th St., Suite 203, Gulfport, MS 

39501–1949 

Mississippi District Office 

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

39201 

Jacksonville—North Florida District Office 

7825 Baymeadows Way., Suite 100–B, 

Jacksonville, FL 32256–7504 

Kentucky District Office 

600 Dr. M.L. King Jr. Place, Rm. 188, 

Louisville, KY 40202 

Miami—South Florida District Office 

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

33131 

Tennessee District Office 

50 Vantage Way, Suite 201, Nashville, TN 

37228–1500 

Region V 

Illinois District Office 

500 West Madison St., Chicago, IL 60661– 

2511 

Cincinnati Branch Office 

525 Vine St., Suite 870, Cincinnati, OH 

45202 

Cleveland District Office 

1111 Superior Ave., Suite 630, Cleveland, 

OH 44114–2507 

Columbus District Office 

2 Nationwide Plaza, Suite 1400, Columbus, 

OH 43215–2542 

Michigan District Office 

477 Michigan Ave., Suite 515, Detroit, MI 

48226 

Indiana District Office 

429 North Pennsylvania St., Suite 100, 

Indianapolis, IN 46204–1873 

Wisconsin District Office 

310 West Wisconsin Ave., Suite 400, 

Madison, WI 53203 

Minnesota Branch Office 

100 North 6th St., 210–C, Minneapolis, MI 

55403 

Wisconsin Branch Office 

310 West Wisconsin Ave., Milwaukee, WI 

53203 

Minnesota District Office 

100 North 6th St., Minneapolis, MN 

55403–1563 

Springfield Branch Office 

511 W. Capitol Ave., Suite 302, 

Springfield, IL 62704 

Region VI 

New Mexico District Office 

625 Silver Ave., S.W., Suite 320, 

Albuquerque, NM 87102 

Corpus Christi Branch Office 

3649 Leopard St., Suite 411, Corpus 

Christi, TX 78408 

Dallas/Ft. Worth District Office 

4300 Amon Carter Blvd., Suite 108, Dallas, 

TX 76155 

El Paso District Office 

10737 Gateways West, Suite 320, El Paso, 

TX 79935 

Houston District Office 

8701 S. Gessner Dr., Suite 1200, Houston, 

TX 77074 

Arkansas District Office 

2120 Riverfront Dr., Suite 100, Little Rock, 

AR 72202 

Lower Rio Grande Valley District Office 

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

TX 78550–6855 

Lubbock District Office 

14892 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

1205 Texas Ave., Suite 408, Lubbock, TX 

79401–2693 

New Orleans District Office 

365 Canal St., Suite 2820, New Orleans, LA 

70130 

Oklahoma District Office 

301 Northwest 6th St., Suite 116, 

Oklahoma City, OK 73102 

San Antonio District Office 

727 E. Durango Blvd., 5th Floor, San 

Antonio, TX 78206 

Region VII 

Cedar Rapids Branch Office 

215 4th Ave. S.E., Suite 200, Cedar Rapids, 

IA 52401–1806 

Des Moines District Office 

210 Walnut St., Room 749, Des Moines, IA 

50309–2186 

Kansas City District Office 

323 West 8th Ave., Suite 501, Kansas City, 

MO 64105–1500 

Nebraska District Office 

11145 Mill Valley Rd., Omaha, NB 68154 

Springfield Branch Office 

830 East Primrose, Suite 101, Springfield, 

MO 65807–52540 

St. Louis District Office 

815 Olive Street, St. Louis, MO 63101 

Wichita District Office 

271 West Third St., Suite 2500, Wichita, 

KS 67202–1212 

Region VIII 

Wyoming District Office 

100 East B Street, Rm. 4001, Casper, WY 

82601 

Denver District Office 

721 19th St., Suite 426, Denver, CO 80202 

North Dakota District Office 

657 Second Ave. North, Room 219, Fargo, 

ND 58108 

Montana District Office 

10 West 15th St., Suite 1100, Helena, MT 

59626 

Utah District Office 

125 South State St., Room 2237, Salt Lake 

City, UT 84138 

South Dakota District Office 

2329 North Career Ave., Suite 105, Sioux 

Falls, SD 57107 

Region IX 

Agana Branch Office 

400 Route 8, Suite 302, Hagatna, GU 

96910–2003 

Fresno District Office 

2719 North Air Fresno Dr., Suite 200, 

Fresno, CA 93727–1547 

Hawaii District Office 

300 Ala Moana Blvd., Rm. 2–235, 

Honolulu, HI 96850–4981, 

Nevada District Office 

300 Las Vegas Blvd., Suite 110, Las Vegas, 

NV 89101 

Los Angeles District Office 

330 North Brand Blvd., Suite 1200, 

Glendale, CA 91203–2304 

Arizona District Office 

2828 North Central Ave., Suite 800, 

Phoenix, AZ 85004–1025 

Sacramento District Office 

650 Capital Mall, Suite 7–500, Sacramento, 

CA 95814–2413 

San Diego District Office 

550 West C St., Suite 550, San Diego, CA 

92101–3500 

San Francisco District Office 

455 Market St., 6th Floor, San Francisco, 

CA 94105–2445 

Santa Ana District Office 

200 West Santa Ana Blvd., Suite 700, Santa 

Ana, CA 92701 

Region X 

Alaska District Office 

50 L St., Suite 310, Anchorage, AK 99501 

Boise District Office 

380 East Parkcenter Blvd., Boise, ID 83706 

Portland District Office 

1515 S.W. 5th Ave., Suite 1050, Portland, 

OR 97201–5494 

Seattle District Office 

1200 6th Ave., Rm. 1700, Seattle, WA 

98101–1128 

Spokane Branch Office 

801 West Riverside, Suite 200, Spokane, 

WA 99201 

Spokane District Office 

801 West Riverside Ave., Suite 200, 

Spokane, WA 99201–0901 

SBA Disaster Loan Making Centers 

DCMS Operations Center 

13221 Woodland Park Rd., Herndon, VA 

20174 

Disaster Assistance Customer Service Center 

130 S. Elmwood Avenue, Buffalo, NY 

14202 

Disaster Field Operations Center—East 

101 Marietta Street, Suite 700, Atlanta, GA 

30303 

Disaster Loan Processing and Disbursement 

Center 

14925 Kingsport Rd., Fort Worth, TX 

76155–2243 

Disaster Field Operations Center—West 

P.O. Box 419004, Sacramento, CA 95841– 

9004, or 6501 Sylvan Rd., Citrus Heights, 

CA 95610–5017 

Disaster Personnel and Administrative 

Services Center 

13221 Woodland Park Rd., Herndon, VA 

20174 

Field Inspection Team 

13221 Woodland Park Rd., Herndon, VA 

20174 

SBA Home Loan Servicing Centers 

Birmingham Home Loan Servicing Center 

2121 8th Ave. North, Suite 200, P.O. Box 

12247, Birmingham, AL 35202–2247 

New York Home Loan Servicing Center 

201 Varick St., Rm. 628, New York, NY 

10014 

El Paso Home Loan Servicing Center 

10737 Gateway West, Suite 300, El Paso, 

TX 79935 

Santa Ana Loan Servicing & Liquidation 

Office 

200 W. Santa Ana Blvd., Santa Ana, CA 

92701 

Commercial Loan Servicing Centers 

Fresno Commercial Loan Servicing Center 

2719 N. Fresno Dr., Suite 107, Fresno, CA 

93727–1547 

Little Rock Commercial Loan Servicing 

Center 

2120 Riverfront Dr., Suite 100, Little Rock, 

AR 72202 

Office of the Inspector General 

Office of Inspector General 

409 Third Street, SW., Washington, DC 

20416 

Office of Inspector General Investigation 

Division 

409 Third Street, SW., Washington, DC 

20416 

Office of Inspector General Auditing Division 

409 Third Street, SW., Washington, DC 

20416 

Office of Inspector General Counsel Division 

409 Third Street, SW., Washington, DC 

20416 

Office of Inspector General Management & 

Policy Division 

409 Third Street, SW., Washington, DC 

20416 

Atlanta Inspector General Auditing Division 

233 Peachtree St., NE., Suite 1803, Atlanta, 

GA 30303 

Dallas/Fort Worth Inspector General 

Auditing 

4300 Amon Carter Blvd., Suite 116, Fort 

Worth, TX 76155 

Los Angeles Inspector General Auditing 

Division 

330 North Brand Blvd., Suite 660, 

Glendale, CA 91203–2304 

Atlanta Inspector General Investigations 

Division 

233 Peachtree St., NE., Suite 1802, Atlanta, 

GA 30303 

Chicago Inspector General Investigations 

Division 

801 Warrenville Road, Suite 230, Lisle 

Chicago, IL 60532 

Dallas/Fort Worth Inspector General 

Investigations Division 

4300 Amon Carter Blvd., Suite 116, Fort 

Worth, TX 76155–2653 

Detroit Inspector General Investigations 

Division 

477 Michigan Avenue, Suite 515, Detroit, 

MI 48266 

Houston Inspector General Investigations 

Division 

8701 South Gessnar Drive, Suite 1200, 

Houston, TX 77074 

Kansas City Inspector General Investigations 

Division 

1000 Walnut Street, Suite 510, Kansas City, 

MO 64106 

Los Angeles Inspector General Investigation 

Division 

330 North Brand Blvd., Suite 850, 

Glendale, CA 91203–2304 

Miami Inspector General Investigations 

Division 

Claude Pepper Federal Building, 51 SW 1st 

Avenue, Suite 1325, Miami, FL 33130 

New Orleans Inspector General Auditing 

Division and Investigations Divisions 

365 Canal Street, Suite 2420, New Orleans, 

LA 70130 

New York Inspector General Investigations 

Division 

26 Federal Plaza, Rm. 41–100, New York, 

NY 10278 

Philadelphia Inspector General Investigations 

Division 

Curtis Center Room 860W, 601 Walnut 

Street, Philadelphia, PA 19106 

Tacoma Inspector General Investigations 

Division 

33400 9th Avenue, Federal Way, WA 

98003 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14893 

Table of Contents 

SBA 1—Administrative Claims 

SBA 2—Administrator’s Executive 

Secretariat Files 

SBA 3—Advisory Council Files 

SBA 4—Office of Inspector General Records 

Other Than Investigations Records 

SBA 5—Business and Community Initiatives 

Resource Files 

SBA 6—Civil Rights Compliance Files 

SBA 7—Combined Federal Campaign 

SBA 8—Correspondence and Inquiries 

SBA 9—Cost Allocation Data System 

SBA 10—Employee Identification Card Files 

SBA 11—Entrepreneurial DevelopmentManagement Information System 

SBA 12—Equal Employment Opportunity 

Pre-Complaint Counseling 

SBA 13—Equal Employment Opportunity 

Complaint Cases 

SBA 14—Freedom of Information/Privacy 

Act Records 

SBA 15—Grievance and Appeals Files 

SBA 16—Investigative Files 

SBA 17—Investigations Division 

Management Information System 

SBA 18—Legal Work Files on Personnel 

Cases 

SBA 19—Litigation and Claims Files 

SBA 20—Disaster Loan Case Files 

SBA 21—Loan System 

SBA 22—Outside Employment Files 

SBA 23—Payroll Files 

SBA 24—Personnel Security Files 

SBA 25—Portfolio Review Files 

SBA 26—Power of Attorney Files 

SBA 27—Employee Misconduct Files 

SBA 28—Small Business Persons and 

Advocate Awards 

SBA 29—Standards of Conduct 

SBA 30—Servicing and Contracts System/ 

Minority Enterprise Development 

Headquarters Repository 

SBA 31—Temporary Disaster Employee Files 

SBA 32—Tort Claims 

SBA 33—Travel Files 

SBA 34—Identity Management System 

SBA 35—Non-Employment Related 

Background Checks 

SBA 36—Suspension and Debarment Files 

SBA 1 

SYSTEM NAME: 

ADMINISTRATIVE CLAIMS—SBA 1 

SYSTEM LOCATION: 

Headquarters (HQ) and Field Offices. 

Records of claims up to $5,000 are in 

District Offices, claims more than 

$5,000 are in the Office of General 

Counsel. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Individuals involved in accidents or 

other incidents of loss or damage to 

government property. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Report and supporting materials 

compiled in cases of loss or damage to 

government property. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the General Services 

Administration, the court and other 

parties in litigation, when a suit has 

been initiated. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

as amended, 5 U.S.C. § 552a. 

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name of involved individual(s). 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Schedule 6.10. 

SYSTEM MANAGER(S) AND ADDRESS: 

HQ and Field Systems Managers. See 

Appendix A. 

NOTIFICATION PROCEDURE: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Involved individuals, witnesses and 

Agency investigation. 

SBA 2 

SYSTEM NAME: 

ADMINISTRATOR’S EXECUTIVE 

SECRETARIAT FILES—SBA 2 

SYSTEM LOCATION: 

Headquarters (HQ). See Appendix A. 

14894 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Individuals who have corresponded 

with SBA Administrator. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Correspondence in Controlled 

Documents System from October 1, 

1987. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To oversee and maintain Agency 

correspondence with Government 

officials, Members of Congress, and the 

public. 

b. To oversee and maintain 

memoranda or documents detailing 

policy and operational decisions made 

by the Administrator. 

c. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

e. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

f. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

g. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By document number, name, subject, 

keyword, phrase, date, constituent and 

organizational name. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 00:01. 

SYSTEM MANAGER(S) AND ADDRESS: 

Executive Secretariat, HQ. See 

Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Correspondence, memoranda authors, 

and other sources that communicate 

with SBA’s Administrator. 

SBA 3 

SYSTEM NAME: 

ADVISORY COUNCIL FILES—SBA 3 

SYSTEM LOCATION: 

Headquarters (HQ). See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Current and former members on 

SBA’s federal advisory councils. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Completed SBA Forms 898 of 

individuals nominated to serve as 

members on SBA’s federal advisory 

councils. The completed forms contain 

personal and business contact 

information, birthplace and date of 

birth, and information on the current 

status or history of application for SBA 

assistance or actual receipt of it and may 

also contain nominees’ professional 

resumes and other correspondence. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 637(b)(13), 648(i)(1), 657(c), 

Section 203, 7510–10; Pub. L. 106–50; 

and 44 U.S.C. 3101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. Appointed liaisons in SBA program 

offices, include but not limited to: 

Office of Government Contracting; 

Investment Division; Office of Financial 

Assistance; Office of Procurement and 

Grants Management; Office of the 

Inspector General; Office of Strategic 

Alliances; and Office of General 

Counsel. The purpose of the disclosure 

is to facilitate the performance of the 

appointed liaisons’ duty to determine 

whether the program office has any 

information pertaining to a past or 

current relationship between the 

nominee and SBA and to provide such 

information to SBA’s Committee 

Management Officer who vets nominees 

for conflict of interest or the appearance 

of conflict of interest in accordance with 

SOP 90 54 4, Chapter 7. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14895 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

Records are organized according to 

advisory council and retrieved by the 

name of the current and former member. 

SAFEGUARDS: 

Access to SBA Headquarters is 

controlled and monitored by security 

personnel. Access to SBA program 

offices is limited to SBA employees 

with key cards and records are 

maintained in a locked room. Access is 

limited to persons with official need to 

know; computers are protected by 

password and user identification codes. 

RETENTION AND DISPOSAL: 

Permanent records are maintained for 

2 years and then transferred to the 

Federal Records Center in accordance 

with SOP 00 41 2, Appendix 24, 95:01. 

SYSTEM MANAGER(S) AND ADDRESS: 

Committee Management Officer, 

Office of Administration, HQ. See 

Appendix A. 

NOTIFICATION PROCEDURE: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Record subject, Congressional offices, 

Agency employees, media, Advisory 

Council members, Federal Register. 

SBA 4 

SYSTEM NAME: 

OFFICE OF INSPECTOR GENERAL 

RECORDS OTHER THAN 

INVESTIGATIONS RECORDS—SBA 4 

SYSTEM LOCATION: 

Office of the Inspector General (OIG) 

Investigations Division, Audit Division, 

Headquarters duty stations, Agency 

District and Field Offices and Federal 

Records Center. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

OIG staff, parties requesting OIG 

action, interviewees, persons examined 

by an OIG inquiry and persons 

providing information used by OIG staff, 

applicants to, and participants in SBA 

programs, their principals, 

representatives and resource partners; 

contractors and parties to cooperative 

agreements and their principals, 

representatives, and other interested 

parties; governmental entities; SBA 

employees, volunteers supporting SBA, 

including but not limited to members of 

the Advisory Councils and Service 

Corps of Retired Executive and in 

connection with allegations of 

wrongdoing or inefficiency within the 

jurisdiction of the OIG. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Material provided to, gathered or 

created by OIG in auditing, or otherwise 

dealing with allegations that are within 

the jurisdiction of the OIG, 

documentation of allegations, 

consultations, decisions, interviews, 

records reviews, audits, evaluations, 

and other non-audit services, and 

various correspondence, etc. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEMS: 

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

General Act of 1978, as amended); 15 

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

U.S.C. 3101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To a court, magistrate, grand jury or 

administrative tribunal, or opposing 

counsel during trials, hearings or in 

settlement negotiations. 

c. To any private or governmental 

source or person, in order to secure 

information relevant to an investigation, 

audit or other evaluation. 

d. To other Federal agencies 

conducting background checks, to the 

extent that the information is relevant to 

their function. 

e. To any domestic, foreign, 

international or private agency or 

organization, including those which 

maintain civil, criminal or other 

enforcement information, for the 

assignment, hiring or retention of an 

14896 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

individual, issuance of a security 

clearance, reporting of an investigation 

of an individual, letting of a contract or 

issuance of a license, grant or other 

benefit, to the extent the information is 

relevant to the agency’s decision on the 

matter. 

f. To Federal, State or local bar 

associations and other professional, 

regulatory or disciplinary bodies for use 

in disciplinary proceedings and 

inquiries. 

g. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

h. To the Office of Government Ethics 

for any purpose consistent with their 

mission. 

i. To the Government Accountability 

Office and to the General Services 

Administration’s Board of Contract 

Appeals in bid protest cases involving 

an agency procurement. 

j. To any Federal agency which has 

the authority to subpoena other Federal 

agencies’ records and has issued a valid 

subpoena. 

k. To the Department of the Treasury 

and the Department of Justice (DOJ) in 

support of an ex parte court order to 

obtain taxpayer information from the 

Internal Revenue Service. 

l. To debt collection contractors for 

collecting delinquent debts as 

authorized by the Debt Collection Act of 

1982, 31 U.S.C. 3718. 

m. To a grand jury agent pursuant to 

a Federal or State grand jury subpoena 

or to a prosecution request that records 

be introduced to a grand jury. 

n. To DOJ to obtain advice regarding 

FOIA disclosure obligations. 

o. To the Office of Management and 

Budget to obtain advice regarding PA 

obligations. 

p. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

q. To DOJ when any of the following 

is a party to litigation or has an interest 

in such litigation, and the use of such 

records by DOJ is deemed by SBA to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

r. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

s. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

t. To members of the President’s 

Council on Integrity and Efficiency, DOJ 

or other agencies for the purpose of 

conducting qualitative reviews of SBA 

OIG operations for the preparation of 

reports to the President and Congress on 

the activities of the Inspectors General, 

and for other uses in furtherance of the 

Inspector General Act of 1978, as 

amended. 

u. To the public when the matter 

under investigation has become public 

knowledge, or when the IG determines 

that such disclosure is necessary to 

preserve confidence in the integrity of 

the OIG investigative process, or to 

demonstrate the accountability of SBA 

employees, or other individuals covered 

by this system, or when there exists a 

legitimate public interest unless the IG 

determines that disclosure of the 

specific information in the context of a 

particular case would constitute an 

unwarranted invasion of personal 

privacy. 

v. To inform complainants, victims, 

and witnesses of the results of an 

investigation or inquiry. 

w. To a Federal agency responsible for 

considering administrative action, 

including debarment or suspension. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name and cross-referenced to 

related IG audit files and non-audit 

services or reviews. 

SAFEGUARDS: 

Sensitive reports are kept in locked 

filing cabinets, while others are 

provided lesser levels of security as 

appropriate. 

RETENTION AND DISPOSAL: 

Following final agency action, records 

are maintained in accordance with SBA 

SOP 00 41. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Auditing or designee. See Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Subject individuals, Agency 

personnel, third parties, and other 

Government agencies, such as the 

Federal Bureau of Investigation. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

system of records is exempt from the 

application of all provisions of section 

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

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

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

of (A) information compiled for the 

purpose of identifying individual 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14897 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

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

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

the record compiled for law 

enforcement purposes or for the purpose 

of determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classified information is 

exempt from the notification, access, 

and contest requirements under 5 U.S.C. 

552a (c)(3), (d), (e)(1), (e)(4) (G), (H), and 

(I), and (f) of the Agency regulations. 

This exemption is necessary in order to 

fulfill commitments made to protect the 

confidentiality of sources and to protect 

subjects of investigations from 

frustrating the investigatory process. 

SBA 5 

SYSTEM NAME: 

BUSINESS AND COMMUNITY 

INITIATIVES RESOURCE FILES—SBA 

5 

SYSTEM LOCATION: 

Headquarters (HQ) and Field Offices. 

See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Users of Business and Community 

Initiatives training materials, potential 

speakers, counselors, authors and 

reviewers. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Information relating to individuals: 

biographical sketches, correspondence, 

copies of travel vouchers and 

counseling reports, files of 

accomplishments, publications, news 

releases and clippings. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To provide university coordinators 

with information about potential 

speakers at management training 

sessions. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 65:01, 

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

65:09. 

SYSTEM MANAGER(S) AND ADDRESS: 

Field Office Director and PA Officer. 

See Appendix A. 

NOTIFICATION PROCEDURE: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Record subject, Agency employees, 

media, educators, universities, 

professional and civic organizations. 

SBA 6 

SYSTEM NAME: 

CIVIL RIGHTS COMPLIANCE 

FILES—SBA 6 

SYSTEM LOCATION: 

Headquarters. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

SBA recipients of Federal financial 

assistance and individuals who have 

14898 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

filed allegations of discrimination 

against SBA recipients of Federal 

financial assistance or against Agency 

programs or program offices based on 

disability. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Reviews, correspondence, supporting 

documents, interview statements, 

program files, information developed in 

allegation/complaint investigation. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

44 U.S.C. 3101, Civil Rights 

Compliance SOP 90 30 3 and 13 CFR 

Parts 112, 113, and 117. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

c. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

d. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

e. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By complainant’s name, address and 

four digit fiscal year/order in which 

received during that fiscal year (four 

digit number is keyed to Complaint Log 

for that fiscal year). 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Schedule 1.25.a and d(2). 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator for Equal 

Employment Opportunity and Civil 

Rights Compliance (EEO/CRC). See 

Appendix A. 

NOTIFICATION PROCEDURE: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

SBA recipient of Federal financial 

assistance reviewed by EEO/CRC 

personnel and complainants. 

SBA 7 

SYSTEM NAME: 

COMBINED FEDERAL CAMPAIGN— 

SBA 7 

SYSTEM LOCATION: 

Headquarters (HQ) Office and Field 

Offices. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM: 

SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Information pertaining to SBA 

employees involved with the campaign. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the public, the names and 

addresses of employees connected with 

the drive are released. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14899 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name and/or Social Security 

Number. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Record Schedule 2.15. 

SYSTEM MANAGER(S) AND ADDRESS: 

HQ and Field Office Supervisors. See 

Appendix A. 

NOTIFICATION PROCEDURE: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Subject employee. 

SBA 8 

SYSTEM NAME: 

CORRESPONDENCE AND 

INQUIRIES—SBA 8 

SYSTEM LOCATION: 

Headquarters (HQ) and Field Offices. 

See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Individuals who have corresponded 

with the Agency. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Correspondence. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To oversee and maintain 

correspondence to the Agency. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name of correspondent. 

14900 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 00:01. 

SYSTEM MANAGER(S) AND ADDRESS: 

PA Officer for HQ records and Field 

Managers for field records. See 

Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Subject individual, Agency personnel, 

case files and Congressional 

correspondence. 

SBA 9 

SYSTEM NAME: 

COST ALLOCATION DATA 

SYSTEM—9 

SYSTEM LOCATION: 

Office of the Chief Financial Officer 

(CFO), Headquarters. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

All SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Individual information on SBA 

employees, i.e., name, social security 

number, office code, pay dates, survey 

results on the percentage of time spent 

on administration of various SBA 

programs and activities. Agency-wide 

costs, i.e., rent, postage, 

telecommunications, centralized 

printing and training, employees’ 

relocation costs, credit report costs, 

performance management appraisal 

system awards, contractors costs, 

Agency loan count and SBA 

employment full time equivalent 

counts. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

44 U.S.C. 3101 (Records Management 

by Federal Agencies), Public Law 101– 

576 (Chief Financial Officers Act) and 

Public Law 103–62 (Government 

Performance and Results Act). 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Agency cost contractor for 

use in the Agency’s cost accounting 

activity. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

tothe records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has aninterest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be 

relevantand necessary to the litigation, 

provided, however, that in each case, 

SBA determines thedisclosure of the 

records to DOJ is a use of the 

information contained in the records 

that iscompatible with the purpose for 

which the records were collected: SBA, 

or any componentthereof; any SBA 

employee in their official capacity; any 

SBA employee in their 

individualcapacity where DOJ has 

agreed to represent the employee; or 

The United States Government,where 

SBA determines that litigation is likely 

to affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before whichSBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has aninterest in litigation, 

provided, however, that SBA 

determines that the use of such records 

isrelevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure ofthe records 

to a court or other adjudicative body is 

a use of the information contained in 

therecords that is a compatible purpose 

for which the records were collected: 

SBA, or any SBAcomponent; any SBA 

employee in their official capacity; any 

SBA employee in their 

individualcapacity where DOJ has 

agreed to represent the employee; or 

The United States Government,where 

SBA determines that litigation is likely 

to affect SBA or any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that thesecurity or 

confidentiality of information in the 

system records has been compromised; 

SBAhas determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of thissystem or other systems 

or programs (whether maintained by the 

Agency or entity) that rely uponthe 

compromised information; and the 

disclosure made to such agencies, 

entities and persons isreasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected orconfirmed compromise and 

prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

The electronic form is maintained in 

a database which is behind the Agency’s 

firewall. 

RETRIEVABILITY: 

Employee’s Social Security Number 

and first and last name retrieve survey 

result. 

SAFEGUARDS: 

Access and use of the CADS are 

accomplished via the use of restricted 

password. Access and use are limited to 

Project Leader and Group members and 

only those other Agency employees 

whose official duties require such 

access. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Retention Schedule 8.1, 8.5, 

8.6, 8.7 and 8.8. 

SYSTEM MANAGER(S) AND ADDRESS: 

Chief Financial Officer, HQ. See 

Appendix A. 

NOTIFICATION PROCEDURE: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

SBA employees. 

SBA 10 

SYSTEM NAME: 

EMPLOYEE IDENTIFICATION CARD 

FILES—SBA 10 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14901 

SYSTEM LOCATION: 

Office of Human Capital Management 

(Headquarters), Denver Human Capital 

Management Operations Division and 

Disaster Loan Making Centers (DLMC). 

See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Employee name and their 

identification card numbers. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when that office is 

inquiring on theindividual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

tothe records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

c. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

d. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

e. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name or identification card 

number. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Retention Schedule 1.6. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator/Human 

Capital Management (HQ) and DLMC 

Directors. See Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Subject employee, individuals and 

agency personnel records. 

SBA 11 

SYSTEM NAME: 

ENTREPRENEURIAL 

DEVELOPMENT—MANAGEMENT 

INFORMATION SYSTEM—SBA 11 

SYSTEM LOCATION: 

Headquarters (HQ). 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM: 

Individuals using SBA’s business 

counseling and assistance services. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Individual and business information 

on SBA clients. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Public Law 85–536, 15 U.S.C. 631 

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

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

sec. 21 (Small Business Development 

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

(Women’s Business Centers), Public 

Law 106–50 (Veterans’ 

Entrepreneurship and Small Business 

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

3101 (Records Management by Federal 

Agencies) and Public Law 103–62 

(Government Performance and Results 

Act). 

ROUTINE USES OF RECORDS MAINTAINED BY THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Agency service provider 

(resource partner) who initially 

collected the information. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on theindividual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

14902 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Electronic form in secured database 

on a dedicated computer. 

RETRIEVAL: 

By SBA Customer Number and crossreferenced by individual or business 

name. 

SAFEGUARDS: 

Access and use over the Internet with 

a restricted numerical password. Access 

and use is limited to Federal officials 

with a need-to-know and to designated 

resource partners. SBA resource 

partners will have access only to those 

individuals that were collected by that 

particular resource partner. Designated 

program managers in HQ and district 

directors will have access to individual 

records only as needed for program 

management. 

RETENTION AND DISPOSAL: 

In accordance with EDMIS N1–309– 

03–06. 

SYSTEM MANAGER(S) AND ADDRESS: 

Associate Deputy Administrator for 

Entrepreneurial Development and 

designee in Headquarters. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

The Systems Manager or PA Officer 

will determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Subject individuals or businesses. 

SBA 12 

SYSTEM NAME: 

EQUAL EMPLOYMENT 

OPPORTUNITY PRE-COMPLAINT 

COUNSELING—SBA 12 

SYSTEM LOCATION: 

Headquarters and Field Offices. See 

Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Current/former SBA employees, 

members of a group (class complaints) 

who have requested counseling 

regarding employment discrimination. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Case files may include employee and 

interview statements. The Equal 

Employment Opportunity (EEO) 

Counselor’s Report becomes part of the 

EEO Complaint case. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

29 CFR Part 1611. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To report counseling activity to the 

Office of Equal Employment 

Opportunity and Civil Rights 

Compliance (EEO/CRC). 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14903 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By employee name. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification code. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Schedule 1.25.a. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator for EEO&CRC 

and Field Office Systems Managers. See 

Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Employee seeking counseling, other 

employees, EEO Counselor, personnel 

and employment records. 

SBA 13 

SYSTEM NAME: 

EQUAL EMPLOYMENT 

OPPORTUNITY COMPLAINT CASES— 

SBA 13 

SYSTEM LOCATION: 

Headquarters. 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 actions. 

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 EEOC when there is a hearing, 

these records will be used in the case. 

c. To EEOC when a complaint is 

appealed, these records will be used by 

the Office of Equal Employment 

Opportunity and Civil Rights 

Compliance (EEO/CRC) in their decision 

making. 

d. To the Office of General Counsel 

and the Department of Justice (DOJ) 

when a complaint results in a Federal 

suit, these records will be referred and 

used to prepare and present the case in 

court. 

e. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

f. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

g. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

h. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

i. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name of complainant. 

SAFEGUARDS: 

Access and use is limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

14904 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Schedule 1.25.a. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator for EEO/CRC 

and Field Office Systems Managers and 

the Office of the Inspector General 

(OIG). See Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORY: 

Complainant, witnesses, hearing 

transcript, personnel and employment 

records, examiner’s recommendations 

and agency investigation. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

system of records is exempt from the 

application of all provisions of section 

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

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

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

of (A) information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

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

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

the record compiled for law 

enforcement purposes or for the purpose 

of determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classified information is 

exempt from the notification, access, 

and contest requirements under 5 U.S.C. 

552a(c)(3), (d), (e)(1), (e)(4), (G), (H), and 

(I), and (f) of the Agency regulations. 

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 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 cases. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To review individual cases, keep 

logs and records, comply with statutory 

time limitations and prepare mandated 

reports. 

b. To the Federal, State, local or 

foreign agency or professional 

organization, including SBA offices, 

which investigates prosecutes or 

enforces violations, statutes, rules, 

regulations or orders issued when the 

Agency identifies a violation or 

potential violation of law whether 

arising by general or program statute, or 

by regulation, rule or order. 

c. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

e. To agency personnel responsible for 

bringing Program Fraud Civil Remedies 

Act litigation to the tribunal hearing 

litigation or any appeals and to counsel 

for the defendant party in any such 

litigation. 

f. To a grand jury agent pursuant to 

a Federal or State grand jury subpoena 

or to a prosecution request that records 

be released for introduction to a grand 

jury. 

g. To a Federal agency which has the 

authority to subpoena other Federal 

agencies records and has issued a valid 

subpoena. 

h. To the Department of Justice (DOJ) 

in order to obtain that department’s 

advice regarding an agency’s FOIA 

disclosure obligations. 

i. To the Office of Management and 

Budget to obtain that office’s advice 

regarding an agency’s PA obligations. 

j. To DOJ when any of the following 

is a party to litigation or has an interest 

in such litigation, and the use of such 

records by DOJ is deemed by SBA to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

k. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

l. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14905 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

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 officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Correspondence submitted directly to 

and replies from SBA. 

SBA 15 

SYSTEM NAME: 

EMPLOYEE DISPUTES AND 

APPEALS—SBA 15 

SYSTEM LOCATION: 

Servicing Personnel Office and the 

Office of Hearings and Appeals (OHA) 

where employee disputes (formerly 

Grievances) or appeals of employee 

disputes have been filed. See Appendix 

A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

SBA employees who have filed 

Employee Disputes under Standard 

Operating Procedure (SOP) 37 71. These 

individuals may be referred to as the 

employees, the appellants, or the 

grievants. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Correspondence, supporting 

documents, pleadings, orders, and 

decisions. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

SOP 37 71 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 Office of Personnel 

Management (OPM) or used in reporting 

to the OPM on labor-management 

relations activity. 

b. To a Hearing Examiner in response 

to another Agency’s inquiry, pursuant to 

established procedures. 

c. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

e. To the Office of the Special Counsel 

for any purpose consistent with its 

mission. 

f. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

g. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

h. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

Name of the employee who filed the 

dispute and/or appeal. 

SAFEGUARDS: 

Access and use limited to persons 

whose official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

Retention is in accordance with SOP 

00 41 2 30:02. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator for OHA, 

Chief Human Capital Officer and Field 

Managers. See Appendix A. 

14906 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

NOTIFICATION PROCEDURE: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Grievants, appellants, employees, 

personnel and employment records. 

SBA 16 

SYSTEM NAME: 

INVESTIGATIVE FILES—SBA 16 

SYSTEM LOCATION: 

Office of the Inspector General (OIG), 

Investigations Division offices and 

Federal Records Center (FRC). See 

Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Persons and other entities against 

whom are made allegations that are 

within the jurisdiction of the OIG to 

investigate; persons identified as 

making such allegations; or persons 

cross-referenced in investigative file or 

subsequent investigations. Applicants 

to, and participants in SBA programs, 

their principals, representatives and 

resource partners; contractors and 

parties to cooperative agreements and 

their principals, representatives, and 

other interested parties; governmental 

entities; SBA employees, members of 

the Advisory Councils, Service Corps of 

Retired Executive volunteers and others 

in connection with allegations of 

wrongdoing that are within the 

jurisdiction of the OIG to investigate. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Material provided to, gathered or 

created by OIG in investigating, or 

otherwise dealing with allegations that 

are within the jurisdiction of the OIG to 

investigate, documentation of 

allegations, consultations, decisions, 

interviews, records reviews, reports of 

investigations, and various 

correspondence, etc. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

General Act of 1978, as amended), 15 

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

U.S.C. 3101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To a court, magistrate, grand jury or 

administrative tribunal, or to opposing 

counsel in the course of hearings, trials 

or settlement negotiations. 

c. To any private or governmental 

source or person, in order to secure 

information relevant to an investigation, 

audit or other evaluation. 

d. To other Federal agencies 

conducting background checks; only to 

the extent the information is relevant to 

the requesting agencies’ function. 

e. To any Federal, State, local, foreign 

or international agency, in connection 

with such entity’s assignment, hiring 

and retention of an individual, issuance 

of a security clearance, reporting of an 

investigation of an individual, letting of 

a contract or issuance of a license, grant 

or other benefit, to the extent that the 

information is relevant and necessary to 

such agency’s decision on the matter. 

f. To a domestic, foreign, or 

international government agency 

maintaining civil, criminal, relevant 

enforcement or other pertinent 

information, for the assignment hiring 

or retention of an individual, the 

issuance of a security clearance, the 

letting of a contract, or the issuance of 

a license, grant, or other benefit. 

g. To Federal, State or local bar 

associations and other professional 

regulatory or disciplinary bodies for use 

in disciplinary proceedings and 

inquiries. 

h. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

i. To the General Accounting Office 

(GAO) for periodic reviews of SBA. 

j. To the Office of Government Ethics 

for any purpose consistent with their 

mission. 

k. To GAO, and to the General 

Services Administration’s Board of 

Contract Appeals in bid protest cases 

involving an agency procurement. 

l. To any Federal agency which has 

the authority to subpoena other Federal 

agencies’ records and has issued a valid 

subpoena. 

m. To the Department of Treasury and 

the Department of Justice (DOJ) when an 

agency is seeking an ex parte court order 

to obtain taxpayer information from the 

Internal Revenue Service. 

n. To debt collection contractors for 

collecting delinquent debts as 

authorized by the Debt Collection Act of 

1982, 31 U.S.C. 3718. 

o. To SBA volunteers, interns, 

grantees, experts and contractors who 

have been engaged by SBA to assist in 

the performance of a service related to 

this system of records and who need 

access to the records in order to perform 

this activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

p. To DOJ when any of the following 

is a party to litigation or has an interest 

in such litigation, and the use of such 

records by DOJ is deemed by SBA to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

q. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

r. To members of the President’s 

Council on Integrity and Efficiency, DOJ 

or other agencies for the purpose of 

conducting qualitative reviews of SBA 

OIG operations for the preparation of 

reports to the President and Congress on 

the activities of the Inspectors General, 

and for other uses in furtherance of the 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14907 

Inspector General Act of 1978, as 

amended. 

s. To the public when the matter 

under investigation has become public 

knowledge, or when the IG determines 

that such disclosure is necessary to 

preserve confidence in the integrity of 

the OIG investigative process, or to 

demonstrate the accountability of SBA 

employees, or other individuals covered 

by this system, or when there exists a 

legitimate public interest unless the IG 

determines that disclosure of the 

specific information in the context of a 

particular case would constitute an 

unwarranted invasion of personal 

privacy. 

t. To inform complainants, victims, 

and witnesses of the results of an 

investigation or inquiry. 

u. To a Federal agency responsible for 

considering debarment or suspension 

action if the record would be relevant to 

such action. 

v. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

File folders in filing cabinets or safes, 

or on shelves in locked file room, and 

electronic files. 

RETRIEVAL: 

Indexed by fiscal year closed and then 

by case number. Cross-referenced to the 

number(s) of the investigative file(s) 

containing related materials. 

SAFEGUARDS: 

All filing cabinets and file rooms are 

locked. Access to and use limited to 

those persons with official need to 

know; computers are protected by 

password and user identification codes. 

RETENTION AND DISPOSAL: 

Maintain in accordance with SOP 00 

41. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Investigations or designee. See 

Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Subject individual, Agency personnel, 

informants, financial institutions, the 

Federal Bureau of Investigation and 

other investigative Government 

agencies. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

system of records is exempt from the 

application of all provisions of section 

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

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

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

of (A) information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

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

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

the record compiled for law 

enforcement purposes or for the purpose 

of determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classified information is 

exempt from the notification, access, 

and contest requirements under 5 U.S.C. 

552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and 

(I), and (f) of the Agency regulations. 

This exemption is necessary in order to 

fulfill commitments made to protect the 

confidentiality of sources and to protect 

subjects of investigations from 

frustrating the investigatory process. 

SBA 17 

SYSTEM NAME: 

INVESTIGATIONS MANAGEMENT 

INFORMATION SYSTEM—SBA 17 

SYSTEM LOCATION: 

On dedicated server and shared drive 

accessible only to Office of the Inspector 

General (OIG), Investigations Division 

personnel and authorized Information 

Technology maintenance personnel. See 

Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED IN THE 

SYSTEM INCLUDES: 

Persons or other entities against 

whom are made allegations that are 

within the OIG’s jurisdiction to 

investigate, persons identified as 

making allegations or persons who are 

cross-referenced to an investigative file, 

principals, representatives of applicants, 

participants, contractors, grantees, 

participants in cooperative agreements, 

resource partners and their principals 

and representatives, and other 

interested parties participating in SBA 

programs. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Material gathered or created during 

preparation for, conduct of and followup on investigations conducted by OIG, 

the Federal Bureau of Investigation (FBI) 

and other Federal, State, local, or 

foreign regulatory or law enforcement 

agency. May include alphabetical 

indices of names and case numbers and 

information about allegations, decisions, 

investigative assignments and special 

techniques, and reports and results of 

investigations and time spent by 

investigators. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

General Act of 1978, as amended); 15 

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

3101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To a court, magistrate, grand jury or 

administrative tribunal, or to opposing 

counsel in the course of hearings, trials 

or settlement negotiations. 

c. To any private or governmental 

source or person, to the extent necessary 

14908 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

to secure information relevant to an 

investigation or audit. 

d. To other Federal agencies 

conducting background checks; only to 

the extent the information is relevant to 

the requesting agencies’ function. 

e. To any Federal, State, local, foreign 

or international agency, in connection 

with such entity’s assignment, hiring 

and retention of an individual, issuance 

of a security clearance, reporting of an 

investigation of an individual, letting of 

a contract or issuance of a license, grant 

or other benefit, to the extent that the 

information is relevant and necessary to 

such agency’s decision on the matter. 

f. To a domestic, foreign, or 

international government agency 

maintaining civil, criminal, relevant 

enforcement or other pertinent 

information, for the assignment hiring 

or retention of an individual, the 

issuance of a security clearance, the 

letting of a contract, or the issuance of 

a license, grant, or other benefit. 

g. To Federal, State or local bar 

associations and other professional 

regulatory or disciplinary bodies for use 

in disciplinary proceedings and 

inquiries. 

h. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

i. To the Office of Government Ethics 

for any purpose consistent with their 

mission. 

j. To General Accountability Office 

and to the General Services 

Administration’s Board of Contract 

Appeals in bid protest cases involving 

an agency procurement. 

k. To any Federal agency which has 

the authority to subpoena other Federal 

agencies’ records and has issued a valid 

subpoena. 

l. To the Department of Treasury and 

the Department of Justice (DOJ) when an 

agency is seeking an ex parte court order 

to obtain taxpayer information from the 

Internal Revenue Service. 

m. To debt collection contractors for 

collecting delinquent debts as 

authorized by the Debt Collection Act of 

1982, 31 U.S.C. 3718. 

n. To SBA volunteers, interns, 

grantees, experts and contractors who 

have been engaged by SBA to assist in 

the performance of a service related to 

this system of records and who need 

access to the records in order to perform 

this activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

o. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

p. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

q. To members of the President’s 

Council on Integrity and Efficiency, DOJ 

or other agencies for the purpose of 

conducting qualitative reviews of SBA 

OIG operations for the preparation of 

reports to the President and Congress on 

the activities of the Inspectors General, 

and for other uses in furtherance of the 

Inspector General Act of 1978, as 

amended. 

r. To the public when the matter 

under investigation has become public 

knowledge, or when the IG determines 

that such disclosure is necessary to 

preserve confidence in the integrity of 

the OIG investigative process, or to 

demonstrate the accountability of SBA 

employees, or other individuals covered 

by this system, or when there exists a 

legitimate public interest unless the IG 

determines that disclosure of the 

specific information in the context of a 

particular case would constitute an 

unwarranted invasion of personal 

privacy. 

s. To inform complainants, victims, 

and witnesses of the results of an 

investigation or inquiry. 

t. To a Federal agency responsible for 

considering debarment or suspension 

action if the record would be relevant to 

such action. 

u. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Self-contained system on dedicated 

server and shared drive. 

RETRIEVAL: 

Subjects’ name or Social Security 

number, company name, complainant’s 

name, case number, case name or 

agent’s name. 

SAFEGUARDS: 

Access to and use of these records is 

limited to those persons whose official 

duties require such access; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41. Retained on 

server and shared drive indefinitely. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Investigations or designee. See 

Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14909 

SOURCE CATEGORIES: 

Subject individual, Agency personnel, 

informants, the Federal Bureau of 

Investigation and other investigative 

Government agencies. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

system of records is exempt from the 

application of all provisions of section 

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

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

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

of (A) information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

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

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

the record compiled for law 

enforcement purposes or for the purpose 

of determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classified information is 

exempt from the notification, access, 

and contest requirements under 5 U.S.C. 

552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and 

(I), and (f) of the Agency regulations. 

This exemption is necessary in order to 

fulfill commitments made to protect the 

confidentiality of sources and to protect 

subjects of investigations from 

frustrating the investigatory process. 

SBA 18 

SYSTEM NAME: 

LEGAL WORK FILES ON 

PERSONNEL CASES—SBA 18 

SYSTEM LOCATION: 

Headquarters (HQ), Office of the 

Inspector General (OIG) and Field 

Offices. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM: 

SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Opinions, advice, transcripts, witness 

statements, etc. maintained by the 

Office of General Counsel on personnel 

cases. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

c. To the Office of Government Ethics 

for any purpose consistent with their 

mission. 

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that thesecurity or 

confidentiality of information in the 

system records has been compromised; 

SBAhas determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm toeconomic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of thissystem or other systems 

or programs (whether maintained by the 

Agency or entity) that rely uponthe 

compromised information; and the 

disclosure made to such agencies, 

entities and persons isreasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected orconfirmed compromise and 

prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By employee name. 

SAFEGUARDS: 

Access to and use limited to those 

persons with official need to know; 

computers are protected by password 

and user identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 70:01, 

70:07 and 70:11. 

SYSTEM MANAGER(S) AND ADDRESS: 

OGC and OIG. See Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Office of Human Capital Management 

and third party witnesses. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

system of records is exempt from the 

application of all provisions of section 

14910 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

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

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

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

of (A) information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

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

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

the record compiled for law 

enforcement purposes or for the purpose 

of determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classifiedinformation is 

exempt from the notification, access, 

and contest requirements under 5 U.S.C. 

§ 552a(c)(3), (d), (e)(1), (e)(4) (G), (H), 

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

regulations. This exemption is necessary 

in order to fulfill commitments made to 

protect the confidentiality of sources 

and to protect subjects of investigations 

from frustrating the investigatory 

process. 

SBA 19 

SYSTEM NAME: 

LITIGATION AND CLAIMS FILES— 

SBA 19 

SYSTEM LOCATION: 

Headquarters (HQ), Field Offices, 

Office of Inspector General Counsel 

Division, Disaster Loan Making Centers 

(DLMC) and Disaster Home Loan 

Servicing Centers (DHLSC). See 

Appendix A for addresses. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

All Disaster Home Loan recipients 

and individuals involved in lawsuits or 

claims pertaining to SBA. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Records relating to recipients 

classified as ‘‘in litigation’’ and all 

individuals involved in claims by or 

against the Agency. Wherever 

applicable: affidavits, briefs, pleadings, 

depositions and interrogatories, loan 

status summaries with litigation 

progress, opinions, copies of 

Department of Justice (DOJ) papers 

concerning loan case litigation, 

summary foreclosures, chattel lien 

searches, requests and responses under 

the Freedom of Information Act, loan 

modifications, recipients’ attorneys’ 

names, amount of liability, narrative 

report of actual and contingent 

liabilities and related correspondence. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or organization that 

investigates, prosecutes or enforces 

violations, statutes, rules, regulations or 

orders issued when the agency 

identifies a violation or potential 

violation of law arising by general or 

program statute, or by regulation, rule or 

order. 

b. To the Federal, State or local 

private credit agency maintaining civil, 

criminal or other relevant information to 

determine an applicant’s suitability for 

a loan; this may be requested 

individually or part of a computer 

match program. 

c. To a request from a State or Federal 

agency in connection with the issuance 

of a grant, loan or other benefit by that 

agency which is relevant to their 

decision on the matter; this may be 

requested individually or part of a 

computer match. SBA will provide 

information to the Department 

ofHousing and Urban Development 

(HUD) to be maintained in a central 

repository where agencies can request 

information on a case-by-case basis or as 

part of a computer match. 

d. To another Federal agency, 

including Defense Manpower Data 

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

conduct computer matching programs to 

locate delinquent SBA borrowers who 

are receiving Federal salaries or benefit 

payments. 

e. To a consumer reporting agency. 

f. To a court, magistrate, grand jury or 

administrative tribunal, opposing 

counsel during such proceedings or in 

settlement negotiations when presenting 

evidence. 

g. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

h. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required tocomply with the 

requirements of the Privacy Act of 1974, 

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

i. To DOJ when any of the following 

is a party to litigation or has an interest 

in such litigation, and the use of such 

records by DOJ is deemed by SBA to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent theemployee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

j. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

k. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14911 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By recipient and claimant name. 

SAFEGUARDS: 

Access to and use limited to those 

persons with official need to know; 

computers are protected by password 

and user identification codes. 

RETENTION AND DISPOSAL: 

In accordance with SOP 00 41 2 70:09 

and 70:13. 

SYSTEM MANAGER(S) AND ADDRESS: 

DLMC and DHLSC Directors and 

Counsel to the Inspector General. See 

Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 Item Nos. 

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

70:14 and 70:15, OGC NI–309–88–1, 

OGC NI 309–99–1, OGC NI–309–88–1. 

In accordance with National Archives 

and Records Administration General 

Records Schedule 14.11. 

SYSTEM MANAGER(S) AND ADDRESS: 

Office of General Counsel and Field 

Office Systems Manager. See Appendix 

A. 

SOURCE CATEGORIES: 

Subject employee, Agency personnel, 

the public, DOJ, bankruptcy notices, 

court records, title companies, and loan 

case files. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

system of records is exempt from the 

application of all provisions of section 

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

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

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

of (A) information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

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

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

record compiled for law enforcement 

purposes or for the purpose of 

determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classifiedinformation is 

exempt from the notification, access, 

and contest requirements under 5 U.S.C. 

552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and 

(I), and (f) of the Agency regulations. 

This exemption is necessary in order to 

fulfill commitments made to protect the 

confidentiality of sources and to protect 

subjects of investigations from 

frustrating the investigatory process. 

SBA 20 

SYSTEM NAME: 

DISASTER LOAN CASE FILE—SBA 

20 

SYSTEM LOCATION: 

Office of Disaster Assistance, DCMS 

Operations Center, Herndon, Virginia, 

SBA Disaster Loan Making Centers and 

SBA Loan Servicing Offices. Data 

hosting by contractor off site in secure 

locations per SBA Office of the Chief 

Information Officer standards. See 

Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Applicants and recipients of disaster 

home loans. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Information relating to preapplication registrants, disaster home 

and business loan applicants and 

recipients of a disaster home and 

business loans from the time of preapplication registration. Included are: 

Loan applications, supporting 

documents, personal history, financial 

statements, credit information, 

investigative reports, appraisers’ reports, 

waivers, loan record transfers, 

correspondence, recommendations, 

authorizations, disbursement amount, 

term and rate, payment history, 

collateral, UCC filings and re-filings, 

collection and liquidation activities, 

financial statements, settlements and 

compromises, participating bank 

information, field visit reports, 

borrowers insurance information and 

loan accounting information. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the public on approved loans, 

information is limited to recipient name 

and address, term and rate of the loan, 

and the apportioned amount of the loan 

for real or personal property loss. 

b. To provide information to potential 

investors who are interested in bidding 

on loans made available by the Agency 

in a sale of assets. Investors will be 

required to execute a confidentiality 

agreement prior to reviewing any record 

or information. 

c. To the public, under certain 

conditions, on losses incurred by the 

government due to non-payment of 

obligations by individuals. In these 

cases, the name and address of the 

obligator and amount incurred (amount 

written-off from Agency assets) will not 

be released to the public unless the 

borrower consents to disclosure or is 

required pursuant to the Freedom of 

Information Act. 

d. To the Federal, State, local or 

foreign agency or professional 

organization which has responsibility 

for investigating, prosecuting or 

enforcing violations, statute rules, 

regulations or orders issuedwhen the 

Agency locates a violation or potential 

violation of law whether arising by 

general or program statute, or by 

regulation, rule or order. 

e. To request information from a 

Federal, State or local agency or a 

private credit agency maintaining civil, 

criminal or other information relevant to 

determining an applicant’s suitability 

for a loan; thismay be requested 

individually or part of a computer 

match. 

f. In response to a request from a State 

or Federal agency in connection with 

the issuance of a grant, loan or other 

benefit by that agency which is relevant 

to their decision on the matter; this may 

be requested individually or part of a 

computer match. 

g. To other Federal agencies to 

conduct computer matching programs to 

locate delinquent SBA borrowers who 

14912 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

are receiving Federal salaries or benefit 

payments and programs to identify 

delinquent SBA borrowers receiving 

federal salaries or benefit payments. 

Disclosure will be madeif the records 

indicate the loan is in default, at least 

30 days past due or to update a previous 

disclosure. SBA will make disclosures 

to obtain repayments of debts under the 

provisions of theDebt Collection Act of 

1982 by voluntary repayment, or 

administrative or salary offset 

procedures. 

h. To a consumer reporting agency. 

i. To provide the Internal Revenue 

Service (IRS) with access to an 

individual’s records for an official audit 

to the extent the information is relevant 

to the IRS’s function. 

j. To a court, magistrate, grand jury or 

administrative tribunal, opposing 

counsel during such proceedings or in 

settlement negotiations when presenting 

evidence. 

k. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

l. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required tocomply with the 

requirements of the Privacy Act of 1974, 

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

m. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines thedisclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government,where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

n. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

o. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

p. To transmit data to U.S. 

Department of the Treasury to effect 

issuance of loan funds to borrowers. 

q. To the Federal Emergency 

Management Agency (FEMA) to 

coordinate the issuance of federal 

disaster assistance to disaster victims 

and monitor for duplication. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

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

Social Security Number or Employer 

Identification 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: 

In accordance with Standard 

Operating Procedure 00 41 2 Appendix 

18. 

SYSTEM MANAGER(S) AND ADDRESS: 

Disaster Loan Making Center 

Directors. Director, DCMS Operations 

Center. See Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Subject, individuals, SBA employees, 

financial institution, law enforcement 

agencies, IRS and FEMA. 

SBA 21 

SYSTEM NAME: 

LOAN SYSTEM—SBA 21 

SYSTEM LOCATION: 

Headquarters, Regional Offices, 

District Offices, Branch Offices, 

Processing Centers, and Servicing 

Centers. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM: 

Individuals (i.e., borrowers, 

guarantors, principals of businesses 

named in loan records), throughout the 

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

of the Agency’s business (non-disaster) 

loan programs. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Personal and commercial information 

(i.e., credit history, financial 

information, identifying number or 

other personal identifier) on individuals 

named in business loan files, 

throughout the life of SBA’s interest in 

the loan, under all of the Agency’s 

business (non-disaster) loan programs. 

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 USES AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED, OR REFERRED: 

a. To SBA Resource Partner, its 

successors or assigns, (i.e. participating 

lender, certified development company, 

micro lender) who initially collected the 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14913 

individual’s information for the purpose 

of making and servicing loans. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To the Federal, state, local or 

foreign agency or organization which 

investigates, prosecutes, or enforces 

violations, statues, rules, regulations, or 

orders issued when an agency identifies 

a violation or potential violation of law, 

arising by general or program statute, or 

by regulation, rule, or order. 

e. To qualified investors who have 

signed a confidentiality agreement 

related to review of files for the purpose 

of evaluating, negotiating and 

implementing the purchase of loans 

from SBA as a part of SBA’s Asset Sales 

program. 

f. To request information from a 

Federal, State, local agency or a private 

credit agency maintaining civil, 

criminal or other information relevant to 

determining an applicant’s suitability 

for a business loan. This applies to 

individuals involved in business loans. 

g. To a recipient who has provided 

the agency with advance adequate 

written assurance that the record will be 

used solely as a statistical research or 

reporting record, and the record is to be 

transferred in a form that is not 

individually identifiable. 

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

participating contractors for purposes of 

the Loan and Lender Monitoring 

System. 

i. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

j. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

k. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security and 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Electronic Records are in a secured 

server and paper records are in files. 

Loan files are in a secured area in either 

locked files or locked file rooms. 

RETRIEVABILITY: 

Electronic Records: By individual 

name, personal identifier, SBA 

Identifier, Participating Lender 

Identifier, Participating Lender Name, 

business name, and business identifier. 

Paper Records: By individual name, 

personal identifier and SBA Identifier. 

SAFEGUARDS: 

Electronic Records: Access and use is 

limited to Agency officials acting in 

their official capacities, with a need-toknow, and to SBA Resource Partners. 

Access and use by SBA Resource 

Partners will generally be via the 

Internet, with restricted password(s)/ 

passcode(s). SBA Resource Partners, 

their successors or assigns, will have 

access only to those individual records 

that were collected by that particular 

partner. Information contained in files 

will be available only to potential asset 

sale purchasers who have executed a 

confidentiality agreement. Only SBA 

employees in the performance of their 

official duties, who are granted access to 

the records by Agency issuance of User 

ID and/or passcode, may amend or 

review the records. Paper Records: 

Access and use is limited to SBA 

officials acting in their official 

capacities, with a need-to-know. SBA 

Resource Partners, their successors or 

assigns, will have access only to the 

individual records that were collected 

by that particular partner. Information 

contained in loan files will be available 

only to potential asset sale purchasers 

who have executed a confidentiality 

agreement. Only those SBA employees 

in the performance of their official 

duties may review or amend the 

records. 

RETENTION AND DISPOSAL: 

In accordance with SBA Standard 

Operating Procedure 00 41 2, Item Nos. 

50:04, 50:08, 50:09, 50:10, 50:11, 50:12, 

50:13, 50:19, 50:22, 55:02. Records are 

retained for the life of SBA’s interest in 

the business loan and are disposed of 

according to the reference in the SOP 

that pertains to a particular type of 

record; retention period varies 

according to the type of record. 

SYSTEM MANAGERS AND ADDRESSES: 

Associate Administrator for Capital 

Access, Associate Administrator for 

Lender Oversight, Associate 

Administrator for Financial Assistance, 

Regional Administrators, District 

Directors, Branch Managers, Loan 

Service Center Director and Loan 

Processing Centers Directors. See 

Appendix A. 

NOTIFICATION PROCEDURE: 

An individual may submit a written 

record inquiry to the appropriate 

Systems Manager or PA Officer. 

RECORDS ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING RECORD PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

14914 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

RECORD SOURCE CATEGORIES: 

Subject individuals and businesses, 

financial institutions, credit reporting 

agencies, law enforcement agencies and 

SBA resource partners. 

SBA 22 

SYSTEM NAME: 

OUTSIDE EMPLOYMENT FILES— 

SBA 22 

SYSTEM LOCATION: 

Headquarters (HQ) and Field Offices. 

See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

SBA employees who have requested 

permission for outside employment. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Correspondence concerning requests 

for outside employment. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

c. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

d. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

e. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By employee name. 

SAFEGUARDS: 

Access and use limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with Standard 

Operating Procedure 00 41 2 Item 2 

30.01. 

SYSTEM MANAGER(S) AND ADDRESS: 

HQ, Counsel to the Inspector General 

and Field Managers. See Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Requesting employee and other 

Agency personnel. 

SBA 23 

SYSTEM NAME: 

PAYROLL FILES—SBA 23 

SYSTEM LOCATION: 

Office of Human Capital Management 

and Office of Inspector General (for OIG 

employees), both at Headquarters (HQ). 

See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Active and inactive SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Employee name, Social Security 

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

and salary; organization, retirement and 

FICA codes and date as applicable; 

Federal, State and local tax deductions; 

savings bond and charity deductions; 

co-owner and/or beneficiary of bonds, 

insurance deduction and plan or code; 

cash award data; union dues 

deductions; type and amount of 

allotments; financial institution code 

and account number; status and data on 

all types of leave; time and attendance 

records, including breakdown of hours 

worked; mailing address; marital status 

and number of dependents; notification 

of Personnel Actions; unemployment 

records; register of separations; annual 

leave restoration; over-payment 

indebtedness; correspondence from 

employees concerning payroll. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Title 6 General Accountability Office 

Policy and Procedures Manual, 31 

U.S.C. Part 285, Sections 112(a) and 113 

of the Budget and Accounting 

Procedures Act of 1950 and 5 USC 

Chapters 55 through 63. 

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 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14915 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To transmit data to U.S. 

Department of Treasury to effect 

issuance of paychecks to employees and 

distribution of pay according to 

employee directions for savings bonds, 

allotments, financial institutions, and 

other authorized purposes. 

c. To GAO for audit purposes. 

d. To the Internal Revenue Service 

and appropriate State and local 

authorities when reporting tax 

withholding; FICA deductions to the 

Social Security Administration; dues 

deductions to labor unions; 

withholdings for health insurance to 

insurance carriers and the Office of 

Personnel Management; charity 

contribution deductions to agents of 

charitable institutions; annual W–2 

statements to taxing authorities and the 

individual. 

e. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

f. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

g. To the Office of Child Support 

Enforcement, Administration for 

Children and Families, Department of 

Health and Human Services to locate 

individuals in order to establish 

paternity and modify orders of child 

support, identify sources of income, and 

other child support enforcement actions 

as required by the Personal 

Responsibility and Work Opportunity 

Reconciliation Act Welfare Reform law, 

Public Law 104–193), SBA will provide 

the names, SSN, home addresses, dates 

of birth and hire, quarterly earnings, 

employer identifying information, and 

State of hire of employees. 

h. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

i. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

j. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

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, HQ. See 

Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Subject employee, individuals, 

supervisors, timekeepers, official 

personnel records, and IRS. 

SBA 24 

SYSTEM NAME: 

PERSONNEL SECURITY FILES—SBA 

24 

SYSTEM LOCATION: 

Office of Inspector General (OIG), 

Investigations Division, Office of 

Security Operations. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Active and inactive SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Active and inactive personnel 

security files, employee or former 

employee’s name, background 

information, personnel actions, Office of 

Personnel Management (OPM) and/or 

authorized contracting firm background 

investigations. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

General Act of 1978, as amended); 15 

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

3101, Executive Order 10450, as 

amended. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

14916 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To other Federal Agencies, upon 

request, that are conducting background 

checks. 

c. To a grand jury, court, magistrate, 

administrative tribunal, or to opposing 

counsel in the course of hearings, trials 

or settlement negotiations. 

d. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

e. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

f. To OPM in accordance with that 

agency’s authority to evaluate Federal 

personnel management. 

g. To the Merit Systems Protection 

Board in connection with its 

consideration of appeals of personnel 

actions. 

h. To physicians conducting fitness 

for duty examinations. 

i. To any Federal, State, local, foreign 

or international agency, in connection 

with their assignment, hiring or 

retention of an individual, issuance of a 

security clearance, reporting of an 

investigation of an individual, letting of 

a contract or issuance of a license, grant 

or other benefit, to the extent the 

information is relevant to their decision 

on the matter. 

j To a grand jury agent pursuant either 

to a Federal or State grand jury 

subpoena or to a prosecution request 

that record be released for introduction 

to a grand jury. 

k. To the Office of Government Ethics 

for any purpose consistent with their 

mission. 

l. To members of the President’s 

Council on Integrity and Efficiency, the 

Department of Justice or other agencies 

for the purpose of conducting 

qualitative reviews of SBA OIG 

operations for the preparation of reports 

to the President and Congress on the 

activities of the Inspectors General, and 

for other uses in furtherance of the 

Inspector General Act of 1978, as 

amended. 

m. To DOJ when any of the following 

is a party to litigation or has an interest 

in such litigation, and the use of such 

records by DOJ is deemed by SBA to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

n. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

o. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Rotary diebold power files and 

electronic data systems. OPM National 

Agency checks that are not immediately 

referred to OPM are maintained in 

locked safes. 

RETRIEVAL: 

By employee name. 

SAFEGUARDS: 

All file cabinets are locked. Access 

and use limited to persons with official 

need to know; computers are protected 

by password and user identification 

codes. 

RETENTION AND DISPOSAL: 

In accordance with SOP 00 41. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Investigations or designee. See 

Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Assistant Inspector General for 

Investigations or designee. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

SBA employees, Office of Human 

Capital Management, witnesses and 

OPM. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

investigatory material in the record 

compiled for law enforcement purposes 

or for the purpose of determining 

suitability, eligibility, or qualifications 

for Federal civilian employment, 

Federal contracts, or access to classified 

information is exempt from the 

notification, access and contest 

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

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

of the Agency regulations. This 

exemption is necessary in order to fulfill 

commitments made to protect the 

confidentiality of sources and to 

maintain access to sources necessary in 

making determinations of suitability for 

employment. 

SBA 25 

SYSTEM NAME: 

PORTFOLIO REVIEWS—SBA 25 

SYSTEM LOCATION: 

Headquarters, Disaster Loan Making 

Centers (DLMC) and Disaster Home 

Loan Service Centers (DHLSC). See 

Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Recipients of SBA Disaster Home 

Loans. 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14917 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Reports compiled by the Office of 

Portfolio Review during review of field 

office loan processing. Disaster Home 

Loans may be included. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Government Accountability 

Office in the course of their review of 

the Agency. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By borrower’s name, loan number and 

Social Security Number. 

SAFEGUARDS: 

Access and use limited to persons 

with official need to know; personnel 

screening and computer passwords used 

to prevent unauthorized disclosure. 

RETENTION AND DISPOSAL: 

In accordance with SOP 00 41 2 Item 

Nos. 95:04 and 95:06. 

SYSTEM MANAGER(S) AND ADDRESS: 

DLMC Directors and DHLSC 

Managers. See Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Office of Portfolio Review, Loan Case 

Files, SBA personnel and field visits to 

borrowers. 

SBA 26 

SYSTEM NAME: 

POWER OF ATTORNEY FILES—SBA 

26 

SYSTEM LOCATION: 

Field Offices. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDE: 

Insurance agents who have the 

authority to execute a surety bond. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDE: 

Records that identify individuals 

authorized to execute bonds for surety 

companies. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

3101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To SBA volunteers, contractors, 

interns, grantees, and experts who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

c. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

d. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

14918 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

e. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By agent and broker name. 

SAFEGUARDS: 

Access and use limited to persons 

with an official need to know; personnel 

screening and computer passwords used 

to prevent unauthorized disclosure. 

RETENTION AND DISPOSAL: 

In accordance with SOP 00 41 2 Item 

No. 50:21. 

SYSTEM MANAGER(S) AND ADDRESSES: 

Field Office Systems Managers. See 

Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Authorizing surety company. 

SBA 27 

SYSTEM NAME: 

EMPLOYEE MISCONDUCT FILES— 

SBA 27 

SYSTEM LOCATION: 

Office of the Inspector General (OIG), 

Investigations Division Offices, 

Headquarters duty stations in the field 

and Federal Record Center. See 

Appendix for SBA addresses. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Active SBA employees that are 

subjects of investigations involving 

alleged administrative violations or 

irregularities that may warrant 

administrative disciplinary action. 

Inactive SBA employees that are subject 

of Workers’ Compensation 

Investigations. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Material gathered or created during 

preparation for, conduct of and followup on investigations conducted by OIG, 

the Federal Bureau of Investigation (FBI) 

and other Federal, State, local or foreign 

regulatory or law enforcement agencies 

as well as other material submitted to or 

gathered by OIG in furtherance of its 

investigative function. These records 

include FBI and other Federal, State, 

local and foreign regulatory or law 

enforcement investigative reports, 

personal history statements, background 

character checks, field investigations, 

arrest and conviction records, parole 

and probation data, recommendations 

and related correspondence. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

General Act of 1978, as amended), 15 

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

3101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To a grand jury, court, magistrate, 

administrative tribunal, or to opposing 

counsel in the course of hearings, trials 

or settlement negotiations. 

c. To any private or governmental 

source or person to secure information 

relevant to an investigation or audit. 

d. To other Federal agencies 

conducting background checks, to the 

extent the information is relevant to 

their function. 

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

international, private agency or 

organization for the hiring or retention 

of an individual, issuance of a security 

clearance, reporting of an investigation 

of an individual, letting of a contract or 

issuance of a license, grant or other 

benefit, to the extent the information is 

relevant to their decision on the matter. 

f. To Federal, State or local bar 

associations and other professional 

regulatory or disciplinary bodies for use 

in disciplinary proceedings and 

inquiries. 

g. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

h. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

i. To the Office of Government Ethics 

or the Office of Personnel Management 

for any purpose consistent with their 

respective missions. 

j. To the Government Accountability 

Office and to the General Service 

Administration’s Board of Contract 

Appeals in bid protest cases involving 

an agency procurement. 

k. To any Federal agency which has 

the authority to subpoena other Federal 

agencies’ records and has issued a valid 

subpoena. 

l. To the Department of the Treasury 

and the Department of Justice (DOJ) 

when an agency is seeking an ex parte 

court order to obtain taxpayer 

information from the Internal Revenue 

Service. 

m. To debt collection contractors 

collecting delinquent taxes authorized 

by the Debt Collection Act of 1982, 31 

U.S.C. 3718. 

n. To third parties during the course 

of an investigation to the extent 

necessary to obtain information 

pertinent to the investigation. 

o. To a grand jury agent pursuant to 

a Federal or State grand jury subpoena 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14919 

or to a prosecution request that records 

be introduced to a grand jury. 

p. To DOJ to obtain advice regarding 

FOIA disclosure obligations. 

q. To the Office of Management and 

Budget to obtain that advice regarding 

PA obligations. 

r. To members of the President’s 

Council on Integrity and Efficiency, DOJ 

or other agencies for the purpose of 

conducting qualitative reviews of SBA 

OIG operations for the preparation of 

reports to the President and Congress on 

the activities of the Inspectors General, 

and for other uses in furtherance of the 

Inspector General Act of 1978, as 

amended. 

s. To DOJ when any of the following 

is a party to litigation or has an interest 

in such litigation, and the use of such 

records by DOJ is deemed by SBA to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

t. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

u. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Rotary diebold power files, 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. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Investigations or designee. See 

Appendix A. 

NOTIFICATION PROCEDURE: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Assistant Inspector General for 

Investigations or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Subject individual, SBA personnel, 

informants, and investigative 

Government agencies, such as the FBI. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

system of records is exempt from the 

application of all provisions of section 

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

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

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

of (A) information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

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

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

the record compiled for law 

enforcement purposes or for the purpose 

of determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classified information is 

exempt from the notification, access, 

and contest requirements under 5 U.S.C. 

552a (c)(3), (d), (e)(1), (e)(4) (G), (H), and 

(I), and (f) of the Agency regulations. 

This exemption is necessary in order to 

fulfill commitments made to protect the 

confidentiality of sources and to protect 

subjects of investigations from 

frustrating the investigatory process. 

SBA 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, Advocate, 

Minority Small Business Person and 

Phoenix Awards. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Information regarding the candidacy 

and selection of Small Business Person 

of the Year, Minority Small Business 

Person and Advocate of the Year, 

applications, biographical summaries, 

correspondence, recommendations and 

narratives. Records of Community 

Development Awards in HQ include 

biographical and qualifying information 

and recommendations from field offices. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

14920 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the news media for public 

disclosure of the name, address, and 

biography of award recipients. 

b. To communicate with State and 

local governments about the status of a 

particular candidate. 

c. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

e. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

f. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

g. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

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: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORY: 

Subject individual, individual 

sponsors, Advisory Council members, 

Agency personnel, research 

publications, directories and news 

media. 

SBA 29 

SYSTEM NAME: 

STANDARDS OF CONDUCT FILES— 

SBA 29 

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: 

Confidential employment and 

financial statements of employees Grade 

13 and above, Grade 12 Branch 

Managers and other designated 

individuals. Ad Hoc Committee 

decisions and memoranda concerning 

standards of conduct questions used as 

precedent for later decisions (HQ only). 

Correspondence concerning conflicts of 

interest. List of all SBA employees who 

have been indicted or convicted in 

matters involving SBA business. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

13 CFR 105 Sections 101 and 401. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To a court, magistrate, grand jury or 

administrative tribunal, opposing 

counsel during such proceedings or in 

settlement negotiations when presenting 

evidence. 

c. To the Office of Personnel 

Management when requested. 

d. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

e. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

f. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14921 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

g. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

h. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

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: 

Office of Human Capital Management, 

OIG, PA Officer and Field Office 

Directors. See Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Confidential statement of employment 

and financial interests by the employee. 

Adverse information could come from 

other employees or a member of the 

general public with specific knowledge 

of the matter reported. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

investigatory material in the record 

compiled for the purpose of determining 

suitability, eligibility, or qualifications 

for Federal civilian employment, 

Federal contracts, or access to classified 

information is exempt from the 

notification, access, and contest 

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

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

of the Agency regulations. This 

exemption is necessary in order to fulfill 

communications made to protect the 

confidentiality of sources and maintain 

access to sources necessary in making 

determinations of suitability. 

SBA 30 

SYSTEM NAME: 

SERVICING AND CONTRACTS 

SYSTEM/MINORITY ENTERPRISE 

DEVELOPMENT HEADQUARTERS 

REPOSITORY—SBA 30 

SYSTEM LOCATION: 

Headquarters and Field Offices. See 

Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDE: 

Applicants and program participants 

in SBA’s 8(a) Business Development 

program. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDE: 

8(a) Business Development program 

applications, business development 

working files, business plan files and 

contract files containing personal and 

financial information. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Public Law 100–656, Small Business 

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

and Management Assistance); Public 

Law 100–656, 15 U.S.C. 637, section 

8(a) (Business Development). 

PURPOSE: 

To collect confidential business and 

financial information used to determine 

if applicants and current 8(a) 

participants are in compliance with 

statutory and regulatory requirements 

for continued eligibility for program 

participation. This information 

facilitates the Agency in carrying out the 

functions of the Office of 8(a) Business 

Development. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED, OR REFERRED: 

a. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

b. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

c. To the Federal, state, local or 

foreign agency or professional 

organization which investigates, 

prosecutes, or enforces violation or 

potential violation of law, arising by 

general or program statute, or by 

regulation, rule, or order. 

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

14922 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORAGE, 

RETRIEVAL, ACCESS, RETENTION AND DISPOSAL 

OF RECORDS: 

STORAGE: 

Electronic database records reside on 

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: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

PA Officer or Field Office Systems 

Manager will determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

RECORD SOURCE CATEGORIES: 

Small business applicants or 

participants in the 8(a) Business 

Development program. 

SBA 31 

SYSTEM NAME: 

TEMPORARY DISASTER 

EMPLOYEES—SBA 31 

SYSTEM LOCATION: 

Office of Disaster Assistance: HQ and 

Field locations. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM: 

Employees who have been 

temporarily employed by the ODA. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Name, address, telephone number, 

Social Security Number (SSN), Disaster 

Area, job series, grade and title, dates of 

employment, reason for termination, 

supervisor’s name and job and summary 

of supervisor’s evaluation. Possible 

violations of the Agency’s Standards of 

Conduct (13 CFR Part 105) and 

information, if any, concerning official 

investigations and disciplinary actions 

taken. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED, OR REFERRED: 

a. To verify previous employment 

with SBA when a former employee is 

considered for reemployment. 

b. To locate current or former 

employees with special skills or 

language capabilities needed in specific 

situations. 

c. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

d. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

e. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

f. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

g. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14923 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORAGE, 

RETRIEVAL, ACCESS, RETENTION AND DISPOSAL 

OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name and/or SSN. 

SAFEGUARDS: 

Access and use limited to persons 

with official need to know; computers 

are protected by password and user 

identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Records 

and Archives Administration General 

Records Schedule 1.10. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Administrator for Disaster 

Assistance. See Appendix A. 

NOTIFICATION PROCEDURE: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Disaster Loan Making Centers. 

SBA 32 

SYSTEM NAME: 

TORT CLAIMS—SBA 32 

SYSTEM LOCATION: 

Headquarters (HQ), Field Offices, 

Disaster Loan Making Centers (DLMC) 

and Federal Records Center (FRC). See 

Appendix A for SBA addresses. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Government employees and other 

individuals involved in accidents. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Contains reports on accidents which 

result in tort claims involving the 

Government. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED, OR REFERRED: 

a. To the Department of Justice (DOJ) 

for handling of the suit and the 

preparation and presentation of the case 

in the event that a tort claim results in 

a court suit. 

b. To the General Services 

Administration for reporting on 

accidents and tort claims. 

c. To a rental car company 

responsible for personal injuries and 

property damage. 

d. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

e. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

f. To DOJ when any of the following 

is a party to litigation or has an interest 

in such litigation, and the use of such 

records by DOJ is deemed by SBA to be 

relevant and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

g. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

h. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORAGE, 

RETRIEVAL, ACCESS, RETENTION AND DISPOSAL 

OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

Name of government employee or 

involved individual(s). 

SAFEGUARDS: 

Locked cabinets. Access and use 

limited to persons with official need to 

know; computers are protected by 

password and user identification codes. 

RETENTION AND DISPOSAL: 

In accordance with National Archives 

and Records Administration General 

Records Schedule 6.10. 

SYSTEM MANAGER(S) AND ADDRESS: 

Field Office Systems Manager or 

DLMC Director. See Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

14924 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Individuals involved in accident, 

witnesses, investigation of the accident. 

SBA 33 

SYSTEM NAME: 

TRAVEL FILES—SBA 33 

SYSTEM LOCATION: 

All SBA offices, Denver Financial 

Center and Federal Records Center. See 

Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM: 

SBA employees. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Employee travel vouchers. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED, OR REFERRED: 

a. To the appropriate Federal, State, 

local or foreign agency or professional 

organization which has responsibility 

for investigating, prosecuting or 

enforcing violations, statutes, rules, 

regulations or orders issued when the 

Agency identifies a violation or 

potential violation of law arising by 

general or program statute, by 

regulation, rule or order. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

e. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

f. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected orconfirmed compromise and 

prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORAGE, 

RETRIEVAL, ACCESS, RETENTION AND DISPOSAL 

OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By employee name. 

SAFEGUARDS: 

Access and use limited to persons 

with official need to know; computers 

are protected by passwords and user 

identification codes. 

RETENTION AND DISPOSAL: 

Records are maintained according to 

National Archives and Records 

Administration’s General Record 

Schedule 6.1.a. 

SYSTEM MANAGER(S) AND ADDRESS: 

Chief Financial Officer. See Appendix 

A for address. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

System Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Employees Travel Vouchers. 

SBA 34 

SYSTEM NAME: 

IDENTITY MANAGEMENT 

SYSTEM—SBA 34 

SYSTEM LOCATION: 

Headquarters (HQ), contractor 

provided hosted facility. (see Appendix 

A). 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Individuals who require regular, 

ongoing access to SBA facilities, 

including, applicants for employment or 

contracts, federal employees, 

contractors, students, interns, 

volunteers, and individuals authorized 

to perform or use services provided in 

SBA facilities (e.g., Credit Union, 

Fitness Center, etc.). The system does 

not apply to occasional visitors or shortterm guests to whom SBA will issue 

temporary identification and 

credentials. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Full name, social security number; 

date of birth; signature; image 

(photograph); fingerprints; hair color; 

eye color; height; weight; organization/ 

office of assignment; company name; 

telephone number; copy of background 

investigation form; personal addresses 

for past 5 years; high school and college 

attended (as applicable); Card Holder 

Unique Identification Number; Personal 

Identification Number; Personal Identity 

Verification (PIV) enrollment package; 

PIV card issue and expiration dates; 

personal identification number; results 

of background investigation; PIV request 

form; PIV registrar approval signature; 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14925 

PIV card serial number; emergency 

responder designation; PIV card 

expiration date; copies of documents 

used to verify identification or 

information derived from those 

documents; level of national security 

clearance and expiration date; computer 

system user name; user access and 

permission rights, authentication 

certificates; digital signature 

information; National Agency Check 

with Written Inquiries investigation; 

fingerprint check; National Criminal 

History Name Check, information 

technology systems, or information 

classified in the interest of national 

security. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 301; Federal Information 

Security Act (Pub. L. 104–106, sec. 

5113), Electronic Government Act (Pub. 

L. 104–347, sec. 203), Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501), 

Government Paperwork Elimination Act 

(Pub. L. 105–277, 44 U.S.C. 3504), 

Homeland Security Presidential 

Directive 12, Federal Property and 

Administrative Act of 1949, as 

amended. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To National Archives and Records 

Administration or to the General 

Services Administration for records 

management inspections conducted 

under 44 U.S.C. 2904 and 2906. 

b. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

c. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

d. To a Federal, State, local, foreign, 

or tribal or other public authority of the 

fact that this system of records contains 

information relevant to the retention of 

an employee, the retention of a security 

clearance, the letting of a contract, or 

the issuance or retention of a license, 

grant, or other benefit with appropriate 

restrictions on further disclosure. 

e. To the Office of Management and 

Budget (OMB) when necessary for the 

review of private relief legislation 

pursuant to OMB Circular No. A–19. 

f. To a Federal, State, or local agency, 

or other appropriate entities or 

individuals, or through established 

liaison channels to selected foreign 

governments, in order to enable an 

intelligence agency to carry out its 

responsibilities under the National 

Security Act of 1947 as amended, the 

CIA Act of 1949 as amended, Executive 

Order 12333 or any successor order, 

applicable national security directives, 

or classified implementing procedures 

approved by the Attorney General and 

promulgated pursuant to such statutes, 

orders or directives. 

g. To notify another Federal agency 

when, or verify whether a PIV card is no 

longer valid. 

h. To a supervisor or manager in order 

to verify employee time and attendance 

record for personnel actions. Note: 

Disclosures within SBA of data 

pertaining to date and time of entry and 

exit of an agency employee working in 

the District of Columbia may not be 

made to supervisors, managers or any 

other persons (other than the individual 

to whom the information applies) to 

verify the employee time and 

attendance record for personnel actions 

because 5 U.S.C. 6106 prohibits Federal 

Executive agencies (other than the 

Bureau of Engraving and Printing) from 

using a recording within the District of 

Columbia, unless used as a part of a 

flexible schedule program under 5 

U.S.C. 6120 et seq. 

i. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

j. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individualcapacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

k. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND 

DISPOSING OF RECORDS: 

STORAGE: 

Records are stored in electronic media 

and in paper files and not on the card. 

RETRIEVABILITY: 

Records are retrievable by name, 

social security number, PIV card serial 

number, or Card Holder Unique 

Identification Number. 

SAFEGUARDS: 

Paper records are kept in locked 

cabinets in secure facilities, access is 

restricted to individuals whose role 

requires use of the records. Access to 

facilities will be controlled by the PIV 

card, the System requires a PIV card to 

log on and to digitally sign transactions. 

The computer servers storing the 

records are located in facilities that are 

secured by alarm systems and off-master 

key access. The computer servers are 

password-protected. Access to 

individuals working at guard stations is 

password-protected; each person 

granted access to the system at guard 

stations must be individually authorized 

to use the system. A Privacy Act 

Warning Notice appears on the monitor 

screen when PIV records are first 

displayed. Data exchanged between the 

servers and the client PCs at the guard 

stations and badging office are 

encrypted. Backup tapes are stored in a 

14926 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

locked and controlled room in a secure, 

off-site location. An audit trail is 

maintained and reviewed periodically 

to identify unauthorized access. Persons 

given roles in the PIV process must 

complete training specific to their roles 

to ensure their knowledge about how to 

protect individually identifiable 

information. The system uses the high 

risk confidentiality and integrity 

security controls specified in the 

National Institute of Standards and 

Technology Special Publication 800–53. 

RETENTION AND DISPOSAL: 

Records relating to persons covered 

by this system are retained in 

accordance with General Records 

Schedule 18, Item 17. Unless retained 

for specific, ongoing security 

investigations, for maximum security 

facilities, records of access are 

maintained for five years and then 

destroyed by wiping hard drives and 

shredding paper. For other facilities, 

records are maintained for two years 

and then destroyed by wiping hard 

drives and shredding paper. All other 

records relating to employees are 

destroyed two years after ID security 

card expiration date. In accordance with 

FIPS 201–1, PIV Cards are deactivated 

within 18 hours of cardholder 

separation, notification of loss of card, 

or expiration. The information on PIV 

Cards is maintained in accordance with 

General Records Schedule 11, Item 4. 

PIV Cards that are turned in for 

destruction are shredded within 90 

days. 

SYSTEM MANAGER(S) AND ADDRESSES: 

Assistant Administrator/Human 

Capital Management, Associate 

Administrator/Disaster Assistance, or 

designees, PA Officer. See Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry either in person or in writing to 

the System Manager or the PA Officer. 

When requesting notification of or 

access to records, an individual should 

provide their full name, date of birth, 

and work location. Individuals 

requesting notification of records in 

person must provide identity 

documents sufficient to satisfy the 

custodian of the records that the 

requester is entitled to access, such as 

a government-issued photo ID. 

Individuals requesting notification via 

mail or telephone must furnish, at 

minimum, name, date of birth, social 

security number, and home address in 

order to establish identity. 

ACCESS PROCEDURES: 

System Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Employee, contractor, or applicant; 

sponsoring SBA; former sponsoring 

SBA; other Federal agencies; contract 

employer; former employer. 

SBA 35 

SYSTEM NAME: 

NON-EMPLOYMENT RELATED 

BACKGROUND CHECKS—SBA 35 

SYSTEM LOCATION: 

Office of Inspector General (OIG), 

Investigations Division, Office of 

Security Operations. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Applicants for SBA loans or other 

assistance. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Information about applicants for SBA 

loans or other assistance or recognition, 

including application forms, such as 

SBA Form 912 and related fingerprint 

cards, criminal history and other 

records checks and correspondence 

concerning background. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

General Act of 1978, as amended); 15 

U.S.C. Chapters 14A and 14B, and 44 

U.S.C. 3101. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal Bureau of 

Investigation (FBI) and other agencies, 

for the purpose of obtaining criminal 

history records and other information 

relevant to determining applicant 

suitability. 

b. To the Federal, State, local or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

c. To other Federal Agencies, upon 

request, that are conducting background 

checks. 

d. To a court, magistrate judge, grand 

jury or administrative tribunal, 

opposing counsel during such 

proceedings or in settlement 

negotiations when presenting evidence. 

e. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

f. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

g. To any Federal, State, local, foreign 

or international agency, in connection 

with their assignment, hiring or 

retention of an individual, issuance of a 

security clearance, reporting of an 

investigation of an individual, letting of 

a contract or issuance of a license, grant 

or other benefit, to the extent the 

information is relevant to their decision 

on the matter. 

h. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

i. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

j. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 14927 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identify theft or 

fraud, or harm to the security of 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

k. To members of the President’s 

Council on Integrity and Efficiency, DOJ 

or other agencies for the purpose of 

conducting qualitative reviews of SBA 

OIG operations for the preparation of 

reports to the President and Congress on 

the activities of the Inspectors General, 

and for other uses in furtherance of the 

Inspector General Act of 1978, as 

amended. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Rotary diebold power files and 

electronic data systems. 

RETRIEVAL: 

By applicant name and/or Social 

Security number. 

SAFEGUARDS: 

All file cabinets are locked. Access 

and use limited to persons with official 

need to know; computers are protected 

by password and user identification 

codes. 

RETENTION AND DISPOSAL: 

In accordance with SOP 00 41. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Inspector General for 

Investigations or designee. See 

Appendix A. 

NOTIFICATION PROCEDURES: 

Individuals may make record 

inquiries in person or in writing to the 

Systems Manager or PA Officer. 

ACCESS PROCEDURES: 

Assistant Inspector General for 

Investigations or designee. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

Person(s) applying for SBA loans or 

other assistance, other federal agencies, 

including the FBI, and SBA personnel. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

records in this system of records are 

exempt from the application of all 

provisions of section 552a except 

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

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

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

information compiled for the purpose of 

identifying individual criminal 

offenders and alleged offenders and 

consisting only of identifying data and 

notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

SBA 36 

SYSTEM NAME: 

SUSPENSION AND DEBARMENT 

FILES—SBA 36 

SYSTEM LOCATION: 

Office of the Inspector General (OIG) 

Counsel Division. See Appendix A. 

CATEGORIES OF INDIVIDUALS COVERED BY THE 

SYSTEM INCLUDES: 

Individuals covered by the system 

include the individuals or entities who 

have been considered for suspension 

and/or debarment, recommended for 

suspension and/or debarment, or 

formally suspended and/or debarred, 

persons providing information used by 

the recommending person or the 

suspending/debarring officials. 

CATEGORIES OF RECORDS IN THE SYSTEM 

INCLUDES: 

Records consist of materials compiled 

from investigations and/or audits which 

identify violations which may be cause 

for suspension or debarment pursuant to 

the Federal Acquisition Regulations or 

the government-wide non-procurement 

suspension and debarment regulations. 

These materials include indictments, 

information, plea agreements, 

judgments, loan agreements, contract 

documents, etc., that pertain to an 

individual’s or entity’s participation in 

government contracts, SBA loan 

programs, and other SBA assistance. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEMS: 

5 U.S.C. App. 3 (the Inspector General 

Act of 1978, as amended); 15 U.S.C. 

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

3101; 48 CFR Subpart 9.4 

(procurement); 2 CFR Parts 180 and 

2700 (non-procurement), and Executive 

Orders 12549 and 12682. 

ROUTINE USES OF RECORDS MAINTAINED IN THE 

SYSTEM, INCLUDING CATEGORIES OF USERS AND 

THE PURPOSES OF SUCH USES, THESE RECORDS 

MAY BE USED, DISCLOSED OR REFERRED: 

a. To the Federal, State, local, or 

foreign agency or professional 

organization which investigates, 

prosecutes or enforces violations, 

statutes, rules, regulations or orders 

issued when the Agency identifies a 

violation or potential violation of law 

whether arising by general or program 

statute, or by regulation, rule or order. 

b. To a court, magistrate, grand jury or 

administrative tribunal, opposing 

counsel during such proceedings or in 

settlement negotiations when presenting 

evidence. 

c. To any private or governmental 

source or person, to secure information 

relevant to a suspension or debarment 

action. 

d. To any domestic, foreign, 

international or private agency or 

organization, including those which 

maintain civil, criminal or other 

enforcement information, for the 

assignment, hiring or retention of an 

individual, issuance of a security 

clearance, reporting of an investigation 

of an individual, letting of a contract or 

issuance of a license, grant or other 

benefit, to the extent the information is 

relevant to the agency’s decision on the 

matter. 

e. To Federal, State, or local bar 

associations and other professional, 

regulatory or disciplinary bodies for use 

in disciplinary proceedings and 

inquiries. 

f. To a Congressional office from an 

individual’s record, when that office is 

inquiring on the individual’s behalf; the 

Member’s access rights are no greater 

than the individual’s. 

g. To the Government Accountability 

Office and to the General Services 

Administration’s Board of Contract 

Appeals in bid protest cases involving 

an agency procurement. 

h. To any Federal agency which has 

the authority to subpoena other Federal 

agencies’ records and has issued a valid 

subpoena. 

i. To DOJ to obtain advice regarding 

FOIA disclosure obligations. 

14928 Federal Register / Vol. 74, No. 61 / Wednesday, April 1, 2009 / Notices 

j. To the Office of Management and 

Budget to obtain advice regarding PA 

obligations. 

k. To SBA volunteers, contractors, 

interns, grantees, experts and who have 

been engaged by SBA to assist in the 

performance of a service related to this 

system of records and who need access 

to the records in order to perform this 

activity. Recipients of these records 

shall be required to comply with the 

requirements of the Privacy Act of 1974, 

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

l. To the Department of Justice (DOJ) 

when any of the following is a party to 

litigation or has an interest in such 

litigation, and the use of such records by 

DOJ is deemed by SBA to be relevant 

and necessary to the litigation, 

provided, however, that in each case, 

SBA determines the disclosure of the 

records to DOJ is a use of the 

information contained in the records 

that is compatible with the purpose for 

which the records were collected: SBA, 

or any component thereof; any SBA 

employee in their official capacity; any 

SBA employee in their individual 

capacity where DOJ has agreed to 

represent the employee; or The United 

States Government, where SBA 

determines that litigation is likely to 

affect SBA or any of its components. 

m. In a proceeding before a court, or 

adjudicative body, or a dispute 

resolution body before which SBA is 

authorized to appear or before which 

any of the following is a party to 

litigation or has an interest in litigation, 

provided, however, that SBA 

determines that the use of such records 

is relevant and necessary to the 

litigation, and that, in each case, SBA 

determines that disclosure of the 

records to a court or other adjudicative 

body is a use of the information 

contained in the records that is a 

compatible purpose for which the 

records were collected: SBA, or any 

SBA component; any SBA employee in 

their official capacity; any SBA 

employee in their individual capacity 

where DOJ has agreed to represent the 

employee; or The United States 

Government, where SBA determines 

that litigation is likely to affect SBA or 

any of its components. 

n. To appropriate agencies, entities, 

and persons when: SBA suspects or has 

confirmed that the security or 

confidentiality of information in the 

system records has been compromised; 

SBA has determined that as a result of 

the suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security and 

integrity of this system or other systems 

or programs (whether maintained by the 

Agency or entity) that rely upon the 

compromised information; and the 

disclosure made to such agencies, 

entities and persons is reasonably 

necessary to assist in connection with 

SBA’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING AND 

DISPOSING OF RECORDS: 

STORAGE: 

Paper and electronic files. 

RETRIEVAL: 

By name. 

SAFEGUARDS: 

Paper files are maintained in locked 

offices; computers are protected by 

password and user identification codes. 

RETENTION AND DISPOSAL: 

Following final agency action, records 

are maintained in accordance with SBA 

SOP 00 41. 

SYSTEM MANAGER(S) AND ADDRESS: 

Counsel to the Inspector General or 

designee. See Appendix A. 

NOTIFICATION PROCEDURES: 

An individual may submit a record 

inquiry in writing to the Systems 

Manager or PA Officer. 

ACCESS PROCEDURES: 

Systems Manager or PA Officer will 

determine procedures. 

CONTESTING PROCEDURES: 

Notify officials listed above and state 

reason(s) for contesting and proposed 

amendment(s) sought. 

SOURCE CATEGORIES: 

OIG and/or Agency personnel, subject 

individuals or entities, third parties, and 

other investigative agencies. 

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS 

OF THE ACT: 

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

system of records is exempt from the 

application of all provisions of section 

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

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

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

of (A) information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, confinement, 

release, and parole and probation status; 

(B) information compiled for the 

purpose of criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or (C) reports 

identifiable to an individual compiled at 

any stage of the process of enforcement 

of the criminal laws from arrest or 

indictment through release from 

supervision. This system is exempted in 

order to maintain the efficacy and 

integrity of the OIG’s criminal law 

enforcement function. 

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

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

record compiled for law enforcement 

purposes or for the purpose of 

determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classified information is 

exempt from the notification, access, 

and contest requirements under 5 U.S.C. 

552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and 

(I), and (f) of the Agency regulations. 

This exemption is necessary in order to 

fulfill commitments made to protect the 

confidentiality of sources and to protect 

subjects of investigations from 

frustrating the investigatory process. 

Dated: March 20, 2009. 

Delorice P. Ford, 

Senior Privacy Act Official, Small Business 

Administration. 

[FR Doc. E9–7050 Filed 3–31–09; 8:45 am] 

BILLING CODE 8025–01–P