[Federal Register Volume 62, Number 172 (Friday, September 5, 1997)]
[Notices]
[Pages 46967-46972]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-23632]


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ENVIRONMENTAL PROTECTION AGENCY

[FRL-5888-1]


Privacy Act of 1974; Republication of Existing Systems of Records

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of republication of existing systems of records.

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SUMMARY: Under the Privacy Act of 1974, as amended, 5 U.S.C. 552a, EPA 
previously published notices for two systems of records maintained by 
EPA's Office of Inspector General (OIG): the EPA-4 system of records 
called ``OIG Criminal Investigative Index and Files-- EPA/OIG'' and the 
EPA-5 system of records called ``OIG Personnel Security Files-- EPA/
OIG.'' The most recent notice for these systems of records was 
published in the Federal Register at 58 FR 29821 (May 24, 1993). Under 
5 U.S.C. 552a(e)(4), EPA is revising the EPA-4 system notice to add 
three new routine uses and to update information about the categories 
of individuals covered by the system, the categories of records in the 
system, the authority for maintenance of the system, the way records 
are retrieved from the system, the record source categories, the system 
location, and the system manager's address. EPA is revising the EPA-5 
system notice to add one new routine use and to update information 
about the categories of records in the system, the authority for 
maintenance of the system, the system location, and the system 
manager's address.

DATES: This notice will be effective without further notice on October 
15, 1997, unless EPA receives written comments that would result in a 
contrary determination.

ADDRESSES: Interested persons may submit written comments to John C. 
Jones, Assistant Inspector General for Management, Office of Inspector 
General (2441), Environmental Protection Agency, 401 M Street, SW., 
Washington, DC 20460.

FOR FURTHER INFORMATION CONTACT: John C. Jones, (202) 260-4912.

SUPPLEMENTARY INFORMATION: For the EPA-4 system of records, EPA is 
revising the notice to add three new routine uses: Routine use ``u'' 
allows the disclosure of records to officers and employees of other 
Federal agencies for the purpose of conducting quality assessments of 
the investigative operations of the OIG; routine use ``v'' allows the 
disclosure of records to the public when the matter has become public 
knowledge, or when the Inspector General determines that such 
disclosure is necessary to preserve confidence in the integrity of the 
OIG investigative process or is necessary to demonstrate the 
accountability of EPA officers, employees, or individuals covered by 
this system, unless it is determined that disclosure of the specific 
information in the context of a particular case would constitute an 
unwarranted invasion of personal privacy; and routine use ``w'' allows 
the disclosure of records to the news media and public when there 
exists a legitimate public interest (e.g., to provide information on 
events in the criminal process, such as indictments),

[[Page 46968]]

or when necessary for protection from imminent threat to life or 
property.
    In addition, EPA is revising the notice to show that the categories 
of individuals covered by the system, the categories of records in the 
system, and the record source categories include complainants and 
important witnesses interviewed during OIG investigations, as well as 
the subjects of OIG investigations. Similarly, EPA is revising the 
notice to show that records are retrieved by the names of complainants 
and important witnesses interviewed during OIG investigations, as well 
as by the names of subjects of OIG investigations. EPA is revising the 
authority for maintenance of the system to add a reference to the 
Federal Records Act of 1950, as amended, 44 U.S.C. 3101. Finally, EPA 
is revising the notice to show the correct mail code of the system 
location and system manager's address and to make other minor 
revisions.
    For the EPA-5 system of records, EPA is revising the notice to add 
one new routine use: routine use ``s'' allows the disclosure of records 
to officers and employees of other Federal agencies for the purpose of 
conducting quality assessments of the OIG's personnel security and 
suitability operations. In addition, EPA is revising the notice to 
describe more fully the categories of records contained in the 
computerized reference portion of the system. EPA is also revising the 
authority for maintenance of the system to delete a reference to 
Executive Order 12356, concerning classified national security 
information, which was revoked effective October 15, 1995; to add a 
reference to Executive Order 12958 and Executive Order 12968, 
concerning classified national security information, which were 
promulgated on April 17, 1995 and August 2, 1995, respectively; and to 
add a reference to the Federal Records Act of 1950, as amended, 44 
U.S.C. 3101. Finally, EPA is revising the notice to show the correct 
mail code of the system location and system manager's address and to 
make other minor revisions.
    All these changes are necessary to enable the OIG to carry out its 
statutory mission of preventing, detecting, and reporting instances of 
fraud, waste, abuse, and mismanagement in Agency programs and 
operations.

    Dated: August 28, 1997.
Alvin M. Pesachowitz,
Acting Assistant Administrator for Administration and Resources 
Management and Chief Information Officer.
EPA-4

SYSTEM NAME:
    OIG Criminal Investigative Index and Files--EPA/OIG.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    Assistant Inspector General for Investigations, Office of Inspector 
General (2431), Environmental Protection Agency, 401 M Street, SW., 
Washington, DC 20460.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals and entities who are or have been the subjects of OIG 
investigations (including present and former EPA employees; present and 
former EPA assistance recipients, consultants, contractors, and 
subcontractors, and their employees; and other individuals and entities 
doing business with EPA); individuals and entities who are or have been 
complainants in OIG investigations; and individuals and entities who 
are or have been important witnesses interviewed during OIG 
investigations.

CATEGORIES OF RECORDS IN THE SYSTEM:
    a.  Criminal Investigative Index. Selected information from each 
investigative file, including the names of the subjects of OIG 
investigations, and the cities, States, and EPA regions in which the 
subjects were located; the names of complainants in OIG investigations; 
and the names of important witnesses interviewed during OIG 
investigations.
    b. Hard Copy Files. All information relating to investigations, 
including the information contained in the criminal investigative 
index; information provided by Federal, State, local, and foreign 
investigatory or law enforcement agencies, and other government 
agencies; information provided by the complainants in OIG 
investigations; information provided by the subjects of OIG 
investigations; information provided by individuals with whom the 
subjects are or were associated (e.g., colleagues, business associates, 
acquaintances, or relatives); information provided by witnesses and 
confidential sources; information from public source materials; 
correspondence; investigative notes and summaries; the investigative 
report; and information relating to criminal prosecutions, civil 
proceedings, and administrative actions taken with respect to the 
subjects. While the case is open, the file also contains investigative 
notes and summaries of telephone calls, which are destroyed when the 
case is closed.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Inspector General Act of 1978, as amended, 5 U.S.C. app.; 5 U.S.C. 
301; and the Federal Records Act of 1950, as amended, 44 U.S.C. 3101.

PURPOSE(S):
    The records contained in the systems are used by the OIG in 
furtherance of the responsibilities of the Inspector General under the 
Inspector General Act of 1978, as amended, to conduct and supervise 
investigations relating to programs and operations of the EPA; to 
promote economy, efficiency, and effectiveness in the administration of 
such programs and operations; and to prevent and detect fraud and abuse 
in such programs and operations. The records are used in investigating 
individuals and entities suspected of having committed illegal or 
unethical acts. The records are used in criminal prosecutions, civil 
proceedings, and administrative actions, including procurement and 
nonprocurement debarment and suspension proceedings, taken as a result 
of the findings of the investigation. The records are also used in 
conducting investigations of employees, consultants, contractors, 
subcontractors, and applicants in connection with personnel security 
determinations.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    A record from the system of records may be disclosed, as a routine 
use:
    a. To any source, private or public, to the extent necessary to 
secure from such source information relevant to a legitimate EPA 
investigation, audit, or other inquiry.
    b. To the appropriate Federal, State, local, foreign, or 
international agency, if the record indicates, either by itself or in 
combination with other information, a violation or potential violation 
of law, whether criminal, civil, or regulatory in nature, and whether 
arising by general statute or particular program statute, or by rule, 
regulation, or order issued pursuant thereto, when that agency is 
charged with the responsibility of investigating or prosecuting a 
violation, or of enforcing or implementing the statute, or rule, 
regulation, or order issued pursuant thereto.
    c. To a Federal agency responsible for considering debarment or 
suspension

[[Page 46969]]

action if the record would be relevant to such action.
    d. To a Federal, State, local, foreign, or international agency, or 
other public authority or professional organization, maintaining civil, 
criminal, or other relevant enforcement records or other pertinent 
records, such as current licenses, in order to obtain information 
relevant to an EPA investigation, audit, or other inquiry, or relevant 
to an EPA decision concerning the hiring or retention of an employee or 
other personnel action, the issuance of a security clearance, the 
letting of a contract, the issuance of a license, grant, or other 
benefit, the establishment of a claim, or the initiation of criminal, 
civil, or administrative action.
    e. To a Federal, State, local, foreign, or international agency, in 
response to its request, in connection with the assignment, hiring, or 
retention of an individual, the issuance of a security clearance, the 
reporting of an investigation of an individual, the letting of a 
contract, or the issuance of a license, grant, or other benefit by the 
requesting agency, to the extent that the information is relevant and 
necessary to the requesting agency's decision on the matter.
    f. In a proceeding before a court, other adjudicative body or grand 
jury, or in an administrative or regulatory proceeding, to the extent 
that each disclosure is compatible with the purpose for which the 
record was collected and is relevant and necessary to the proceeding in 
which one of the following is a party or has an interest: (1) EPA or 
any of its components, (2) an EPA employee in his or her official 
capacity, (3) an EPA employee in his or her individual capacity when 
the Department of Justice is representing or considering representation 
of the employee, or (4) the United States when EPA determines that the 
litigation is likely to affect EPA. Such disclosures include, but are 
not limited to, those made in the course of presenting evidence, 
conducting settlement negotiations, and responding to subpoenas and 
requests for discovery.
    g. To a Member of Congress who submits an inquiry on behalf of an 
individual, when the individual to whom the record pertains has 
authorized the Member of Congress in writing to have access to the 
record. In such cases, the Member of Congress has no more right to the 
record than does the individual who requested it.
    h. To the Department of Justice for the purpose of obtaining its 
advice on Freedom of Information Act matters.
    i. To the Office of Management and Budget for the purpose of 
obtaining its advice regarding EPA obligations under the Privacy Act of 
1974, as amended, 5 U.S.C. 552a, or in connection with the review of 
legislation.
    j. In response to a subpoena issued by a Federal agency having the 
power to subpoena records of other Federal agencies.
    k. To the Department of Justice to the extent that each disclosure 
is compatible with the purpose for which the record was collected and 
is relevant and necessary to litigation or anticipated litigation in 
which one of the following is a party or has an interest: (1) EPA or 
any of its components, (2) an EPA employee in his or her official 
capacity, (3) an EPA employee in his or her individual capacity when 
the Department of Justice is representing or considering representation 
of the employee, or (4) the United States when EPA determines that the 
litigation is likely to affect EPA.
    l. To the Department of the Treasury and the Department of Justice 
when EPA is seeking an ex parte court order to obtain taxpayer 
information from the Internal Revenue Service.
    m. To debt collection contractors for the purpose of collecting 
delinquent debts as authorized by law.
    n. To a ``consumer reporting agency,'' as that term is defined in 
the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal 
Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)), for the purpose 
of obtaining information in the course of an investigation.
    o. To EPA contractors, assistance recipients, or volunteers who 
have been engaged to assist EPA in the performance of a contract, 
grant, cooperative agreement, or other activity related to this system 
of records and who need to have access to the records in order to 
perform the activity. Recipients shall be required to comply with the 
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    p. To representatives of the General Services Administration and 
the National Archives and Records Administration who are conducting 
records management inspections under the authority of 44 U.S.C. 2904 
and 2906.
    q. To a Federal, State, local, foreign, or international agency, or 
other public authority, for use in a computer matching program, as that 
term is defined in 5 U.S.C. 552a(a)(8). Each disclosure shall be made 
in accordance with the requirements of the Privacy Act of 1974, as 
amended, 5 U.S.C. 552a, the Office of Management and Budget (OMB) 
Computer Matching Guidelines published on June 19, 1989 (54 FR 25818), 
and OMB Bulletin No. 89-22 published on September 20, 1989, or any 
superseding guidance.
    r. To a public or professional licensing organization if the record 
indicates, either by itself or in combination with other information, a 
violation or potential violation of professional standards, or reflects 
on the moral, educational, or professional qualifications of an 
individual who is licensed or who is seeking to become licensed.
    s. To an entity or person, public or private, when disclosure of 
the record is needed to enable the recipient of the record to take 
action to recover money or property of the EPA, when such recovery will 
accrue to the benefit of the United States, or when disclosure of the 
record is needed to enable the recipient of the record to take 
appropriate disciplinary action to maintain the integrity of EPA 
programs or operations.
    t. To the Office of Government Ethics (OGE) to comply with agency 
reporting requirements established by OGE in 5 CFR part 2638, subpart 
F.
    u. To officers and employees of other Federal agencies for the 
purpose of conducting quality assessments of the investigative 
operations of the OIG.
    v. To the public when the matter under investigation has become 
public knowledge, or when the Inspector General determines that such 
disclosure is necessary to preserve confidence in the integrity of the 
OIG investigative process or is necessary to demonstrate the 
accountability of EPA officers, employees, or individuals covered by 
this system, unless it is determined that disclosure of the specific 
information in the context of a particular case would constitute an 
unwarranted invasion of personal privacy.
    w. To the news media and public when there exists a legitimate 
public interest (e.g., to provide information on events in the criminal 
process, such as indictments), or when necessary for protection from 
imminent threat to life or property.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The criminal investigative index is stored on computer hard disks 
and tapes. The hard copy files are stored in file folders. All records 
are stored under secure conditions, which are described in the 
Safeguards section.

RETRIEVABILITY:
    Records in the criminal investigative index are retrieved by the 
names of the subjects, complainants, and important witnesses 
interviewed during OIG

[[Page 46970]]

investigations, and by case file numbers. Records in the hard copy 
files are retrieved by case file numbers.

SAFEGUARDS:
    Direct access to the criminal investigative index and hard copy 
files is limited to authorized employees of the OIG Office of 
Investigations. Additional access within EPA is limited to authorized 
employees on a need-to-know basis. All records, when not in the 
possession of an authorized employee, are stored in locked file 
cabinets or safes in a locked, alarmed central file room with 
restricted access.

RETENTION AND DISPOSAL:
    Records are retained and disposed of in accordance with EPA Records 
Control Schedules, Inspector General Records, approved by the National 
Archives and Records Administration. Investigative case files 
containing information or allegations which are of an investigative 
nature but do not relate to a specific investigation are retained for 5 
years and then destroyed. Except for significant cases, all other 
investigative case files are generally retained for 10 years and then 
destroyed.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Inspector General for Investigations, Office of Inspector 
General (2431), Environmental Protection Agency, 401 M Street, SW., 
Washington, DC 20460.

NOTIFICATION PROCEDURES:
    See Exemption section of this notice. EPA claims that the system is 
exempt from this requirement. However, EPA has published rules that 
establish procedures for notifying an individual at his/her request if 
the system contains a record pertaining to him/her because, under 
certain circumstances, it might be appropriate for an individual to 
have access to all or a portion of his/her records in this system. 
Requests for notification should be made in writing to the System 
Manager in accordance with EPA's regulations at 40 CFR part 16.

RECORD ACCESS PROCEDURES:
    See Exemption section of this notice. EPA claims that the system is 
exempt from this requirement. However, EPA has published rules that 
establish procedures for notifying an individual at his/her request how 
he/she can gain access to a record in this system pertaining to him/her 
because, under certain circumstances, it might be appropriate for an 
individual to have access to all or a portion of his/her records in 
this system. Requests for access should be made in writing to the 
System Manager in accordance with EPA's regulations at 40 CFR part 16.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures section of this notice.

RECORD SOURCE CATEGORIES:
    See Exemption section of this notice. EPA claims that the system is 
exempt from this requirement. However, EPA is publishing the following 
generic list of categories of sources of records in this system: the 
subjects of investigations; individuals with whom the subjects of 
investigations are or were associated (e.g., colleagues, business 
associates, acquaintances, or relatives); Federal, State, local, and 
foreign investigatory or law enforcement agencies; other government 
agencies; confidential sources; complainants; witnesses; concerned 
citizens; and public source materials.

SYSTEMS EXEMPT FROM CERTAIN PROVISIONS OF THE ACT:
    Under 5 U.S.C. 552a(j)(2), this system is exempt from the following 
provisions of the Privacy Act of 1974, as amended: 5 U.S.C. 552a (c) 
(3) and (4); (d); (e) (1), (2), (3), (4) (G), (H), and (I), (5), and 
(8); (f); and (g). Under 5 U.S.C. 552a(k)(2), this system is exempt 
from the following provisions of the Privacy Act of 1974, as amended, 
subject to the limitations set forth in that subsection: 5 U.S.C. 552a 
(c)(3); (d); (e) (1), (4) (G), (H), and (I); and (f). Under 5 U.S.C. 
552a(k)(5), this system is exempt from the following provisions of the 
Privacy Act of 1974, as amended, subject to the limitations set forth 
in that subsection: 5 U.S.C. 552a (c)(3); (d); (e) (1), (4) (H) and 
(I); and (f) (2) through (5). These exemptions were published as 
regulations in the Federal Register in accordance with the requirements 
of 5 U.S.C. 553 (b) (1), (2), and (3), (c), and (e). For additional 
information, contact the System Manager.
EPA-5

SYSTEM NAME:
    OIG Personnel Security Files--EPA/OIG.

SECURITY CLASSIFICATION:
    Most of the records in this system are unclassified. However, some 
records in the system have been classified by other Federal agencies 
under Executive Order 12356, Executive Order 12958, Executive Order 
12968, or the Atomic Energy Act of 1954, 42 U.S.C. 2011.

SYSTEM LOCATION:
    Assistant Inspector General for Management, Office of Inspector 
General (2441), Environmental Protection Agency, 401 M Street, SW., 
Washington, DC 20460.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who are or have been the subjects of personnel security 
and suitability investigations (e.g., national agency checks and 
inquiries, background investigations, and periodic reinvestigations) 
conducted by or for the OIG or the Office of Personnel Management 
(OPM), including present and former EPA employees, consultants, 
contractors, and subcontractors in national security and/or public 
trust positions; and applicants for national security and/or public 
trust positions at EPA.

CATEGORIES OF RECORDS IN THE SYSTEM:
    a. Computerized Reference: Certain information from selected 
personnel security and suitability files, including the subject's 
social security number, name, title, EPA office, EPA organization mail 
code, General Schedule occupation series and grade, geographic 
location, type of employee (e.g., EPA employee, EPA OIG employee, or 
contractor employee), location of Official Personnel File (OPF) folder, 
date of birth, place of birth, type of investigation conducted, date 
investigation completed, date completed investigation received by EPA 
OIG, date completed investigation adjudicated by EPA OIG, case number 
assigned by EPA OIG Personnel Security Staff, type of security 
clearance, date of security clearance, and sensitivity of the position 
occupied.
    b. Hard Copy Files: All information relating to personnel security 
and suitability investigations, including the information contained in 
the computerized reference; information provided by the subjects on 
resumes and on forms SF-171, SF-85, SF-85P, SF-85P-S, SF-86, SF-87, OF-
306, OF-612, OPM-329-A, EPA-1480-19, EPA-1480-40, AEC-136, DOE F 
5631.18, and DOE F 5631.34; information in interviews and 
correspondence; information provided by individuals with whom the 
subjects are or were associated (e.g., colleagues, business associates, 
acquaintances, or relatives); information provided by Federal, State, 
local, and foreign investigatory or law enforcement agencies, and other 
government agencies; information provided by confidential sources; 
information provided by former employers, references named by the 
subjects, credit agencies, and educational institutions; pre-
appointment investigative reports;

[[Page 46971]]

summaries of telephone calls; correspondence; public source materials; 
and information relating to criminal prosecutions, civil proceedings, 
and administrative actions taken with respect to the subjects.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Executive Order 10450, as amended; Executive Order 12958; Executive 
Order 12968; Atomic Energy Act of 1954, as amended, 42 U.S.C. 2011; 
Inspector General Act of 1978, as amended, 5 U.S.C. app.; 5 U.S.C. 301; 
and the Federal Records Act of 1950, as amended, 44 U.S.C. 3101.

PURPOSE(S):
    The records contained in the system are used by the OIG to develop 
information on EPA employees, consultants, contractors, subcontractors, 
and applicants that will help EPA determine suitability, eligibility, 
or qualifications for Federal civilian employment, Federal contracts, 
or access to classified information. When records in this system reveal 
a violation or potential violation of law, such records are used by the 
OIG to meet the responsibilities of the Inspector General under the 
Inspector General Act of 1978, as amended, to conduct and supervise 
investigations relating to programs and operations of the EPA; to 
promote economy, efficiency, and effectiveness in the administration of 
such programs and operations; and to prevent and detect fraud and abuse 
in such programs and operations. The records may be used to investigate 
individuals and entities suspected of having committed illegal or 
unethical acts. The records may be used in criminal prosecutions, civil 
proceedings, and administrative actions taken as a result of the 
findings of the investigation.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    A record from the system of records may be disclosed, as a routine 
use:
    a. To any source, private or public, to the extent necessary to 
secure from such source information relevant to a legitimate EPA 
investigation, audit, or other inquiry.
    b. To the appropriate Federal, State, local, foreign, or 
international agency, if a record indicates, either by itself or in 
combination with other information, a violation or potential violation 
of law, whether criminal, civil, or regulatory in nature, and whether 
arising by general statute or particular program statute, or by rule, 
regulation, or order issued pursuant thereto, when that agency is 
charged with the responsibility of investigating or prosecuting a 
violation, or of enforcing or implementing the statute, or rule, 
regulation, or order issued pursuant thereto.
    c. To a Federal, State, local, foreign, or international agency, or 
other public authority or professional organization, maintaining civil, 
criminal, or other relevant enforcement records or other pertinent 
records, such as current licenses, in order to obtain information 
relevant to an EPA investigation, audit, or other inquiry, or relevant 
to an EPA decision concerning the hiring or retention of an employee or 
other personnel action, the issuance of a security clearance, the 
letting of a contract, the issuance of a license, grant, or other 
benefit, the establishment of a claim, or the initiation of criminal, 
civil, or administrative action.
    d. To a Federal, State, local, foreign, or international agency, in 
response to its request, in connection with the assignment, hiring, or 
retention of an individual, the issuance of a security clearance, the 
reporting of an investigation of an individual, the letting of a 
contract, or the issuance of a license, grant, or other benefit by the 
requesting agency, to the extent that the information is relevant and 
necessary to the requesting agency's decision on the matter.
    e. In a proceeding before a court, other adjudicative body or grand 
jury, or in an administrative or regulatory proceeding, to the extent 
that each disclosure is compatible with the purpose for which the 
record was collected and is relevant and necessary to the proceeding in 
which one of the following is a party or has an interest: (1) EPA or 
any of its components, (2) an EPA employee in his or her official 
capacity, (3) an EPA employee in his or her individual capacity when 
the Department of Justice is representing or considering representation 
of the employee, or (4) the United States when EPA determines that the 
litigation is likely to affect EPA. Such disclosures include, but are 
not limited to, those made in the course of presenting evidence, 
conducting settlement negotiations, and responding to subpoenas and 
requests for discovery.
    f. To a Member of Congress who submits an inquiry on behalf of an 
individual, when the individual to whom the record pertains has 
authorized the Member of Congress in writing to have access to the 
record. In such cases, the Member of Congress has no more right to the 
record than does the individual who requested it.
    g. To the Department of Justice for the purpose of obtaining its 
advice on Freedom of Information Act matters.
    h. To the Office of Management and Budget for the purpose of 
obtaining its advice regarding EPA obligations under the Privacy Act of 
1974, as amended, 5 U.S.C. 552a, or in connection with the review of 
legislation.
    i. In response to a subpoena issued by a Federal agency having the 
power to subpoena records of other Federal agencies.
    j. To the Department of Justice to the extent that each disclosure 
is compatible with the purpose for which the record was collected and 
is relevant and necessary to litigation or anticipated litigation in 
which one of the following is a party or has an interest: (1) EPA or 
any of its components, (2) an EPA employee in his or her official 
capacity, (3) an EPA employee in his or her individual capacity when 
the Department of Justice is representing or considering representation 
of the employee, or (4) the United States when EPA determines that the 
litigation is likely to affect EPA.
    k. To the Department of the Treasury and the Department of Justice 
when EPA is seeking an ex parte court order to obtain taxpayer 
information from the Internal Revenue Service.
    l. To debt collection contractors for the purpose of collecting 
delinquent debts as authorized by law.
    m. To a ``consumer reporting agency,'' as that term is defined in 
the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal 
Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)), for the purpose 
of obtaining information in the course of an investigation.
    n. To EPA contractors, assistance recipients, or volunteers who 
have been engaged to assist EPA in the performance of a contract, 
grant, cooperative agreement, or other activity related to this system 
of records and who need to have access to the records in order to 
perform the activity. Recipients shall be required to comply with the 
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    o. To representatives of the General Services Administration and 
the National Archives and Records Administration who are conducting 
records management inspections under the authority of 44 U.S.C. 2904 
and 2906.
    p. To a Federal agency responsible for considering debarment or 
suspension action if the record would be relevant to such action.
    q. To a public or professional licensing organization if the record 
indicates, either by itself or in combination with other information, a 
violation or potential violation of professional standards, or reflects 
on the

[[Page 46972]]

moral, educational, or professional qualifications of an individual who 
is licensed or who is seeking to become licensed.
    r. To an entity or person, public or private, when disclosure of 
the record is needed to enable the recipient of the record to take 
action to recover money or property of the EPA, when such recovery will 
accrue to the benefit of the United States, or when disclosure of the 
record is needed to enable the recipient of the record to take 
appropriate disciplinary action to maintain the integrity of EPA 
programs or operations.
    s. To officers and employees of other Federal agencies for the 
purpose of quality assessments of the OIG's personnel security and 
suitability operations.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The computerized reference is stored on computer hard disks and 
computer printout sheets. The hard copy files are stored in file 
folders. All records are stored under secure conditions, which are 
described in the Safeguards section.

RETRIEVABILITY:
    Records in the computerized reference are retrieved by the social 
security number of the subject of a personnel security and suitability 
investigation. Records in the hard copy files are retrieved by the name 
of the subject of a personnel security and suitability investigation.

SAFEGUARDS:
    Direct access is limited to authorized employees of the OIG, Office 
of Management, Personnel Security Staff. Additional access within EPA 
is limited to authorized employees on a need-to-know basis. All 
records, when not in the possession of an authorized employee, are 
stored in locked file cabinets or safes in a locked, alarmed central 
file room with restricted access. Classified records are safeguarded in 
accordance with Executive Order 12958 and Executive Order 12968.

RETENTION AND DISPOSAL:
    Records are retained and disposed of in accordance with EPA Records 
Control Schedules, Inspector General Records, approved by the National 
Archives and Records Administration. Personnel security and suitability 
files are generally retained for 5 years after the separation or 
transfer of the employee and then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Inspector General for Management, Office of Inspector 
General (2441), Environmental Protection Agency, 401 M Street, SW., 
Washington, DC 20460.

NOTIFICATION PROCEDURES:
    See Exemption section of this notice. EPA claims that the system is 
exempt from this requirement to the extent that the system contains 
investigatory material compiled for law enforcement purposes. EPA also 
claims that the system is exempt from this requirement to the extent 
that the system contains classified information that has been properly 
classified under applicable statutes or executive orders. However, EPA 
has published rules that establish procedures for notifying an 
individual at his/her request if the system contains a record 
pertaining to him/her because, under certain circumstances, it might be 
appropriate for an individual to have access to all or a portion of 
his/her records in this system. Requests for notification should be 
made in writing to the System Manager in accordance with EPA's 
regulations at 40 CFR part 16.

RECORD ACCESS PROCEDURES:
    See Exemption section of this notice. EPA claims that the system is 
exempt from this requirement. However, EPA has published rules that 
establish procedures for notifying an individual at his/her request how 
he/she can gain access to a record in this system pertaining to him/her 
because, under certain circumstances, it might be appropriate for an 
individual to have access to all or a portion of his/her records in 
this system. Requests for access should be made in writing to the 
System Manager in accordance with EPA's regulations at 40 CFR part 16.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures section of this notice.

RECORD SOURCE CATEGORIES:
    See Exemption section of this notice. EPA claims that the system is 
exempt from this requirement. However, EPA is publishing the following 
generic list of categories of sources of records in this system: The 
subjects of personnel security and suitability investigations; 
individuals with whom the subjects are or were associated (e.g., 
colleagues, business associates, acquaintances, or relatives); Federal, 
State, local, and foreign investigatory or law enforcement agencies; 
other government agencies; confidential sources; former employers; 
references named by the subjects; credit agencies; educational 
institutions; and public source materials.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    Under 5 U.S.C. 552a(k)(1), this system is exempt from the following 
provisions of the Privacy Act of 1974, as amended: 5 U.S.C. 552a 
(c)(3); (d); (e) (1), (4) (G), (H), and (I); and (f). Under 5 U.S.C. 
552a(k)(2), this system is exempt from the following provisions of the 
Privacy Act of 1974, as amended, subject to the limitations set forth 
in that subsection: 5 U.S.C. 552a (c)(3); (d); (e) (1), (4) (G), (H), 
and (I); and (f). Under 5 U.S.C. 552a(k)(5), this system is exempt from 
the following provisions of the Privacy Act of 1974, as amended, 
subject to the limitations set forth in that subsection: 5 U.S.C. 552a 
(c)(3); (d); (e) (1), (4) (H) and (I); and (f) (2) through (5). These 
exemptions were published as regulations in the Federal Register in 
accordance with the requirements of 5 U.S.C. 553 (b) (1), (2), and (3), 
(c), and (e). For additional information, contact the System Manager.

[FR Doc. 97-23632 Filed 9-4-97; 8:45 am]
BILLING CODE 6560-50-P