[Federal Register Volume 83, Number 128 (Tuesday, July 3, 2018)]
[Notices]
[Pages 31247-31250]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-14209]


-----------------------------------------------------------------------

SMALL BUSINESS ADMINISTRATION


Privacy Act of 1974; System of Records

AGENCY: U.S. Small Business Administration.

ACTION: Notice of New Privacy Act System of Records.

-----------------------------------------------------------------------

SUMMARY: The Small Business Administration (SBA) proposes to add a new 
system of records titled, Insider Threat Program System of Records, to 
its inventory of records systems subject to the Privacy Act of 1974 (5 
U.S.C. 552a), as amended. Publication of this notice complies with the 
Privacy Act and the Office of Management and Budget (OMB) Circular A-
130 requirement for agencies to publish a notice in the Federal 
Register whenever the agency establishes a new System of Records.

DATES: This action will be effective without further notice on August 
17, 2018 unless comments are received that would result in a contrary 
determination.

ADDRESSES: Submit written comments to Joseph P. Loddo, Director, Office 
of Continuous Operations and Risk Management, U.S. Small Business 
Administration, 409 3rd Street SW, 5th Floor, Washington, DC 20416.

FOR FURTHER INFORMATION CONTACT: Joseph P. Loddo, (202) 205-7014.

SUPPLEMENTARY INFORMATION: A System of Records is a group of any 
records under the control of a Federal agency from which information is 
retrieved by the name of an individual or by a number, symbol or other 
identifier assigned to the individual. The Privacy Act, 5 U.S.C. 552a, 
requires each Federal agency to publish in the Federal Register a 
System of Records notice (SORN) identifying and describing each System 
of Records the agency maintains, the purposes for which the agency uses 
the personally identifiable information (PII) in the system, the 
routine uses for which the agency discloses such information outside 
the agency, and how individuals can exercise their rights related to 
their PII information.
    The U.S. Small Business Administration has created an Agency-wide 
repository known as the Insider Threat Program System of Records to 
manage insider threat matters within the SBA. The Insider Threat 
Program was mandated by E.O. 13587, Responsible Sharing and 
Safeguarding of Classified Information,'' issued October 7, 2011, which 
requires Federal agencies to establish an insider threat detection and 
prevention program to ensure the security of classified and controlled 
unclassified information with appropriate protections for privacy and 
civil liberties. Insider threats include: Attempted or actual 
espionage, subversion, sabotage, terrorism, or extremist activities: 
Unauthorized use of or intrusion into automated information systems; 
unauthorized disclosure of classified, controlled unclassified, 
sensitive, or proprietary information or technology; and indicators of 
potential insider threats. The SBA Insider Threat Program repository 
relies upon existing information from any SBA office, program, record, 
or source, and may include records from information security, personnel 
security, and systems security to support insider threat 
investigations. The SBA is not implementing a new IT system for the 
insider threat program.
SYSTEM NAME:
    Insider Threat Program System of Records Notice.

SYSTEM CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    SBA headquarters (HQ) and all SBA field offices and centers.

SYSTEM MANAGER(S):
    Joseph Loddo, Director, Office of Continuous Operations and Risk 
Management, 409 3rd Street SW, Washington, DC 20416.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Intelligence Reform and Terrorism Prevention Act of 2004, Public 
Law 108-458; Intelligence Authorization Act for FY 2010, Public Law 
111-259; Atomic Energy Act of 1954, 60 Stat. 755, August 1, 1946; Title 
6 U.S.C. 341(a)(6), 28 U.S. Code Sec.  535, Investigation of Crimes 
Involving Government Employees Limitations; Title 40 U.S.C. 1315, Title 
50 U.S.C. 3381, Coordination of Counterintelligence Activities; E.O. 
10450, Security Requirements for Government Employment, April 17, 1953; 
E.O. 12333, United States Intelligence Activities (as amended); E.O. 
12829, National Industrial Security Program; E.O. 12968, Access to 
Classified Information, August 2, 1995; E.O. 13467, Reforming Processes 
Related to Suitability for Government Employment, Fitness for 
Contractor Employees, and Eligibility for Access to Classified National 
Security Information, June 30, 2008; E.O. 13488, Granting Reciprocity 
on Excepted Service and Federal Contractor Employee Fitness and 
Reinvestigating Individuals in Positions of Public Trust, January 16, 
2009; E.O. 13526, Classified National Security Information; E.O. 13587, 
Structural Reforms to Improve the Security of Classified Networks and 
the Responsible Sharing and Safeguarding of Classified Information, 
October 7, 2011; and Presidential Memorandum National Insider Threat 
Policy and Minimum Standards for Executive Branch Insider Threat 
Programs, November 21, 2012

PURPOSE OF THE SYSTEM:
    The purpose of the Insider Threat Program System of Records is to 
manage insider threat matters; facilitate insider threat investigations 
and activities associated with counterintelligence and counterespionage 
complaints, inquiries, and investigations; identify threats to SBA 
resources and information assets; track referrals of potential insider 
threats to internal and external partners; and provide statistical 
reports and meet other insider threat reporting requirements.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDE:
    <bullet> SBA current or former employees, contractors, or detailed 
staff who have or had access to classified and sensitive unclassified 
information or information systems.
    <bullet> Other individuals, including government personnel and 
private sector individuals, who are authorized by SBA to access Agency 
facilities, communications security equipment, and/or information 
technology systems that process sensitive or classified national 
security information, and controlled unclassified information.
    <bullet> Family members, dependents, relatives, and individuals 
with a personal association to an individual who is the subject of an 
insider threat investigation; and
    <bullet> Witnesses and other individuals who provide statements or 
information to SBA related to an insider threat inquiry.

[[Page 31248]]

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records will be created and maintained on a limited basis, as a 
result of a reported issue requiring analysis and consideration by the 
insider threat HUB.
    Categories of Records in the system may include:
    <bullet> Individual's name;
    <bullet> Date and place of birth;
    <bullet> Social Security Number;
    <bullet> Address;
    <bullet> Publicly available social media account information;
    <bullet> Personal and official email address;
    <bullet> Personal and official phone number;
    <bullet> Work History;
    <bullet> Information on family members, dependents, relatives, and 
other personal associations;
    <bullet> Passport numbers;
    <bullet> Gender;
    <bullet> Hair and eye color;
    <bullet> Other physical or distinguishing attributes or an 
individual;
    <bullet> Medical reports;
    <bullet> Access control pass, or other identifying number, and
    <bullet> Photographic images, videotapes, voiceprints, or DVDs;
    Reports of investigation regarding security violations, including 
but not limited to:
    <bullet> Individual statements or affidavits and correspondence;
    <bullet> Incident reports;
    <bullet> Drug test results;
    <bullet> Investigative records of a criminal, civil, or 
administrative nature;
    <bullet> Letters, emails, memoranda, and reports;
    <bullet> Exhibits, evidence, statements, and affidavits;
    <bullet> Inquiries relating to suspected security violations; and
    <bullet> Recommended remedial actions for possible security 
violations;
    Any information related to the management and operation of specific 
investigations and the overall SBA insider threat program, including 
but not limited to:
    <bullet> Documentation pertaining to investigative or analytical 
efforts by SBA insider threat program personnel to identify threats to 
SBA personnel, property, facilities, and information;
    <bullet> Records collated to examine information technology events 
and other information that could reveal potential insider threat 
activities;
    <bullet> Travel records;
    <bullet> Intelligence reports and database query results relating 
to individuals covered by this system;
    <bullet> Information obtained from the Intelligence Community, the 
Federal Bureau of Investigation (FBI), or from other agencies or 
organizations about individuals known or suspected of being engaged in 
conduct constituting, preparing for, aiding, or relating to an insider 
threat, including but not limited to espionage or unauthorized 
disclosures of classified national security information;
    <bullet> Information provided by record subjects and individual 
members of the public; and
    <bullet> Information provided by individuals who report known or 
suspected insider threats.

RECORD SOURCE CATEGORIES:
    After events are identified for insider threat HUB consideration, 
relevant records are obtained from Department officials, employees, 
contractors, and other individuals who are associated with or represent 
SBA; officials from other foreign, Federal, tribal, State, and local 
government organizations; non-government, commercial, public, and 
private agencies and organizations; relevant SBA records, databases, 
and files, including personnel security files, facility access records, 
security incidents or violation files, network security records, 
investigatory records, visitor records, travel records, foreign visitor 
or contact reports, and financial disclosure reports; media, including 
periodicals, newspapers, and broadcast transcripts; intelligence source 
documents; publicly available information, including publicly available 
social media; and complainants, informants, suspects, and witnesses.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed to authorized 
entities, as is determined to be relevant and necessary, outside SBA as 
a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice (DOJ), including offices of the 
U.S. Attorneys, or other Federal agency conducting litigation or in 
proceedings before any court, adjudicative, or administrative body, 
when it is relevant or necessary to the litigation or has an interest 
in such litigation:
    1. Any employee or former employee of SBA in his or her official 
capacity;
    2. Any employee or former employee of SBA in his or her individual 
capacity when DOJ or SBA has agreed to represent the employee; or
    3. The United States or any agency thereof.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration (NARA) or 
General Services Administration (GSA) pursuant to records management 
inspections being conducted under the authority of 44 U.S.C. 2904 and 
2906.
    D. To an agency or organization for the purpose of performing audit 
or oversight operations as authorized by law, but only such information 
as is necessary and relevant to such audit or oversight function.
    E. To appropriate agencies, entities, and persons when:
    1. SBA suspects or has confirmed that the security or 
confidentiality of information processed and maintained by the SBA has 
been compromised.
    2. SBA has determined that as a result of the suspected or 
confirmed compromise, there is a risk of identity theft or fraud, harm 
to economic or property interests, harm to an individual, or harm to 
the security or integrity of this system or other systems or programs 
(whether maintained by SBA or another agency or entity) that rely upon 
the compromised information; and
    3. 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.
    F. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contact, service, grant, 
cooperative agreement, or other assignment for SBA, when necessary to 
accomplish an agency function related to this System of Records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to SBA employees.
    G. To an appropriate Federal, State, tribal, territorial, local, 
international, or foreign law enforcement agency or other appropriate 
authority charged with investigating or prosecuting a violation or 
enforcing or implementing a law, rule, information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.

[[Page 31249]]

    H. To an appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency, if the information is relevant and 
necessary to a requesting agency's decision concerning the hiring or 
retention of an individual, or issuance of a security clearance, 
license, contract, grant, delegation or designation of authority, or 
other benefit, or if the information is relevant and necessary to a SBA 
decision concerning the hiring or retention of an employee, the 
issuance of a security clearance, the reporting of an investigation of 
an employee, the letting of a contract, or the issuance of a license, 
grant, delegation or designation of authority, or other benefit and 
disclosure is appropriate to the proper performance of the official 
duties of the person making the request.
    I. To an individual's prospective or current employer to the extent 
necessary to determine employment eligibility.
    J. To third parties during the course of an investigation to the 
extent necessary to obtain information pertinent to the investigation, 
provided disclosure is appropriate to the proper performance of the 
official duties of the individual making the disclosure.
    K. To a public or professional licensing organization when such 
information 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.
    L. To another Federal agency in order to conduct or support 
authorized counterintelligence activities, as defined by 50 U.S.C. 
3003(3).
    M. To any Federal, State, local, tribal, territorial, foreign, or 
multinational government or agency, or appropriate private sector 
individuals and organizations lawfully engaged in national security or 
homeland defense for that entity's official responsibilities, including 
responsibilities to counter, deter, prevent, prepare for, respond to, 
threats to national or homeland security, including an act of terrorism 
or espionage.
    N. To a Federal, State, local, tribal, territorial, government or 
agency lawfully engaged in the collection of intelligence (including 
national intelligence, foreign intelligence, and counterintelligence), 
counterterrorism, homeland security, law enforcement or law enforcement 
intelligence, and other information, when disclosure is undertaken for 
intelligence, counterterrorism, homeland security, or related law 
enforcement purposes, as authorized by U.S. law or E.O.
    O. To any individual, organization, or entity, as appropriate, to 
notify them of a serious threat to homeland security for the purpose of 
guarding them against or responding to such a threat, or when there is 
a reason to believe that the recipient is or could become the target of 
a particular threat, to the extent the information is relevant to the 
protection of life, health, or property.
    P. To members of the U.S. House Committee on Oversight and 
Government Reform and the Senate Homeland Security and Governmental 
Affairs Committee pursuant to a written request under 5 U.S.C. 2954, 
after consultation with the Privacy Act Officer and the General 
Counsel.
    Q. To individual members of the Senate Select Committee on 
Intelligence and the House Permanent Select Committee for Intelligence 
in connection with the exercise of the Committees' oversight and 
legislative functions, when such disclosures are necessary to a lawful 
activity of the United States, after consultation with the Privacy Act 
Officer and the General Counsel.
    R. To a Federal agency or entity that has information relevant to 
an allegation or investigation regarding an insider threat matter, or 
to a federal agency or entity that was consulted during the processing 
of the allegation or investigation but that did not ultimately have 
relevant information.
    S. To a former SBA employee, SBA contractor, or individual 
sponsored by SBA for a security clearance for purposes of responding to 
an official inquiry by Federal, State, local, tribal, or territorial 
government agencies or professional licensing authorities; or 
facilitating communications with a former employee that may be relevant 
and necessary for personnel-related or other official purposes when SBA 
requires information or consultation assistance from the former 
employees regarding a matter within that person's former area of 
responsibility.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Insider Threat Program stores records for each evaluated event in a 
central repository within the SBA internal network. The records may be 
stored on digital media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    SBA may retrieve records by first and last name, Social Security 
number, date of birth, phone number, other unique individual 
identifiers, and other types of information by keyword search.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are maintained in accordance with SBA SOP 00 41 2. Records 
maintained as part of the General Records Schedules (GRS) are disposed 
of accordingly.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    SBA safeguards records in this repository according to applicable 
rules and policies, including all applicable SBA automated systems 
security and access policies. Access to the repository or other storage 
systems containing the records in this system is limited to individuals 
who have the appropriate clearances or permissions and who have a need 
to know the information in order to perform their official duties. The 
Agency should consider storing Insider Threat records on a stand-alone 
computer in order to reduce risk of unauthorized access.

RECORD ACCESS PROCEDURES:
    Access and use is limited to persons with official need to know; 
computers are protected by access control mechanisms. Users are 
evaluated on a recurring basis to ensure need-to-know still exists.

RECORD ACCESS PROCEDURES:
    Systems Manager will determine procedures.

CONTESTING RECORD PROCEDURES:
    Notify officials listed above and state reason(s) for contesting 
any information and provide proposed amendment(s) sought.

NOTIFICATION PROCEDURE:
    Individuals may make record inquiries in person or in writing to 
the Systems Manager.
    When seeking records about yourself from this System of Records or 
any other Departmental System of Records, your request must conform 
with the Privacy Act regulations set forth in 6 CFR part 5; Disclosure 
of Records and Information. You must first verify your identity, 
meaning that you must provide your full name, current address, and date 
and place of birth. You must sign your request, and your signature must 
either be notarized or submitted under 28 U.S.C. 1746, a law that 
permits statements to be made under penalty of perjury as a substitute 
for notarization.
    [ssquf] Explain why you believe the Agency would have information 
on you;
    [ssquf] Specify when you believe the records would have been 
created; and
    [ssquf] Provide any other information that will help the Agency 
locate the requested records.

[[Page 31250]]

    Without the above information, the Agency may not be able to 
conduct an effective search, and your request may be denied due to lack 
of specificity or lack of compliance with applicable regulations.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

    Dated: June 19, 2018.
Joseph P. Loddo,
Director, Office Continuous Operations and Risk Management, Senior 
Insider Threat Program Official.
[FR Doc. 2018-14209 Filed 7-2-18; 8:45 am]
 BILLING CODE P