[Federal Register Volume 74, Number 61 (Wednesday, April 1, 2009)]
[Notices]
[Pages 14890-14928]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-7050]



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Part II





Small Business Administration





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 Revision of Privacy Act System of Records; Notice

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

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SMALL BUSINESS ADMINISTRATION


Revision of Privacy Act System of Records

AGENCY: Small Business Administration.

ACTION: Notice of Revision of Agency's System of Records pursuant to 
the provisions of the Privacy Act and to open comment period.

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SUMMARY: This notice provides for review and comment on 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. Sec.  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.

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    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

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    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

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Table of Contents

SBA 1--Administrative Claims
SBA 2--Administrator's Executive Secretariat Files
SBA 3--Advisory Council Files
SBA 4--Office of Inspector General Records Other Than Investigations 
Records
SBA 5--Business and Community Initiatives Resource Files
SBA 6--Civil Rights Compliance Files
SBA 7--Combined Federal Campaign
SBA 8--Correspondence and Inquiries
SBA 9--Cost Allocation Data System
SBA 10--Employee Identification Card Files
SBA 11--Entrepreneurial Development-Management Information System
SBA 12--Equal Employment Opportunity Pre-Complaint Counseling
SBA 13--Equal Employment Opportunity Complaint Cases
SBA 14--Freedom of Information/Privacy Act Records
SBA 15--Grievance and Appeals Files
SBA 16--Investigative Files
SBA 17--Investigations Division Management Information System
SBA 18--Legal Work Files on Personnel Cases
SBA 19--Litigation and Claims Files
SBA 20--Disaster Loan Case Files
SBA 21--Loan System
SBA 22--Outside Employment Files
SBA 23--Payroll Files
SBA 24--Personnel Security Files
SBA 25--Portfolio Review Files
SBA 26--Power of Attorney Files
SBA 27--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. Sec.  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.

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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.

[[Page 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

[[Page 14896]]

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

[[Page 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

[[Page 14898]]

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

[[Page 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.

[[Page 14900]]

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

[[Page 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,

[[Page 14902]]

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 cross-referenced by individual or 
business name.

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

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

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

NOTIFICATION PROCEDURES:
    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

[[Page 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.

[[Page 14904]]

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

[[Page 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.

[[Page 14906]]

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

[[Page 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 
follow-up 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

[[Page 14908]]

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.

[[Page 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

[[Page 14910]]

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. Sec.  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

[[Page 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 pre-application registrants, disaster home 
and business loan applicants and recipients of a disaster home and 
business loans from the time of pre-application 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

[[Page 14912]]

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, cross-referenced 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

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

[[Page 14914]]

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

[[Page 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

[[Page 14916]]

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.

[[Page 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

[[Page 14918]]

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 
follow-up on investigations conducted by OIG, the Federal Bureau of 
Investigation (FBI) and other Federal, State, local or foreign 
regulatory or law enforcement agencies as well as other material 
submitted to or gathered by OIG in furtherance of its investigative 
function. These records include FBI and other Federal, State, local and 
foreign regulatory or law enforcement investigative reports, personal 
history statements, background character checks, field investigations, 
arrest and conviction records, parole and probation data, 
recommendations and related correspondence.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. APP. 3 (The Inspector General Act of 1978, 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

[[Page 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.

[[Page 14920]]

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

[[Page 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

[[Page 14922]]

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

[[Page 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.

[[Page 14924]]

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 short-term 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;

[[Page 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

[[Page 14926]]

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

[[Page 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.

[[Page 14928]]

    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