Document ID: EPA-HQ-OECA-2021-0552-0001
Agency: epa
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2021-10-29T04:00Z

[Federal Register Volume 86, Number 207 (Friday, October 29, 2021)]
[Notices]
[Pages 60033-60036]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-23633]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-8948-03-OMS]

Privacy Act of 1974; System of Records

AGENCY: National Enforcement Investigations Center (NEIC), Office of 
Criminal Enforcement Forensics and Training (OCEFT), Office of 
Enforcement Compliance and Assurance (OECA), Environmental Protection 
Agency (EPA).

ACTION: Notice of a new system of records.

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SUMMARY: The U.S. Environmental Protection Agency's (EPA), National 
Enforcement Investigations Center (NEIC) is giving notice that it 
proposes to create a new system of records pursuant to the provisions 
of the Privacy Act of 1974. The National Enforcement Investigations 
Center Master Tracking System (MTS) will contain information related to 
investigations of persons or organizations alleged to have violated any 
federal environmental statute or regulation or, pursuant to a 
cooperative agreement with a state, local, or tribal authority, an 
environmental statute or regulation of such authority. The U.S. 
Environmental Protection Agency will separately add exemptions for this 
system of records to the Agency's Privacy Act regulations at 40 CFR 
part 16.

DATES: Persons wishing to comment on this system of records notice must 
do so by November 29, 2021. Routine uses for this new system of records 
will be effective November 29, 2021.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OECA-2021-0552, by one of the following methods:
    Federal eRulemaking Portal: https://www.regulations.gov. Follow the 
online instructions for submitting comments.
    Email: [email protected]. Include the Docket ID number in the 
subject line of the message.
    Fax: (202) 566-1752.
    Mail: OMS Docket, Environmental Protection Agency, Mail Code: 
2822T, 1200 Pennsylvania Ave. NW, Washington, DC 20460.
    Hand Delivery: OMS Docket, EPA/DC, WJC West Building, Room 3334, 
1301 Constitution Ave. NW, Washington, DC 20460. Such deliveries are 
only accepted during the Docket's normal hours of operation, and 
special arrangements should be made for deliveries of boxed 
information.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OECA-
2021-0552. The EPA policy is that all comments received will be 
included in the public docket without change and may be made available 
online at https://www.regulations.gov, including any personal 
information provided, unless the comment includes information claimed 
to be Controlled Unclassified Information (CUI) or other information 
for which disclosure is restricted by statute. Do not submit 
information that you consider to be CUI or otherwise protected through 
https://www.regulations.gov. The https://www.regulations.gov website is 
an ``anonymous access'' system for EPA, which means the EPA will not 
know your identity or contact information unless you provide it in the 
body of your comment. Each agency determines submission requirements 
within their own internal processes and standards. If you send an email 
comment directly to the EPA without going through https://www.regulations.gov your email address will be automatically captured 
and included as part of the comment that is placed in the public docket 
and made available on the internet. If you submit an electronic 
comment, the EPA recommends that you include your name and other 
contact information in the body of your comment. If the EPA cannot read 
your comment due to technical difficulties and cannot contact you for 
clarification, the EPA may not be able to consider your comment. 
Electronic files should avoid the use of special characters, any form 
of encryption, and be free of any defects or viruses. For additional 
information about the EPA public docket, visit the EPA Docket Center 
homepage at https://www.epa.gov/dockets.
    Docket: All documents in the docket are listed in the https://www.regulations.gov index. Although listed in the index, some 
information is not publicly available, e.g., CUI or other information 
for which disclosure is restricted by statute. Certain other material, 
such as copyrighted material, will be publicly available only in hard 
copy. Publicly available docket materials are available either 
electronically in https://www.regulations.gov or in hard copy at the 
OMS Docket, EPA/DC, WJC West Building, Room 3334, 1301 Constitution 
Ave. NW, Washington, DC 20460.

EPA Docket Center and Reading Room Temporary Hours During COVID-19

    Out of an abundance of caution for members of the public and our 
staff, the EPA Docket Center and Reading Room are closed to the public, 
with limited exceptions, to reduce the risk of transmitting COVID-19. 
Our Docket Center staff will continue to provide remote customer 
service via email, phone, and webform. We encourage the public to 
submit comments via https://www.regulations.gov/ or email, as there may 
be a delay in processing mail and faxes. Hand deliveries and couriers 
may be received by scheduled appointment only. For further information 
on EPA Docket Center services and the current status, please visit us 
online at https://www.epa.gov/dockets. The telephone number for the 
Public Reading Room is (202) 566-1744, and the telephone number for the 
OMS Docket is (202) 566-1752.

FOR FURTHER INFORMATION CONTACT: Michael Roach, EPA National 
Enforcement Investigations Center, Denver Federal Center, 6th and 
Kipling, Building 25, Denver CO 80225; email address: 
[email protected]; telephone: (303) 462-9080.

SUPPLEMENTARY INFORMATION: The EPA National Enforcement Investigations 
Center (NEIC), established in 1970, provides expertise in field 
investigations, technical and regulatory

[[Page 60034]]

analyses, forensic laboratory analysis, information management, and 
litigation support for civil and criminal environmental enforcement 
actions brought by federal, state, tribal, and local authorities. The 
NEIC Master Tracking System (MTS) consists of a central data directory 
linked with other computerized subsystems. EPA will use NEIC MTS to 
manage and track field, laboratory, and operational support activities.

System Name and Number:
    NEIC Master Tracking System (MTS), EPA-79.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    National Enforcement Investigations Center, Office of Criminal 
Enforcement, Forensics & Training, Environmental Protection Agency, 
Denver Federal Center, 6th and Kipling, Building 25, Denver, Colorado 
80225.

SYSTEM MANAGER(S):
    Michael Roach, EPA National Enforcement Investigations Center, 
Denver Federal Center, 6th and Kipling, Building 25, Denver CO 80225; 
[email protected]; (303) 462-9080

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Powers of Environmental Protection Agency, 18 U.S.C. 3063; 
Comprehensive Environmental Response Compensation and Liability Act, 42 
U.S.C. 9603; Resource Conservation and Recovery Act, 42 U.S.C. 6928; 
Clean Water Act, 33 U.S.C. 1319, 1321; Toxic Substances Control Act, 15 
U.S.C. 2614, 2615; Clean Air Act, 42 U.S.C. 7413; Federal Insecticide, 
Fungicide and Rodenticide Act, 7 U.S.C. 136j, 136l; Safe Drinking Water 
Act, 42 U.S.C. 300h-2, 300i-1; Emergency Planning and Community Right-
To-Know Act of 1986, 42 U.S.C. 11045; and the Marine Protection, 
Research, and Sanctuaries Act of 1972, 33 U.S.C. 1415.

PURPOSE OF THE SYSTEM:
    To support, further, and document criminal and civil investigations 
of persons or organizations alleged to have violated any federal 
environmental statute or regulation or, pursuant to a cooperative 
agreement with a state, local, or tribal authority, an environmental 
statute or regulation of such authority. NEIC MTS is used to maintain 
information related to such investigative efforts, including the nature 
of work, investigation outcomes, required resources, and information 
about the supporting staff. NEIC MTS is used to record, monitor, and 
manage enforcement case-related activities performed in the office, 
field, and laboratory. NEIC MTS is also used to manage project files.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Any person who is the subject of a criminal or civil investigation 
concerning violations of federal environmental statutes and regulations 
(or state, tribal or local environmental statutes and regulations, 
pursuant to a cooperative agreement with a state, tribal or local 
authority); any person who provides information and evidence that is 
used to substantiate criminal or civil environmental violations; any 
third parties identified by persons providing information or evidence 
that is used to substantiate criminal or civil environmental 
violations; and EPA or other federal, state or local government 
personnel, or government contractors that perform field and analytical 
work or otherwise assist in an investigation.

CATEGORIES OF RECORDS IN THE SYSTEM:
    A. Computer Indexes. NEIC MTS includes systems for internal 
tracking and management of NEIC environmental enforcement technical 
support projects, including: a description of the project; a schedule 
of project milestones; the current project status; a listing of 
personnel working on the project; and the environmental statutes at 
issue. These indexes include: enforcement data such as planned dates 
for search warrants or facility inspections; types of sampling or 
analyses to be conducted; and any other work done to support a project. 
The indexes also serve as the computerized management information 
system for NEIC and contain information on the activity and 
productivity of individual employees as well as the organization. NEIC 
MTS's indexes are organized according to project number and project 
name. NEIC assigns project numbers sequentially by project type (i.e., 
civil, criminal). NEIC assigns project names by either the name of an 
entity or an individual, the choice of which depends upon the nature of 
the violation(s) or type of NEIC support activity. NEIC MTS's indexes 
can include the following EPA employee/contractor information: first 
name, last name, local area network (LAN) identification (ID), personal 
phone number(s), and personal email address(es). The indexes can 
include the following investigatory subject information: first name, 
last name, and location (city and state).
    B. Project Files. Documentary information relating to a given 
enforcement matter, including: correspondence (case coordination 
reports, memos of conversation, and other records of communication 
relating to the matter); witness interviews (on-site statements of 
interviews generated either by an NEIC investigator or another agency 
or person); regulatory history (permits and reports generated as a 
result of normal program activity); technical support (project reports 
generated as a result of the investigation); inspection notes; 
financial information; sampling and laboratory notes; and other related 
investigative information. Project files can include first name and/or 
last name of the EPA employee/contractor, federal, state, local, and/or 
tribal investigator. Project files can include the following categories 
of information on the investigatory subject: first name, last name, 
home address, personal telephone number(s), and personal email 
address(es).

RECORD SOURCE CATEGORIES:
    EPA employees and officials; employees of federal contractors; 
employees of other federal, state, local, tribal, or foreign agencies; 
personnel of companies/corporations under investigation; databases 
maintained by EPA; databases maintained by other federal, state, local, 
tribal, or foreign agencies; databases maintained by companies/
corporations under investigation; witnesses; informants; public source 
materials; and other persons who may have information relevant to 
OCEFT/NEIC investigations.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    The routine uses below are both related to and compatible with the 
original purpose for which the information was collected. The following 
general routine uses apply to this system (73 FR 2245):
    A. Disclosure for Law Enforcement Purposes. Information may be 
disclosed to the appropriate federal, state, local, tribal, or foreign 
agency responsible for investigating, prosecuting, enforcing, or 
implementing a statute, rule, regulation, or order, if the information 
is relevant to a violation or potential violation of civil or criminal 
law or regulation within the jurisdiction of the receiving entity.
    C. Disclosure to Requesting Agency. Disclosure may be made 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

[[Page 60035]]

letting of a contract; or the issuance or retention of a license, 
grant, or other benefit. The other agency or licensing organization may 
then make a request supported by the written consent of the individual 
for the entire record if it so chooses. No disclosure will be made 
unless the information has been determined to be sufficiently reliable 
to support a referral to another office within the agency or to another 
federal agency for criminal, civil, administrative, personnel, or 
regulatory action.
    D. Disclosure to Office of Management and Budget. Information may 
be disclosed to the Office of Management and Budget at any stage in the 
legislative coordination and clearance process in connection with 
private relief legislation as set forth in OMB Circular No. A-19.
    E. Disclosure to Congressional Offices. Information may be 
disclosed to a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
request of the individual.
    F. Disclosure to Department of Justice. Information may be 
disclosed to the Department of Justice, or in a proceeding before a 
court, adjudicative body, or other administrative body before which the 
Agency is authorized to appear, when:
    1. The Agency, or any component thereof,
    2. Any employee of the Agency in his or her official capacity,
    3. Any employee of the Agency in his or her individual capacity 
where the Department of Justice or the Agency have agreed to represent 
the employee; or
    4. The United States, if the Agency determines that litigation is 
likely to affect the Agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice or the Agency is deemed by the 
Agency to be relevant and necessary to the litigation provided, 
however, that in each case it has been determined that the disclosure 
is compatible with the purpose for which the records were collected.
    G. Disclosure to the National Archives. Information may be 
disclosed to the National Archives and Records Administration in 
records management inspections.
    H. Disclosure to Contractors, Grantees, and Others. Information may 
be disclosed to contractors, grantees, consultants, or volunteers 
performing or working on a contract, service, grant, cooperative 
agreement, job, or other activity for the Agency and who have a need to 
have access to the information in the performance of their duties or 
activities for the Agency. When appropriate, recipients will be 
required to comply with the requirements of the Privacy Act of 1974 as 
provided in 5 U.S.C. 552a(m).
    I. Disclosures for Administrative Claims, Complaints and Appeals. 
Information from this system of records may be disclosed to an 
authorized appeal grievance examiner, formal complaints examiner, equal 
employment opportunity investigator, arbitrator or other person 
properly engaged in investigation or settlement of an administrative 
grievance, complaint, claim, or appeal filed by an employee, but only 
to the extent that the information is relevant and necessary to the 
proceeding. Agencies that may obtain information under this routine use 
include, but are not limited to, the Office of Personnel Management, 
Office of Special Counsel, Merit Systems Protection Board, Federal 
Labor Relations Authority, Equal Employment Opportunity Commission, and 
Office of Government Ethics.
    J. Disclosure to the Office of Personnel Management. Information 
from this system of records may be disclosed to the Office of Personnel 
Management pursuant to that agency's responsibility for evaluation and 
oversight of federal personnel management.
    K. Disclosure in Connection with Litigation. Information from this 
system of records may be disclosed in connection with litigation or 
settlement discussions regarding claims by or against the Agency, 
including public filing with a court, to the extent that disclosure of 
the information is relevant and necessary to the litigation or 
discussions and except where court orders are otherwise required under 
section (b)(11) of the Privacy Act of 1974, 5 U.S.C. 552a(b)(11).
    The two routine uses below (L and M) are required by OMB Memorandum 
M-17-12.
    L. Disclosure to Persons or Entities in Response to an actual or 
Suspected Breach of Personally Identifiable Information. Information 
from this system of records may be disclosed to appropriate agencies, 
entities, and persons when (1) the Agency suspects or has confirmed 
that there has been a breach of the system of records, (2) the Agency 
has determined that as a result of the suspected or confirmed breach 
there is a risk of harm to individuals, the Agency (including its 
information systems, programs, and operations), the Federal Government, 
or national security; and (3) the disclosure made to such agencies, 
entities, and persons is reasonably necessary to assist in connection 
with the Agency's efforts to respond to the suspected or confirmed 
breach or to prevent, minimize, or remedy such harm.
    M. Disclosure to Assist Another Agency in its Efforts to Respond to 
a Breach. To another Federal agency or Federal entity, when the Agency 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in (1) responding to 
a suspected or confirmed breach or (2) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Hard copy records are stored in file folders labeled with the NEIC 
project number and project name. The project name can be an entity or 
an individual. Computer indexes and electronic files are stored on 
secure, password-protected network drives. They are labeled with the 
NEIC project number and project name.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Project files are assigned a project number and project name, and 
records are maintained in numerical order. Records are primarily 
retrieved by project name; the project number is the secondary 
retrieval method. Electronic records also may be retrieved by using key 
words or phrases, which can include an entity's name, individual 
person's name, and/or location (city and state).

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Administrative data from the system are retained according to EPA 
Records Schedule 1006. Project files are closed when discontinued, 
superseded, or canceled, or when no longer needed for current agency 
business, and destroyed 6 years after closure. Project files relating 
to investigations are retained according to EPA Records Schedule 1044, 
Compliance and Enforcement. Closed project files are retained no less 
than 2 years and no more than 5 years on site. Project files are 
destroyed by the Federal Records Center no less than 5 years and no 
more than 20 years after the closing date, depending on case status. 
Project files classified as permanent records are transferred from the 
Federal Records Center to the National Archives from 15-18 years

[[Page 60036]]

after the closing date, depending on the media.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Security controls used to protect personal sensitive data in NEIC 
MTS are commensurate with those required for an information system 
rated MODERATE for confidentiality, integrity, and availability, as 
prescribed in National Institute of Standards and Technology (NIST) 
Special Publication, 800-53, ``Security and Privacy Controls for 
Information Systems and Organizations,'' Revision 5.
    1. Administrative Safeguards: EPA personnel are required to 
complete annual agency Information Security and Privacy training. EPA 
personnel are instructed to lock their computers when they leave their 
desks.
    2. Technical Safeguards: Computer records are maintained in a 
secure, password-protected computer system. NEIC MTS access is limited 
to authorized, authenticated users. Access is restricted to those 
individuals and managers with an official need for information on a 
project. Security measures control user access and privileges to the 
computer databases at the server, file system, and database level.
    3. Physical Safeguards: Paper records are maintained in lockable 
offices, file cabinets or in a staffed and/or access-controlled central 
records repository. All records are maintained in secure, access-
controlled areas or buildings.

RECORDS ACCESS PROCEDURES:
    Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), certain records 
maintained in NEIC MTS are exempt from specific access and accounting 
provisions of the Privacy Act. See 40 CFR 16.11 and 16.12. However, EPA 
may, in its discretion, grant individual requests for access if it 
determines that the exercise of these rights will not interfere with an 
interest that the exemption is intended to protect. Requests for access 
must be made in accordance with the procedures described in EPA's 
Privacy Act regulations at 40 CFR part 16.

CONTESTING RECORDS PROCEDURES:
    Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), certain records 
maintained in NEIC MTS are exempt from specific correction and 
amendment provisions of the Privacy Act. However, EPA may, in its 
discretion, grant individual requests for correction or amendment if it 
determines that the exercise of these rights will not interfere with an 
interest that the exemption is intended to protect. Requests for 
correction or amendment must identify the record to be changed and the 
corrective action sought, and must be made in accordance with the 
procedures described in EPA's Privacy Act regulations at 40 CFR part 
16.

NOTIFICATION PROCEDURE:
    Individuals who wish to be informed whether a Privacy Act system of 
records maintained by EPA contains any record pertaining to them, 
should make a written request to the EPA Attn: Agency Privacy Officer, 
MC 2831T, 1200 Pennsylvania Ave. NW, Washington, DC 20460, or by email 
at [email protected].

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    For those records within the system collected and maintained 
pursuant to the Federal Rules of Civil Procedure (FRCP) and/or for the 
purpose of civil discovery, action or proceeding, 5 U.S.C. 552a(d)(5) 
will apply, stating that ``nothing in this [Act] shall allow an 
individual access to any information compiled in reasonable 
anticipation of a civil action or proceeding.'' In addition, pursuant 
to 5 U.S.C. 552a(k)(2), this system is exempt from the following 
provisions of the Privacy Act, subject to the limitations set forth in 
that subsection: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 
(e)(4)(H), and (f)(2) through (5). Finally, pursuant to 5 U.S.C. 
552a(j)(2), when records are contained in this system related to 
criminal enforcement, those records are exempt from the following 
provisions of the Privacy Act, subject to the limitations set forth in 
that subsection: 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), 
(e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f)(2) through (5); 
and (g). See 40 CFR 16.11 and 16.12.

HISTORY:
    66 FR 49947--October 1, 2001--Creation of the OCEFT/NEIC Master 
Tracking System of Records (EPA-46).
    78 FR 40737--July 8, 2013--Notification of Deletion of System of 
Records; Office of Criminal Enforcement, Forensics & Training, National 
Enforcement Investigations Center, Master Tracking System (EPA-46).

Vaughn Noga,
Senior Agency Official for Privacy.
[FR Doc. 2021-23633 Filed 10-28-21; 8:45 am]
BILLING CODE 6560-50-P