Document ID: EPA-HQ-OEI-2002-0009-0003
Agency: epa
Document Type: Notice
Title: Privacy Act of 1974: Republication of Exempted System of Records
Posted Date: 2006-01-04T14:08:55Z

[Federal Register: January 4, 2006 (Volume 71, Number 2)]
[Notices]               
[Page 342-345]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr04ja06-55]                         

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ENVIRONMENTAL PROTECTION AGENCY

[OEI-2002-0009; FRL-8017-6]
RIN 2025-AA13

 
Privacy Act of 1974: Republication of Exempted System of Records

AGENCY: Environmental Protection Agency.

ACTION: Final notice of Privacy Act system of records.

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SUMMARY: The Environmental Protection Agency (EPA) is publishing two 
exempt Privacy Act system of records. There has been an appendix added 
to the Criminal Investigative Index and Files notice.

DATES: The revisions will be effective upon publication.

ADDRESSES: Judy E. Hutt, Agency Privacy Act Officer, 1200 Pennsylvania 
Ave., (2522 T), Washington, DC 20460.

FOR FURTHER INFORMATION CONTACT: Judy E. Hutt, Agency Privacy Act 
Officer, 1200 Pennsylvania Ave., (2522 T), Washington, DC 20460, 
telephone (202) 566-1668.

SUPPLEMENTARY INFORMATION: These notices are being published after the 
publishing of Agency rules.

    Dated: December 21, 2005.
Kimberly T. Nelson,
Assistant Administrator and Chief Information Officer.

EPA-17

System Name:
    OCEFT Criminal Investigative Index and Files.

System Location:
    Criminal Investigation Division, Office of Criminal Enforcement, 
Forensics and Training, Environmental Protection Agency, 1200 
Pennsylvania Avenue NW., Washington, DC 20004. Records are also 
maintained in field offices of the OCEFT Criminal Investigation 
Division. See the appendix for addresses of field offices.

Categories of Individuals Covered by the System:
    Subjects of investigations about whom data has been collected by 
criminal investigators of the Office of Criminal Enforcement, Forensics 
and Training, Criminal Investigation Division, and assembled in the 
form of investigative reports concerning violations of federal 
environmental statutes and regulations; persons who provide information 
and evidence that are used to substantiate environmental criminal 
violations are also covered by this system of records; OCEFT criminal 
investigators who participate in investigations.

Categories of Records in the System:
    1. Investigative Index. The computer-enhanced investigative index 
systems contain selected information from the criminal investigative 
files. Such information includes, but is not limited to, personal data 
(e.g., name, address, telephone number); prior/secondary residences; 
vehicle information; associated persons (name and role); driver's 
licenses/aliases; associated companies (name and role); identifying 
numbers (number type, number and brief description); corporate data 
(company name, address, telephone number); corporate vehicle 
information; corporate identifying numbers; case information (e.g. case 
opened, date referred to EPA); criminal investigator comments; name and 
office of criminal investigator; dissemination information (e.g., which 
other agency requested the information); and other related 
investigative information.
    2. Investigative Files. The investigative files contain all 
information relating to an investigative matter. In addition to the 
information contained in the computerized index system, the 
investigative files contain, but are not limited to, correspondence 
(case coordination reports, memos of conversation, and other records of 
communication relating to the investigation); interviews (witness 
interview statements generated by either an OCEFT/CID special agent or 
another agency or person); regulatory history (permits and reports 
generated as a result of normal program activity); technical support 
(program reports generated as a result of the investigation); 
investigative notes; electronic monitoring (reports requesting 
permission and use, transcripts of tapes); records checks (personal 
history, police information, fingerprint cards, photographs); property 
reports; property obtained and retained by OCEFT/CID including 
documents, personal property and physical evidence; manifests and other 
related investigative information.
    3. Criminal Docket. The Criminal Docket is the computerized 
management information system for the Criminal Investigation Division, 
which reflects the activity and productivity of individual agents and 
each OCEFT/CID office. It is also the primary source for assembling 
statistical data for OCEFT/CID. There is no information contained in 
the Criminal Docket that is not also contained in the Criminal 
Investigative Index and Files. The Criminal Docket contains the OCEFT/
CID case number, the case name, the most recent investigative or 
prosecutorial activity, the involved environmental media and 
environmental statutes, government employees involved in the 
investigation, case status and case closure codes. The case name may be 
either a company name or the name of a person that denotes the subject 
of the investigation.

Authority for Maintenance of the System (Includes any Revisions or 
Amendments):
    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; Federal Water Pollution Control 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; Noise Control Act of 1972, 42 U.S.C. 4912; 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(s):
    To support and further the investigation of persons or 
organizations alleged to have criminally violated any environmental 
statute or regulation. Criminal violations of other federal statutes 
may have occurred in conjunction with such environmental violations 
and, therefore, may also be within the scope of an OCEFT/CID 
investigation and may be included in the record system.

Routine Uses of Records Maintained in the System, Including Categories 
of Users, and the Purposes of Such Uses:
    General Routine Uses A, C, D, E, F, G, H, and K apply to this 
system. Records may also be disclosed:
    1. To a potential source of information to the extent necessary to 
elicit information or to obtain cooperation of that source in 
furtherance of an EPA criminal investigation.

[[Page 343]]

    2. To the Department of Justice for consultation about what 
information and records are required to be publicly released under 
federal law.
    3. To a federal agency in response to a valid subpoena.
    4. To Federal and state government agencies responsible for 
administering suspension and debarment programs.
    5. To international law enforcement organizations if the 
information is relevant to a violation or potential violation of civil 
or criminal law or regulation within the jurisdiction of the 
organization or a law enforcement agency that is a member of the 
organization.
    6. To the news media and public unless it is determined that the 
release of the specific information in the context of a particular case 
would constitute an unwarranted invasion of privacy.
    7. To any person if the EPA determines that compelling 
circumstances affecting human health, the environment, or property 
warrant the disclosure.
    8. In connection with criminal prosecution or plea negotiations to 
the extent that disclosure of the information is relevant and necessary 
to the prosecution or negotiation 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).

Policies and Practices For Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Hard copy files and computer databases.

Retrievability:
    Files are assigned a case file number and records are maintained in 
numerical order. Information on individuals may be retrieved through 
the computer index which can use, among other things, case titles, the 
names of individuals, organization names, driver's license numbers, 
vehicle or tag or vehicle identification numbers and other identifying 
numbers.

Safeguards:
    Computer records are maintained in a secure, password protected 
computer system. Paper records are maintained in lockable file 
cabinets. All records are maintained in secure, access-controlled areas 
or buildings. The index system also maintains a user log that 
identifies and records persons who access and use the system.
    Retention and Disposal: The manner of Retention and Disposal of the 
computer index and files depends on how the information is used. The 
files and computerized data fall into one of three categories:
    1. For cases investigated but not referred to the Department of 
Justice (DOJ) for criminal prosecution, files are retained in the 
applicable OCEFT/CID office for two years after the investigation is 
closed and then forwarded to the Federal Records Center (FRC) nearest 
the System Location for an additional three years. The FRC will 
normally destroy the files after three years.
    2. For cases referred to DOJ but DOJ declines to prosecute, files 
are retained by the applicable OCEFT/CID office for five years after 
DOJ declines to prosecute and then retired to the FRC, where they are 
normally destroyed after five years.
    3. For cases that become the subject of judicial action, files are 
retained by the applicable OCEFT/CID office for five years after 
completion of the judicial action and then forwarded to the FRC for an 
additional ten years of retention. The FRC normally destroys the case 
files after ten years.

System Manager(s) and Address:
    Director, Criminal Investigations Division, Office of Criminal 
Enforcement, Forensics and Training, Environmental Protection Agency, 
FOIA Office (MC-2822 T) Ariel Rios Building, 1200 Pennsylvania Avenue, 
NW., Washington, DC 20004.

Notification Procedures:
    Any individual who wants to know whether this system of records 
contains a record about him or her, who wants access to his or her 
record, or who wants to contest the contents of a record, should make a 
written request to the Freedom of Information Office. Requesters will 
be required to provide adequate identification, such as a driver's 
license, employee identification card, or other identifying document. 
Additional identification procedures may be required in some instances.

Access Procedure:
    To the extent permitted under the Privacy Act of 1974, 5 U.S.C. 
552a(j)(2) or (k)(2), this system has been exempted from the provisions 
of the Privacy Act of 1974 that permit access and correction. 
Exemptions from access may be complete or partial, depending on the 
particular exemption applicable. However, EPA may, in its discretion, 
grant individual requests for access and correction if it determines 
that the exercise of these rights will not interfere with an interest 
that the exemption is intended to protect.

Contesting Procedure:
    Requests for correction or amendment must identify the record to be 
changed and the corrective action sought. Complete EPA Privacy Act 
procedures are set out in 40 CFR part 16.

Record Source Categories:
    EPA employees and officials; employees of Federal contractors; 
employees of other Federal agencies and of State, local, tribal, and 
foreign agencies; witnesses; informants; public source materials, and 
other persons who may have information relevant to OCEFT/CID 
investigations.

Systems Exempted From Certain Provisions of the Act:
    Pursuant to 5 U.S.C. 552a(j)(2) this system is exempt from the 
following provisions of the Privacy Act: 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). 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).

Appendix to Criminal Investigative Index and Files

    Criminal Investigation Division offices where system records are 
located:
Boston Area Office, EPA/Criminal Investigation Division, 1 Congress 
Street, Boston, Massachusetts 02203
New York Area Office, EPA/Criminal Investigation Division, 26 
Federal Plaza, 2nd Floor, Room 130, New York, New York 10278
Buffalo Resident Office, EPA/Criminal Investigation Division, 138 
Delaware Avenue, Buffalo, New York 14202, Syracuse Domicile Office, 
EPA/Criminal Investigation Division, P.O. Box 7086, Syracuse, New 
York 13261-7086
Philadelphia Area Office, EPA/Criminal Investigation Division, 841 
Chestnut Street, Philadelphia, Pennsylvania 19107
Baltimore Resident Office, EPA/Criminal Investigation Division, 7142 
Ambassador Road, Baltimore, Maryland 21244
Pittsburgh/Wheeling RAC Office, EPA/Criminal Investigation Division, 
c/o U.S. EPA, 303 Methodist Building, 11th & Chaplin Streets, 
Wheeling, West Virginia 26003
Atlanta Area Office, EPA/Criminal Investigation Division Room 510, 
345 Courtland Street, NE., Atlanta, Georgia 30365
Tampa Resident Office, EPA/Criminal Investigation Division, P.O. Box 
172057, Tampa, Florida 33672
Miami Resident Office, EPA/Criminal Investigation Division, Federal 
Justice Building, 99 N.E. 4th St., 6th Floor, Miami, Florida 33132

[[Page 344]]

Nashville Domicile Office, EPA/Criminal Investigation Division, c/o 
Attorney General & Reporter, 450 James Robertson Parkway, Nashville, 
Tennessee 37243-0494
Chicago Area Office, EPA/Criminal Investigation Division, 77 West 
Jackson, Chicago, Illinois 60604
Dallas Area Office, EPA/Criminal Investigation Division, First 
Interstate Bank Building, 1445 Ross Avenue, Dallas, Texas 75202-2733
Houston Resident Office, EPA/Criminal Investigation Division, 440 
Louisiana, Suite 1150, Houston, Texas 77002-1635
New Orleans Domicile Office, EPA/Criminal Investigation Division, c/
o U.S. Attorney, Hale Boggs Federal Building, 501 Magazine Street, 
Room 210, New Orleans, Louisiana 70130
Kansas City Area Office, EPA/Criminal Investigation Division, 726 
Minnesota Avenue, Kansas City, Kansas 66101
St. Louis Resident Office, EPA/Criminal Investigation Division, 1222 
Spruce Street, Room 10.302, St. Louis, Missouri 63103
Denver Area Office, EPA/Criminal Investigation Division, Suite 500, 
999 18th Street, Denver, Colorado 80202-2413
San Francisco Area Office, EPA/Criminal Investigation Division, 75 
Hawthorne St., C-1, San Francisco, California 94105-3901
Los Angeles Resident Office, EPA/Criminal Investigation Division, 
600 S. Lake Avenue, Suite 502, Pasadena, California 91106
Phoenix Domicile Office, EPA/Criminal Investigation Division, c/o 
Office of the U.S. Attorney, 4000 U.S. Courthouse, 230 North First 
Avenue, Phoenix, Arizona 85025-0085
Seattle Area Office, EPA/Criminal Investigation Division, 1200 Sixth 
Avenue, Seattle, Washington 98101
Portland Resident Office, EPA/Criminal Investigation Division, Att: 
Resident Agent in Charge, 811 Southwest Sixth Ave., Third Floor, 
Portland, Oregon 97204
EPA-21

System Name:
    External Compliance Program Discrimination Complaint Files.

System Location:
    Office of Civil Rights, Environmental Protection Agency, Ariel Rios 
Building, 1200 Pennsylvania Avenue NW., Washington, DC 20460.

Categories of Individuals Covered by the System:
    Individuals who have filed, or had filed on their behalf, 
discrimination complaints against recipients of Federal financial 
assistance.

Categories of Records in the System:
    Letters or other documents initiating discrimination complaints, 
correspondence, internal memoranda and notes pertaining to the 
complaints; investigative reports and findings on the complaints; and 
related information concerning the complaints and investigations. A 
computerized case index includes cases by number, complainant (but not 
all complainants are identified because there are sometimes multiple 
complainants in a single case), and recipient.

Authority for Maintenance of the System (Includes any Revisions or 
Amendments):
    Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et seq.; 
Title IX of the Education Amendments of 1972, 20 U.S.C. 1681 et seq.; 
Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794; Federal 
Water Pollution Control Act Amendments of 1972 (Pub. L. 92-500, section 
13), 33 U.S.C. 1251 note; Title III of the Age Discrimination Act of 
1975, 42 U.S.C. 6101 et seq.); Title VIII of the Federal Fair Housing 
Act (42 U.S.C. 3601); Executive Orders 11246 (Sept. 24, 1965), 12250 
(Nov. 2, 1980) and 12892 (Jan. 17, 1994); 40 CFR part 7.

Purpose(s):
    This file system is maintained to support and further the 
discrimination complaint process, including the investigation and 
resolution of complaints, and to assure compliance with the 
nondiscrimination laws by recipients of Federal financial assistance.

Routine Uses of Records Maintained in the System, Including Categories 
of Users, and the Purposes of Such Uses:
    General Routine Uses A, C, D, E, F, G, H, I, and K apply to this 
system. Records may also be disclosed:
    1. To the Department of Justice or other Federal and State agencies 
when necessary to complete an investigation, enforce the 
nondiscrimination statutes set forth in the Authority section of this 
Notice, or assure proper coordination between Federal agencies.
    2. To persons named as alleged discriminating officials to allow 
such persons the opportunity to respond to the allegations of 
discrimination made against them during the course of the 
discrimination complaint process.
    3. To any potential source of information when necessary to obtain 
information relevant to an OCR investigation of a discrimination 
complaint, but only to the extent necessary to inform the source of the 
Purpose(s) of the request and to identify the type of information 
requested. Policies and Practices For Storing, Retrieving, Accessing, 
Retaining, and Disposing of Records in the System:

Storage:
    File folders. An index of cases is maintained on a computer 
database.

Retrievability:
    By name, case file number, or other characteristic.

Safeguards:
    Computer records are maintained in a secure, password protected 
computer system. Paper records are maintained in lockable file 
cabinets. All records are maintained in secure, access-controlled areas 
or buildings.

Retention and Disposal:
    The record schedule for these records is currently under review and 
will be submitted to the National Archives and Records Administration. 
Proposed retention: Files are retained in the office for one year after 
the final decision is written, sent to the Federal Records Center for 
nine years, then destroyed.

System Manager(s) and Address:
    Associate Director, Complaints Resolution and External Compliance 
Staff, Office of Civil Rights, Environmental Protection Agency, FOIA 
Office (MC-2822 T) Ariel Rios Building, 1200 Pennsylvania Avenue, NW., 
Washington, DC 20460.

Notification Procedures:
    Any individual who wants to know whether this system of records 
contains a record about him or her, who wants access to his or her 
record, or who wants to contest the contents of a record, should make a 
written request to the Freedom of Information Office.

Access Procedure:
    To the extent permitted under the Privacy Act of 1974, 5 U.S.C. 
552a(k)(2), this system has been exempted from the provisions of the 
Privacy Act of 1974 that permit access and correction. However, EPA 
may, in its discretion, fully grant individual requests for access and 
correction if it determines that the exercise of these rights will not 
interfere with an interest that the exemption is intended to protect. 
The exemption from access is limited in some instances by law to 
information that would reveal the identity of a confidential source. 
Requesters will be required to provide adequate identification, such as 
a driver's license, employee identification card, or other identifying 
document. Additional identification procedures may be required in some 
instances.

Contesting Procedure:
    Requests for correction or amendment must identify the record to be 
changed and the corrective action sought. Complete EPA Privacy Act 
procedures are set out in 40 CFR Part 16.

[[Page 345]]

Record Source Categories:
    Complainants, recipients, witnesses, EPA investigators and/or 
contract investigators, other EPA personnel, and other persons with 
information relevant to the case.

Systems Exempted From Certain Provisions of the Act:
    Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the 
following provisions of the Privacy Act of 1974, subject to the 
limitations set forth in that subsection: 5 U.S.C. 552a(c)(3), (d), and 
(e)(1).
[FR Doc. 06-46 Filed 1-3-06; 8:45 am]

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