Document ID: EPA-HQ-OEI-2018-0537-0001
Agency: epa
Document Type: Notice
Title: Privacy Act; Systems of Records: External Compliance Case Tracking System (EXCATS)
Posted Date: 2021-07-28T04:00Z

[Federal Register Volume 86, Number 142 (Wednesday, July 28, 2021)]
[Notices]
[Pages 40558-40561]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-16051]

[[Page 40558]]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-8702-01-OMS]

Privacy Act of 1974; System of Records

AGENCY: Office of General Counsel, Environmental Protection Agency.

ACTION: Notice of a modified system of records.

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SUMMARY: The U.S. Environmental Protection Agency's (EPA) Office of 
General Counsel/External Civil Rights Compliance Office (OGC/ECRCO) is 
giving notice that it proposes to modify a system of records pursuant 
to the provisions of the Privacy Act of 1974. External Compliance Case 
Tracking System (EXCATS) is being modified to accurately notify the 
public about the change of administrative location of the EXCATS from 
its former administrative location, the Office of the Administrator, to 
the Office of the General Counsel, effective, December 2016. EXCATS is 
also being modified to support and enhance the discrimination complaint 
process, including the investigation and resolution of complaints, and 
to provide for a discrimination complaint form to enable the public to 
file electronically discrimination complaints directly to the EXCATS. 
The purpose of EXCATS is to assist OGC/ECRCO in collecting and 
maintaining case-related information and provide the EPA OGC/ECRCO with 
the ability to more effectively manage program information needs and 
integrate the office's various business processes. The EXCATS assists 
OGC/ECRCO in the collection and maintenance of compliance-related data 
and other information needed by the OGC/ECRCO to complete case 
investigation and resolution activities and issue civil rights-related 
determinations.

DATES: Persons wishing to comment on this system of records notice must 
do so by August 27, 2021. New or modified routine uses for this 
modified system of records will be effective August 27, 2021.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OEI-2018-0537, by one of the following methods:
    Federal eRulemaking Portal: https://www.regulations.gov. Follow the 
online instructions for submitting comments.
    Email: docket_oms@epa.gov. 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-OEI-
2018-0537. The EPA's 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 the EPA, which means the EPA will 
not know your identity or contact information. 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. 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. 
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. The Public Reading Room is normally open 
from 8:30 a.m. to 4:30 p.m., Monday through Friday excluding legal 
holidays. The telephone number for the Public Reading Room is (202) 
566-1744, and the telephone number for the OMS Docket is (202) 566-
1752.

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.

FOR FURTHER INFORMATION CONTACT: Dale Rhines, Deputy Director, OGC/
ECRCO, rhines.dale@epa.gov, (202) 564-4174 or by mail at 1200 
Pennsylvania Avenue NW, Mail Code 2310A, Washington, DC 20460.

SUPPLEMENTARY INFORMATION: EXCATS was developed to allow OGC/ECRCO to 
more effectively manage its program information needs and to integrate 
its various business processes. Among other things, EXCATS assists OGC/
ECRCO in the collection and maintenance of compliance-related data and 
other information needed by the OGC/ECRCO to complete case 
investigation and resolution activities and to issue determinations 
under Title VI of the Civil Rights Act of 1964, Section 504 of the 
Rehabilitation Act of 1973, the Age Discrimination Act of 1975 and 
other federal statutes that prohibit discrimination by programs or 
entities that apply for or receive financial assistance from EPA.

SYSTEM NAME AND NUMBER:
    External Compliance Case Tracking System (EXCATS), EPA-21.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    The EXCATS Web-based application is currently hosted under a 
contract with MicroPact, Inc. Hosting facility located at Equinix, 
44470 Chilum Place DC3 Bldg. 1, Ashburn, Virginia 20147.

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SYSTEM MANAGERS(S):
    Dale Rhines, Deputy Director, OGC/ECRCO, Environmental Protection 
Agency, 1200 Pennsylvania Avenue NW, Mail Code 2310A, Washington, DC 
20460 or by email at rhines.dale@epa.gov, or at (202) 564-4174.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The EXCATS assists ECRCO in carrying out its responsibilities under 
the following authorities: Title VI of the Civil Rights Act of 1964, 42 
United U.S.C. 2000d to 2000d-7 (Title VI); Section 504 of the 
Rehabilitation Act of 1973, as amended, 29 U.S.C. 794; Title IX of the 
Education Amendments of 1972, as amended, 20 U.S.C. 1681 et seq.; 
Federal Water Pollution Control Act Amendments of 1972, Public Law 92-
500 Sec.  13, 86 Stat. 903 (codified as amended at 33 U.S.C. 1251 
(1972)); Age Discrimination Act of 1975, 42 U.S.C. 6101 et seq.; 40 CFR 
parts 5 and 7; Executive Order 12250 (Nov. 2, 1980).

PURPOSE(S) OF THE SYSTEM:
    To support and enhance the discrimination complaint process, 
including the investigation and resolution of complaints. EXCATS 
assists OGC/ECRCO in collecting and maintaining case-related 
information and provides OGC/ECRCO with the ability to more effectively 
manage program information needs and integrate the office's various 
business processes.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have filed, or had filed on their behalf, 
discrimination complaints regarding applicants or recipients of federal 
financial assistance on the basis of race, color, national origin, age, 
sex, or disability. Witnesses.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Letters or other documents initiating discrimination complaints 
including complainant's name and address, telephone numbers, email 
addresses, correspondence, internal memoranda and notes pertaining to 
the complaints; recipient staff interviews and interviews with members 
of the public; investigative plans; resolution agreements and other 
resolution documents; findings on the complaints; and related 
information regarding the complaints and investigations; civil rights 
compliance reviews of applicants for or recipients of federal financial 
assistance; medical information and records of physical or mental 
impairments; eligibility determinations impacting complainants, 
witnesses or other parties; administrative subpoena files; self-
evaluation plans; racial/ethnic analyses of workforce and program 
enrollees; notice of violations; language assistance plans; training 
programs; civil enforcement files; environmental policies and program 
files.

RECORD SOURCE CATEGORIES:
    Complaints, applicants and recipients of federal financial 
assistance, witnesses, EPA Investigators and/or contract investigators, 
other EPA personnel with a connection to the case, and other persons 
with information relevant to the case.

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.
    B. Disclosure Incident to Requesting Information. Information may 
be disclosed to any source from which additional information is 
requested (to the extent necessary to identify the individual, inform 
the source of the purpose of the request, and to identify the type of 
information requested,) when necessary to obtain information relevant 
to an agency decision concerning retention of an employee or other 
personnel action (other than hiring,) retention of a security 
clearance, the letting of a contract, or the issuance or retention of a 
grant, or other benefit.
    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 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

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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 a Compromise or 
Breach of Personally Identifiable Information. 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.
    Additional routine uses that apply to this system are:
    1. 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. Persons Named as Alleged Discriminators. To allow such persons 
the opportunity to respond to the allegations made against them during 
the course of the discrimination complaint process.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    All electronic data are stored on servers maintained in locked 
facilities with computerized access control and all printed materials 
are filed in secure cabinets in secure federal facilities with access 
based on need.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by complaint number, name, address, email 
address or telephone number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records stored in this system are subject to EPA's records schedule 
1044, Item c: Routine compliance and enforcement records (DAA 0412-
2013-0017-0003).
    Includes:
     External discrimination complaints related to civil rights 
violations filed by individuals or groups alleging that their civil 
rights have been violated by EPA-funded entities, complaints, 
correspondence, reports, exhibits, notices, depositions transcripts, 
and other related records.
     Compliance review files.
    Disposition:
     Close when activity, project, or case is completed.
     Destroy 10 years after file closure.

ADMINISTRATIVE, TECHNICAL AND PHYSICAL SAFEGUARDS:
    Security controls used to protect personal sensitive data in EXCATS 
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. EXCATS system administrators have appropriate security 
clearance.
    2. Technical Safeguards. Only authorized OGC/ECRCO users whose 
official duties require the use of such information have access to the 
information in the system. No users outside of OGC/ECRCO have access to 
the system. Specific access is structured around need and is determined 
by the person's role in the organization. Access is managed through the 
use of electronic access control lists, which regulate the ability to 
read, change and delete information in the system. Each OGC/ECRCO user 
has read access to designated information in the system, with the 
ability to modify only their own submissions or those of others within 
their region or group. Data identified as confidential are so 
designated in the system and only specified individuals are granted 
access. The system maintains an audit trail of all actions against the 
data base. All electronic data are stored on servers maintained in 
locked facilities with computerized access control allowing access to 
only those support personnel with a demonstrated need for access. A 
database is kept of all individuals granted security card access to the 
room, and all visitors are escorted while in the room. The server 
facility has appropriate environmental security controls, including 
measures to mitigate damage to automated information system resources 
caused by fire, electricity, water and inadequate climate controls. 
Access control to servers, individual computers and databases includes 
a required user log-on with a password, inactivity lockout to systems 
based on a specified period of time, legal notices and security 
warnings at log-on, and remote access security that allows user access 
for remote users (e.g., while on government travel) under the same 
terms and conditions as for users within the office.
    3. Physical Safeguards. Printed materials are filed in secure 
cabinets in secure federal facilities with access based on need as 
described above for the automated component of the system.

RECORD ACCESS PROCEDURES:
    Individuals seeking access to their own personal information in 
this system

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of records will be required to provide adequate identification (e.g., 
driver's license, military identification card, employee badge or 
identification card). Additional identity verification procedures may 
be required as warranted. Requests must meet the requirements of EPA's 
Privacy Act regulations at 40 CFR part 16.

CONTESTING RECORD PROCEDURES:
    Requests for correction or amendment must identify the record to be 
changed and the corrective action sought. Complete EPA Privacy Act 
procedures are described in EPA's Privacy Act regulations at 40 CFR 
part 16.

NOTIFICATION PROCEDURE:
    Any individual who wants to know whether the system of records 
contains a record about him or her should submit a written request to 
the EPA, Attn: Agency Privacy Officer, WJC West, MC2831T, 1301 
Constitution Avenue, NW, Washington, DC 20460, privacy@epa.gov.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    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 5 U.S.C. 552a(c)(3), (d), and (e)(1).

HISTORY:
    79 FR 63622 (October 24, 2014)--Notice of a Modified System of 
Records. The purpose of that notice was to inform the public that the 
OGC/ECRCO (formerly known as the Title VI External Compliance Program) 
was amending the External Compliance Program Discrimination Complaint 
Files system of records. The system was amended to change the (1) 
system name; (2) the addresses of system locations and system managers; 
(3) categories of individuals covered by the system; (4) routine uses; 
and (5) storage, retrievability and safeguard requirements.

Vaughn Noga,
Senior Agency Official for Privacy.
[FR Doc. 2021-16051 Filed 7-27-21; 8:45 am]
BILLING CODE 6560-50-P