Document ID: EPA-HQ-OEI-2012-0882-0001
Agency: epa
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2018-07-27T04:00Z

[Federal Register Volume 83, Number 145 (Friday, July 27, 2018)]
[Notices]
[Pages 35637-35640]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-16117]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9980-97-OEI]

Privacy Act of 1974; System of Records

AGENCY: Office of Environmental Information, Environmental Protection 
Agency (EPA).

ACTION: Notice of a new system of records.

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SUMMARY: The Environmental Protection Agency's (EPA) Office of 
Environmental Information (OEI), Office of Enterprise Information 
Programs (OEIP), eDiscovery Division, is giving notice that it proposes 
to establish a new system of records pursuant to the provisions of the 
Privacy Act of 1974 (5 U.S.C. 552a). The new system of records will 
contain information collected using the Agency's suite of tools that 
search and preserve electronically stored information (ESI) in support 
of eDiscovery requests, Freedom of Information Act (FOIA) requests or 
other formal information requests. Exemptions for this system of 
records will be included in the Agency's update of its Privacy Act 
regulations at 40 CFR part 16.

DATES: Persons wishing to comment on this system of records notice must 
do so by. If no comments are received, the systems of records notice 
will become effective by August 27, 2018.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OEI-2012-0882, to the Federal eRulemaking Portal: http://www.regulations.gov. Follow the online instructions for submitting 
comments. Once submitted, comments cannot be edited or withdrawn. The 
EPA may publish any comment received to its public docket. Do not 
submit electronically any information you consider to be Confidential 
Business Information (CBI) or other information for which disclosure is 
restricted by statute. Multimedia submissions (audio, video, etc.) must 
be accompanied by a written comment. The written comment is considered 
the official comment and should include discussion of all points you 
wish to make. The EPA will generally not consider comments or comment 
contents located outside of the primary submission (i.e., on the web,

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cloud or other file sharing system). For additional submission methods, 
the full EPA public comment policy, information about CBI or multimedia 
submissions, and general guidance on making effective comments, please 
visit http://www2.epa.gov/dockets/commenting-epa-dockets.

FOR FURTHER INFORMATION CONTACT: Brian K. Thompson, Acting Director, 
eDiscovery Division, Office of Environmental Protection Agency, U.S. 
Environmental Protection Agency, Mail Code 2822T, 1200 Pennsylvania 
Avenue NW, Washington, DC 20460; email, [email protected]; 
telephone number, 202-564-4256.

SUPPLEMENTARY INFORMATION: The U.S. Environmental Protection Agency 
(EPA) plans to establish a Privacy Act system of records for 
information collected using its eDiscovery (electronic discovery) 
Enterprise Tool Suite. Depending on the specific need, the Agency will 
use a combination of several electronic tools that together assist with 
the preservation, search, processing, review and production of 
electronically stored information (ESI). The tool suite will be used to 
preserve, search, collect, sort and review ESI including email 
messages, word processing documents, media files, spreadsheets, 
presentations, scanned documents and data sets in support of legal 
discovery. The Agency will also use these tools to search for ESI that 
is responsive to requests for information submitted under FOIA or other 
formal information requests.
    To minimize the risk of compromising the information that is being 
stored in the system, strict access controls have been imposed. Access 
to the tool suite containing records is restricted to a limited number 
of authorized users with the appropriate security clearances and 
password permissions. Access to the system is further limited by user 
type. System administrators have full access to the tool suite, 
including the ability to perform administrative functions. Other users 
are provided a level of access to the tool suite that is commensurate 
with their role in the system, allowing them to perform the functions 
for which they are authorized. Authorized users include federal and 
contract staff located throughout the country. The system is maintained 
in secure areas and buildings with physical access controls. The 
eDiscovery Enterprise Tool Suite is maintained by the Office of 
Environmental Information and is stored on servers located in 
Washington, DC, and Durham, NC. Data retrieved are stored on servers 
and work stations throughout the country. The information contained in 
the system can be wide-ranging and potentially include emails, 
documents and other sources of ESI collected from custodians and may 
contain personally identifiable information. The information in the 
system will also contain the names and EPA email addresses of EPA 
employees, contractors, and grantees who have been identified as 
potential information custodians. Privacy information may be included 
in the ESI collected and maintained in the system. Individuals for whom 
records are maintained in the system include, but are not limited to, 
those individuals who have been identified as potential information 
custodians in a litigation, investigation, FOIA matter or other formal 
information request and those individuals whose information may appear 
in such records. The system will aid in protecting the privacy of 
individuals from unwarranted disclosure by allowing authorized users of 
the tool suite to identify files that contain privacy information to be 
protected from disclosure. EPA will safeguard individuals' privacy in a 
manner consistent with the Privacy Act, E-Government Act, OMB 
directives and other federal requirements concerning privacy. 
Accordingly, the privacy of individuals should not be affected.
SYSTEM NAME AND NUMBER
    eDiscovery Enterprise Tool Suite, EPA-63.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    eDiscovery Enterprise Tool Suite, U.S. Environmental Protection 
Agency, eDiscovery Division, Office of Enterprise Information Programs, 
Office of Environmental Information, 1200 Pennsylvania Avenue NW, 
Washington, DC 20460. Records are also maintained in Research Triangle 
Park, 109 T.W. Alexander Drive, Durham, NC 27709.

SYSTEM MANAGER(S):
    Greg Duke, eDiscovery Division, Office of Enterprise Information 
Programs, Office of Environmental Information, MC 3PM50, 1650 Arch 
Street, Philadelphia, PA 19103.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    40 U.S.C. 11315 and 44 U.S.C. 3506.

PURPOSE(S) OF THE SYSTEM:
    To support the document identification and collection processes for 
eDiscovery, Freedom of Information Act requests and other formal 
information requests.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of individuals covered by this system include: (1) All 
persons subject to a litigation hold due to a ``reasonable anticipation 
of litigation'' as determined by EPA; (2) all persons deemed a 
participant of past or present litigation, investigation or arbitration 
where EPA is involved, including civil and criminal enforcement cases 
and defensive litigation; and (3) individuals impacted by Freedom of 
Information Act (FOIA) requests, litigation or other cases in EPA.
    A wide variety of individuals are covered by the system, including 
individuals who correspond with EPA; provide information to EPA that is 
subject to discovery, a FOIA request or other formal information 
request; or are the subject of litigation with EPA; individuals who 
file complaints or petitions with EPA; and individuals involved in 
matters with EPA as either plaintiffs or defendants in both civil and 
criminal matters.

CATEGORIES OF RECORDS IN THE SYSTEM:
     eDiscovery Litigation Hold Files. The litigation hold 
files contain the names and email addresses of EPA employees and EPA 
contractors, interns, or grantees who have been provided EPA email 
addresses and who have been identified as custodians of information 
that needs to be preserved in the anticipation of litigation. The 
records in the system will include these individuals' names and EPA 
email addresses which are entered into the system by designated EPA 
employees responsible for the administration of litigation holds. 
Information in the system includes litigation hold notices and answers 
to certification questions. Reports may be generated from the system 
that identify whether an individual is designated as a custodian of 
hold-responsive information, as well as reports containing the 
information received from individuals in response to questions asked 
through the litigation hold system.
     eDiscovery Case Tracking Files. The case tracking files 
contain information about the cases created in response to a 
litigation, investigation, FOIA matter or other formal information 
request. Case tracking files may contain the names, phone numbers, 
organizations, and email addresses of EPA employees and EPA 
contractors, interns, or grantees who have been identified as 
custodians in a case or as points of contact for managing the case. 
Information in the case tracking files may include the location of the 
information to be searched, search terms and case notes

[[Page 35639]]

entered into the system by designated EPA employees or contractors 
responsible for operating EPA's eDiscovery Enterprise Tool Suite.
     eDiscovery Collection Files. The collection files contain 
information potentially responsive to a litigation, investigation, FOIA 
matter or other formal information request. The Tool Suite may capture 
many types of personally identifiable information depending on where 
that information is stored, including an individual's name; work 
address and telephone number; home address and telephone number; email 
addresses; vehicle information; names of individuals associated with a 
FOIA request or litigation hold; or other related information. The 
collection files contain all data collected by the tools using the 
search criteria and may contain, but not be limited to, correspondence 
(e.g., case coordination reports; memoranda and other records of 
communication, including electronic communication over email systems or 
instant messaging among other EPA employees and/or personnel of other 
federal agencies and outside parties and attachments to those messages 
or communications); local/shared drive data; information collected or 
compiled from EPA database systems; spreadsheets of data collections 
often including personally identifiable information or law enforcement 
data used to track the process of investigations or focus investigative 
priorities; records relating to litigation by or against the United 
States government; records relating to requests for EPA records other 
than requests under the FOIA and the Privacy Act of 1974; legal 
documents including complaints, summaries, affidavits, litigation 
reports, motions, subpoenas and any other court filing or 
administrative filing, or other related litigation documents; 
documentary evidence; supporting documents related to the legal and 
programmatic issues of a case; transcripts of interviews; regulatory 
history (i.e., permits and reports generated as a result of normal 
program activity); administrative record material and comments on 
administrative records; technical support (reports generated to test 
search criteria); investigative notes; reports requesting permission 
and use; transcripts of tapes; records checks (personal history, police 
information, fingerprint cards, photographs); property reports; 
property obtained and retained by an examiner including documents, 
personal property and documentary or other evidence; employment records 
and information related to employment matters; claims and records 
regarding discrimination, including employment and sex discrimination; 
personnel matters; contracts and information relating to contracts; 
manifests and other related investigative information.

RECORD SOURCE CATEGORIES:
    EPA employees; 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 the search criteria.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    EPA's General Routine Uses A, C, D, E, F, G, H, I, K, and L apply 
to this system. Please refer to https://www.federalregister.gov/documents/2008/01/14/E8-445/amendment-to-general-routine-uses for a 
full explanation of these routine uses (73 FR 2245).

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records in the system are stored in database applications running 
on computer servers.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Litigation hold and case tracking files are assigned a case file 
control number or case name. Information collected from individuals 
pertaining to particular cases may be retrieved by names of 
individuals, email addresses, and other unique identifiers.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records stored in the system are subject to records schedule 1012 
and 0089.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Computer records are maintained in a secure, password protected 
computer system. Role-based access controls limit a user's access to 
the information in the system. Users are provided access to information 
in the system based on their need to know. Individuals working on a 
particular matter will be given access to the information related to 
that matter. The eDiscovery Enterprise Tool Suite is a password 
protected system requiring all users log in to access the information 
in the system. The system times out after a period of latency ensuring 
a user re-authenticates their session with a username and password. The 
system also maintains a user log that identifies and records persons 
who access and use the system. Users of EPA systems are required to 
complete security and privacy training on an annual basis to ensure 
continued access to the system. All records are maintained in secure 
areas and buildings with physical access controls.

RECORD ACCESS PROCEDURES:
    Request for access must be made in accordance with the procedures 
described in EPA's Privacy Act regulations at 40 CFR part 16. 
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 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 PROCEDURES:
    Any individual who wants to know whether this system of records 
contains a record about him or her should make a written request to the 
Agency Privacy Officer, MC 2831T, 1200 Pennsylvania Avenue NW, 
Washington, DC 20460.

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 a criminal enforcement 
proceeding, 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), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), 
(e)(4)(H), (e)(5), (e)(8), (f)(2) through (f)(5) and (g).

HISTORY:
    None.

[[Page 35640]]

    Dated: May 30, 2018.
Steven Fine,
Principal Deputy Assistant Administrator.
[FR Doc. 2018-16117 Filed 7-26-18; 8:45 am]
 BILLING CODE 6560-50-P