Document ID: EPA-HQ-OEI-2012-0882-0003
Agency: epa
Document Type: Notice
Title: Privacy Act of 1974; System of Records
Posted Date: 2021-12-16T05:00Z

[Federal Register Volume 86, Number 239 (Thursday, December 16, 2021)]
[Notices]
[Pages 71479-71482]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-27253]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9228-01-OMS]

Privacy Act of 1974; System of Records

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

ACTION: Notice of a modified system of records.

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SUMMARY: The U.S. Environmental Protection Agency's (EPA) Office of 
Mission Support, Office of Enterprise Information Programs is giving 
notice that it proposes to modify a system of records pursuant to the 
provisions of the Privacy Act of 1974. eDiscovery Enterprise Tool 
Suite, EPA-63 is being modified to update the system manager, add 
locations where the data may be stored, modify Routine Use L, and add 
Routine Use M. The purpose of the system is to assist with the 
preservation, search, processing, review, and production of 
electronically stored information (ESI) in support of legal discovery 
or to respond to other formal information requests, such as FOIA 
requests and congressional inquiries. Unless noted in this 
modification, all exemptions and provisions included in the previously 
published system of record notice for eDiscovery Enterprise Tool Suite, 
EPA-63 will transfer to the modified system of record notice for 
eDiscovery Enterprise Tool Suite, EPA-63.

DATES: Persons wishing to comment on this system of records notice must 
do so by January 18, 2022. New or Modified routine uses if adding or 
changing routine uses for this modified system of records will be 
effective January 18, 2022.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OEI-2012-0882, 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

[[Page 71480]]

arrangements should be made for deliveries of boxed information.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OEI-
2012-0882. 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 
about EPA Docket Center services and the current status, please visit 
us online at https://www.epa.gov/dockets.

FOR FURTHER INFORMATION CONTACT: Division Director, eDiscovery 
Division, Office of Mission Support, Office of Enterprise Information 
Programs, 1301 Constitution Ave. NW, Washington, DC 20001.

SUPPLEMENTARY INFORMATION: eDiscovery Enterprise Tool Suite, EPA-63 is 
being modified to update the System Manager to the Director of the 
eDiscovery Division, to add government-certified cloud locations where 
data may be stored to the System Location section, to modify Routine 
Use L, and to add Routine Use M.

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 Mission Support, Office of 
Enterprise Information Programs, 1200 Pennsylvania Avenue NW, 
Washington, DC 20460. Records are also maintained in Research Triangle 
Park, 109 T.W. Alexander Drive, Durham, NC 27709, and other Agency 
offices, or mission locations. Information may also be stored within a 
government-certified cloud, implemented and overseen by the Agency's 
Chief Information Officer (CIO).

SYSTEM MANAGER(S):
    The system manager is the eDiscovery Division Director, Office of 
Mission Support, Office of Enterprise Information Programs, 1301 
Constitution Ave. NW, Washington, DC 20001; [email protected].

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 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

[[Page 71481]]

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 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:
    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:
    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 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,

[[Page 71482]]

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.
    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: To appropriate 
agencies, entities, and persons when (1) EPA suspects or has confirmed 
that there has been a breach of the system of records; (2) EPA has 
determined that as a result of the suspected or confirmed breach there 
is a risk of harm to individuals, EPA (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 EPA'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 of Personally Identifiable Information: To another Federal 
agency or Federal entity, when EPA 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:
    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 name 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 schedules 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 RECORDS 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:
    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 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:
    83 FR 35637 (July 27, 2018).

Vaughn Noga,
Senior Agency Official for Privacy.
[FR Doc. 2021-27253 Filed 12-15-21; 8:45 am]
BILLING CODE 6560-50-P