# Revision of Privacy Act System of Records > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/fr%3AE9-7050 ## Record - **Collection:** Federal Register - **Document type:** Notice - **Published:** April 1, 2009 - **Citation:** 74 FR 14890 ## Text SMALL BUSINESS ADMINISTRATION Revision of Privacy Act System of Records AGENCY: Small Business Administration. ACTION: Notice of Revision of Agency's System of Records pursuant to the provisions of the Privacy Act and to open comment period. SUMMARY: This notice provides for review and comment on the most recent major revision of the Agency's Privacy Act Systems of Records. SBA last published its complete Systems of Records on September 30, 2004, this publication will consolidate all revisions since that date. This publication will incorporate into the full text of the Systems, all changes that have been published since the 2004 publication. These include: the December 23, 2004 revision to System 20, Disaster Loan Files; June 10, 2005 revision to Systems 3, Advisory Counsel Files; in compliance with Homeland Security Presidential Directive 12, the October 2, 2006 publication of System 34, Identity Management Systems, and the August 23, 2007 publication of new routine use for all Agency Systems of Records to address the breech of personally identifiable information as recommended by the Office of Management and Budget. This notice and revision also includes the addition of two new Systems of Records proposed by the Office of the Inspector General, SBA 35—Non-Employment Related Background Checks and SBA 36—Suspension and Debarment Files. Other minor changes such as office addresses and titles have been included and System 27, formerly entitled Security and Investigations Files is renamed Employee Misconduct Files. DATES: Written comments on the System of Records must be received on or before April 30, 2009. The notice shall be effective as proposed with or without further publication at the end of the comment period, unless comments are received which would require contrary determination. ADDRESSES: Written comments on the System of Records should be directed to Lisa J. Babcock, Chief, Freedom of Information/Privacy Acts Office, U. S. Small Business Administration, 409 3rd Street, SW., Washington, DC 20416. FOR FURTHER INFORMATION CONTACT: Lisa J. Babcock, Chief, Freedom of Information/Privacy Acts Office, (202) 401-8203. SUPPLEMENTARY INFORMATION: This publication is in accordance with the Privacy Act stipulation that Agencies publish their Systems of Records in the Federal Register when there is a revision, change or addition. Small Business Administration New Privacy Act Systems of Records; Narrative Statement Privacy Act System of Records SBA 35; Non-Employment Related Background Checks A. Narrative Statement 1. The Small Business Administration (SBA) is adding a new system of records to the Agency's Privacy Act Systems of Records. The new system is entitled “Non-Employment Related Background Checks.” The systems consists of records that maintain information about applicants for SBA loans or other assistance or recognition, including application forms, such as SBA Form 912 and related fingerprint cards, criminal history and other records checks and correspondence concerning background. The system is maintained by SBA's Office of the Inspector General in both electronic and paper formats. 2. Refer to the following citations: 5 U.S.C. App. 3 (The Inspector General Act of 1978, as amended ); 15 U.S.C. Chapters 14A and 14B, and 44 U.S.C. 3101. 3. The effect on the individual will be minimal. The information contained in the System will be viewed only by Agency personnel, contractors, experts, consultants or volunteers in the line of their official duties. These individuals must comply with the requirements of the PA of 1974, as amended, pursuant to 5 U.S.C. 552a(m). Any potential disclosures outside of the Agency will be in compliance with the routine uses of the System and will only be to individuals with a need to know. 4. Access and use of the records will be limited to specified individuals with official need to know. Records will be stored in locked file cabinets and all computers containing these records are protected by password and user identification codes. In addition, records in this system of records are exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i). 5. The new proposed category of records use satisfies the compatibility requirement of subsection (a)(4) of the Act as the FOI/PA Tracking System is a “collection, or grouping of information about an individual that is maintained by an agency” and “contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual.” 6. This is an internal information collection. The Agency deems the OMB approved information collection requirements unnecessary. Small Business Administration New Privacy Act Systems of Records; Narrative Statement Privacy Act System of Records SBA 36; Suspension and Debarment Files B. Narrative Statement 1. The Small Business Administration (SBA) is adding a new system of records to the Agency's Privacy Act Systems of Records. The new system is entitled “Suspension and Debarment Files.” The systems consists of records that maintain information Records consist of materials compiled from investigations and/or audits which identify violations which may be cause for suspension or debarment pursuant to the Federal Acquisition Regulations or the government-wide non-procurement suspension and debarment regulations. These materials include indictments, information, plea agreements, judgments, loan agreements, contract documents, etc., that pertain to an individual's or entity's participation in government contracts, SBA loan programs, and other SBA assistance. 2. Refer to the following citations: 5 U.S.C. App. 3 (the Inspector General Act of 1978, as amended ); 15 U.S.C. Chapters 14A and 14B; and 44 U.S.C. 3101; 48 CFR Subpart 9.4 (procurement); 2 CFR Parts 180 and 2700 (non-procurement), and Executive Orders 12549 and 12682. 3. The effect on the individual will be minimal. The information contained in the System will be viewed only by Agency personnel, contractors, experts, consultants or volunteers in the line of their official duties. These individuals must comply with the requirements of the PA of 1974, as amended, pursuant to 5 U.S.C. 552a(m). Any potential disclosures outside of the Agency will be in compliance with the routine uses of the System and will only be to individuals with a need to know. Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), and pursuant to 5 U.S.C. § 552(a)(k)(2) and (k)(5). 4. Access and use of the records will be limited to specified individuals with official need to know. Records will be stored in locked file cabinets and all computers containing these records are protected by password and user identification codes. 5. The new proposed category of records use satisfies the compatibility requirement of subsection (a)(4) of the Act as the FOI/PA Tracking System is a “collection, or grouping of information about an individual that is maintained by an agency” and “contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual.” 6. This is an internal information collection. The Agency deems the OMB approved information collection requirements unnecessary. Appendix A Headquarters 409 Third St., SW., Washington, DC 20416 Boston Regional Office 10 Causeway St., Suite 812, Boston, MA 02222-1093 New York Regional Office 26 Federal Plaza, Suite 3108, New York, NY 10278 New York Regional Office 26 Federal Plaza, Suite 3108, New York, NY 10278 Philadelphia Regional Office 900 Market St., 5th Floor, Philadelphia, PA 19107 Atlanta Regional Office 233 Peachtree St., NE., South Tower, Suite 496, Atlanta, GA 30303 Chicago Regional Office 500 West Madison St., Suite 1250, Chicago, IL 60661-2511 Dallas Regional Office 4300 Amon Carter Blvd., Suite 114, Fort Worth, TX 76155 Kansas City Regional Office 323 West 8th St., Suite 307, Kansas City, MO 64105 Denver Regional Office 721 19th St., Suite 101, Denver, CO 80202 San Francisco Regional Office 455 Market St., Suite 2200, San Francisco, CA 94105 Seattle Regional Office 1200 Sixth Ave., Suite 1805, Seattle, WA 98101-1128 SBA District Offices Region I Maine District Office 40 Western Ave., Room 512, Augusta, ME 04330 Massachusetts District Office 10 Causeway St., Suite 265, Boston, MA 02222-1093 New Hampshire District Office 55 Pleasant St., Suite 3101, Concord, NH 03301 Connecticut District Office 330 Main St., 2nd Floor, Hartford, CT 06106 Vermont District Office 87 State St., Suite 205, Montpelier, VT 05602 Rhode Island District Office 380 Westminster Mall, 5th Floor, Providence, RI 02903 Springfield Branch Office 1441 Main St., Suite 410, Springfield, MA 01103 Region II Buffalo District Office 111 West Huron St., Room 1311, Buffalo, NY 14202 Elmira Branch Office 333 E. Water St., 4th Floor, Elmira, NY 14901 Melville Branch Office 35 Pinelawn Road, Suite 207, Melville, NY 11747 New Jersey District Office Two Gateway Center, 15th Floor, Newark, NJ 07102 New York District Office 26 Federal Plaza, Rm. 3108, New York, NY 10278 Puerto Rico & Virgin Islands District Office 252 Ponce De Leon Blvd., Hato Rey, Puerto Rico 00918 Rochester Branch Office 100 State Street, Suite 410, Rochester, NY 14614 Syracuse District Office 401 South Salina St., 5th Floor, Syracuse, NY 13202 St. Croix Branch Office Sunny Isle Professional Building, Suites 5&6, Christiansted, VI 00820 St. Thomas Branch Office 3800 Crown Bay Street, St. Thomas, VI 00802 Region III Baltimore District Office 10 S. Howard St., Suite 6220, Baltimore, MD 21201-2525 Charleston Branch Office 405 Capitol St., Suite 412, Charleston, WV 25301 West Virginia District Office Federal Center, Suite 330, 320 West Pike St., Clarksburg, WV 26301 Harrisburg Branch Office 100 Chestnut St., Suite 107, Harrisburg, PA 17101 Philadelphia District Office 900 Market St., 5th Floor, Philadelphia, PA 19107 Pittsburgh District Office Federal Building, Rm. 1128, 1000 Liberty Ave., Pittsburgh, PA 15222-4004 Richmond District Office 400 North 8th St., 11th Floor, Richmond, VA 23240-0126 Washington District Office 1110 Vermont Ave., NW., Suite 900, Washington, D.C. 20005 Wilkes-Barre Branch Office 7 North Wilkes-Barre Blvd., Suite 407, Wilkes-Barre, PA 18702 Delaware District Office 1318 North Market, Wilmington, DE 19801-3011 Region IV Georgia District Office 233 Peachtree Rd., NE., Suite 1800, Atlanta, GA 30303 Alabama District Office 801 Tom Martin Dr., Suite 201, Birmingham, AL 35211 North Carolina District Office 6302 Fairview Rd., Suite 300, Charlotte, NC 28210-2227 South Carolina District Office 1835 Assembly St., Rm. 358, Columbia, SC 29201 Gulfport Branch Office 2909 13th St., Suite 203, Gulfport, MS 39501-1949 Mississippi District Office 210 E. Capitol St., Suite 210E, Jackson, MS 39201 Jacksonville—North Florida District Office 7825 Baymeadows Way., Suite 100-B, Jacksonville, FL 32256-7504 Kentucky District Office 600 Dr. M.L. King Jr. Place, Rm. 188, Louisville, KY 40202 Miami—South Florida District Office 100 S. Biscayne Blvd, 7th Floor, Miami, FL 33131 Tennessee District Office 50 Vantage Way, Suite 201, Nashville, TN 37228-1500 Region V Illinois District Office 500 West Madison St., Chicago, IL 60661-2511 Cincinnati Branch Office 525 Vine St., Suite 870, Cincinnati, OH 45202 Cleveland District Office 1111 Superior Ave., Suite 630, Cleveland, OH 44114-2507 Columbus District Office 2 Nationwide Plaza, Suite 1400, Columbus, OH 43215-2542 Michigan District Office 477 Michigan Ave., Suite 515, Detroit, MI 48226 Indiana District Office 429 North Pennsylvania St., Suite 100, Indianapolis, IN 46204-1873 Wisconsin District Office 310 West Wisconsin Ave., Suite 400, Madison, WI 53203 Minnesota Branch Office 100 North 6th St., 210-C, Minneapolis, MI 55403 Wisconsin Branch Office 310 West Wisconsin Ave., Milwaukee, WI 53203 Minnesota District Office 100 North 6th St., Minneapolis, MN 55403-1563 Springfield Branch Office 511 W. Capitol Ave., Suite 302, Springfield, IL 62704 Region VI New Mexico District Office 625 Silver Ave., S.W., Suite 320, Albuquerque, NM 87102 Corpus Christi Branch Office 3649 Leopard St., Suite 411, Corpus Christi, TX 78408 Dallas/Ft. Worth District Office 4300 Amon Carter Blvd., Suite 108, Dallas, TX 76155 El Paso District Office 10737 Gateways West, Suite 320, El Paso, TX 79935 Houston District Office 8701 S. Gessner Dr., Suite 1200, Houston, TX 77074 Arkansas District Office 2120 Riverfront Dr., Suite 100, Little Rock, AR 72202 Lower Rio Grande Valley District Office 222 E. Van Buren St., Rm. 500, Harlingen, TX 78550-6855 Lubbock District Office 1205 Texas Ave., Suite 408, Lubbock, TX 79401-2693 New Orleans District Office 365 Canal St., Suite 2820, New Orleans, LA 70130 Oklahoma District Office 301 Northwest 6th St., Suite 116, Oklahoma City, OK 73102 San Antonio District Office 727 E. Durango Blvd., 5th Floor, San Antonio, TX 78206 Region VII Cedar Rapids Branch Office 215 4th Ave. S.E., Suite 200, Cedar Rapids, IA 52401-1806 Des Moines District Office 210 Walnut St., Room 749, Des Moines, IA 50309-2186 Kansas City District Office 323 West 8th Ave., Suite 501, Kansas City, MO 64105-1500 Nebraska District Office 11145 Mill Valley Rd., Omaha, NB 68154 Springfield Branch Office 830 East Primrose, Suite 101, Springfield, MO 65807-52540 St. Louis District Office 815 Olive Street, St. Louis, MO 63101 Wichita District Office 271 West Third St., Suite 2500, Wichita, KS 67202-1212 Region VIII Wyoming District Office 100 East B Street, Rm. 4001, Casper, WY 82601 Denver District Office 721 19th St., Suite 426, Denver, CO 80202 North Dakota District Office 657 Second Ave. North, Room 219, Fargo, ND 58108 Montana District Office 10 West 15th St., Suite 1100, Helena, MT 59626 Utah District Office 125 South State St., Room 2237, Salt Lake City, UT 84138 South Dakota District Office 2329 North Career Ave., Suite 105, Sioux Falls, SD 57107 Region IX Agana Branch Office 400 Route 8, Suite 302, Hagatna, GU 96910-2003 Fresno District Office 2719 North Air Fresno Dr., Suite 200, Fresno, CA 93727-1547 Hawaii District Office 300 Ala Moana Blvd., Rm. 2-235, Honolulu, HI 96850-4981, Nevada District Office 300 Las Vegas Blvd., Suite 110, Las Vegas, NV 89101 Los Angeles District Office 330 North Brand Blvd., Suite 1200, Glendale, CA 91203-2304 Arizona District Office 2828 North Central Ave., Suite 800, Phoenix, AZ 85004-1025 Sacramento District Office 650 Capital Mall, Suite 7-500, Sacramento, CA 95814-2413 San Diego District Office 550 West C St., Suite 550, San Diego, CA 92101-3500 San Francisco District Office 455 Market St., 6th Floor, San Francisco, CA 94105-2445 Santa Ana District Office 200 West Santa Ana Blvd., Suite 700, Santa Ana, CA 92701 Region X Alaska District Office 50 L St., Suite 310, Anchorage, AK 99501 Boise District Office 380 East Parkcenter Blvd., Boise, ID 83706 Portland District Office 1515 S.W. 5th Ave., Suite 1050, Portland, OR 97201-5494 Seattle District Office 1200 6th Ave., Rm. 1700, Seattle, WA 98101-1128 Spokane Branch Office 801 West Riverside, Suite 200, Spokane, WA 99201 Spokane District Office 801 West Riverside Ave., Suite 200, Spokane, WA 99201-0901 SBA Disaster Loan Making Centers DCMS Operations Center 13221 Woodland Park Rd., Herndon, VA 20174 Disaster Assistance Customer Service Center 130 S. Elmwood Avenue, Buffalo, NY 14202 Disaster Field Operations Center—East 101 Marietta Street, Suite 700, Atlanta, GA 30303 Disaster Loan Processing and Disbursement Center 14925 Kingsport Rd., Fort Worth, TX 76155-2243 Disaster Field Operations Center—West P.O. Box 419004, Sacramento, CA 95841-9004, or 6501 Sylvan Rd., Citrus Heights, CA 95610-5017 Disaster Personnel and Administrative Services Center 13221 Woodland Park Rd., Herndon, VA 20174 Field Inspection Team 13221 Woodland Park Rd., Herndon, VA 20174 SBA Home Loan Servicing Centers Birmingham Home Loan Servicing Center 2121 8th Ave. North, Suite 200, P.O. Box 12247, Birmingham, AL 35202-2247 New York Home Loan Servicing Center 201 Varick St., Rm. 628, New York, NY 10014 El Paso Home Loan Servicing Center 10737 Gateway West, Suite 300, El Paso, TX 79935 Santa Ana Loan Servicing & Liquidation Office 200 W. Santa Ana Blvd., Santa Ana, CA 92701 Commercial Loan Servicing Centers Fresno Commercial Loan Servicing Center 2719 N. Fresno Dr., Suite 107, Fresno, CA 93727-1547 Little Rock Commercial Loan Servicing Center 2120 Riverfront Dr., Suite 100, Little Rock, AR 72202 Office of the Inspector General Office of Inspector General 409 Third Street, SW., Washington, DC 20416 Office of Inspector General Investigation Division 409 Third Street, SW., Washington, DC 20416 Office of Inspector General Auditing Division 409 Third Street, SW., Washington, DC 20416 Office of Inspector General Counsel Division 409 Third Street, SW., Washington, DC 20416 Office of Inspector General Management & Policy Division 409 Third Street, SW., Washington, DC 20416 Atlanta Inspector General Auditing Division 233 Peachtree St., NE., Suite 1803, Atlanta, GA 30303 Dallas/Fort Worth Inspector General Auditing 4300 Amon Carter Blvd., Suite 116, Fort Worth, TX 76155 Los Angeles Inspector General Auditing Division 330 North Brand Blvd., Suite 660, Glendale, CA 91203-2304 Atlanta Inspector General Investigations Division 233 Peachtree St., NE., Suite 1802, Atlanta, GA 30303 Chicago Inspector General Investigations Division 801 Warrenville Road, Suite 230, Lisle Chicago, IL 60532 Dallas/Fort Worth Inspector General Investigations Division 4300 Amon Carter Blvd., Suite 116, Fort Worth, TX 76155-2653 Detroit Inspector General Investigations Division 477 Michigan Avenue, Suite 515, Detroit, MI 48266 Houston Inspector General Investigations Division 8701 South Gessnar Drive, Suite 1200, Houston, TX 77074 Kansas City Inspector General Investigations Division 1000 Walnut Street, Suite 510, Kansas City, MO 64106 Los Angeles Inspector General Investigation Division 330 North Brand Blvd., Suite 850, Glendale, CA 91203-2304 Miami Inspector General Investigations Division Claude Pepper Federal Building, 51 SW 1st Avenue, Suite 1325, Miami, FL 33130 New Orleans Inspector General Auditing Division and Investigations Divisions 365 Canal Street, Suite 2420, New Orleans, LA 70130 New York Inspector General Investigations Division 26 Federal Plaza, Rm. 41-100, New York, NY 10278 Philadelphia Inspector General Investigations Division Curtis Center Room 860W, 601 Walnut Street, Philadelphia, PA 19106 Tacoma Inspector General Investigations Division 33400 9th Avenue, Federal Way, WA 98003 Table of Contents SBA 1—Administrative Claims SBA 2—Administrator's Executive Secretariat Files SBA 3—Advisory Council Files SBA 4—Office of Inspector General Records Other Than Investigations Records SBA 5—Business and Community Initiatives Resource Files SBA 6—Civil Rights Compliance Files SBA 7—Combined Federal Campaign SBA 8—Correspondence and Inquiries SBA 9—Cost Allocation Data System SBA 10—Employee Identification Card Files SBA 11—Entrepreneurial Development-Management Information System SBA 12—Equal Employment Opportunity Pre-Complaint Counseling SBA 13—Equal Employment Opportunity Complaint Cases SBA 14—Freedom of Information/Privacy Act Records SBA 15—Grievance and Appeals Files SBA 16—Investigative Files SBA 17—Investigations Division Management Information System SBA 18—Legal Work Files on Personnel Cases SBA 19—Litigation and Claims Files SBA 20—Disaster Loan Case Files SBA 21—Loan System SBA 22—Outside Employment Files SBA 23—Payroll Files SBA 24—Personnel Security Files SBA 25—Portfolio Review Files SBA 26—Power of Attorney Files SBA 27—Employee Misconduct Files SBA 28—Small Business Persons and Advocate Awards SBA 29—Standards of Conduct SBA 30—Servicing and Contracts System/Minority Enterprise Development Headquarters Repository SBA 31—Temporary Disaster Employee Files SBA 32—Tort Claims SBA 33—Travel Files SBA 34—Identity Management System SBA 35—Non-Employment Related Background Checks SBA 36—Suspension and Debarment Files SBA 1 SYSTEM NAME: ADMINISTRATIVE CLAIMS—SBA 1 SYSTEM LOCATION: Headquarters (HQ) and Field Offices. Records of claims up to $5,000 are in District Offices, claims more than $5,000 are in the Office of General Counsel. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: Individuals involved in accidents or other incidents of loss or damage to government property. CATEGORIES OF RECORDS IN THE SYSTEM: Report and supporting materials compiled in cases of loss or damage to government property. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 15 U.S.C. 634(b)(1), 28 CFR 14.11. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To the General Services Administration, the court and other parties in litigation, when a suit has been initiated. b. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. § 552a. d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: By name of involved individual(s). SAFEGUARDS: Access and use is limited to persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: In accordance with National Archives and Records Administration General Records Schedule 6.10. SYSTEM MANAGER(S) AND ADDRESS: HQ and Field Systems Managers. See Appendix A. NOTIFICATION PROCEDURE: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Involved individuals, witnesses and Agency investigation. SBA 2 SYSTEM NAME: ADMINISTRATOR'S EXECUTIVE SECRETARIAT FILES—SBA 2 SYSTEM LOCATION: Headquarters (HQ). See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: Individuals who have corresponded with SBA Administrator. CATEGORIES OF RECORDS IN THE SYSTEM: Correspondence in Controlled Documents System from October 1, 1987. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 15 U.S.C. 634(b)(6), 44 U.S.C. 3101. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To oversee and maintain Agency correspondence with Government officials, Members of Congress, and the public. b. To oversee and maintain memoranda or documents detailing policy and operational decisions made by the Administrator. c. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. d. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. e. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. f. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. g. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: By document number, name, subject, keyword, phrase, date, constituent and organizational name. SAFEGUARDS: Access and use is limited to persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: In accordance with Standard Operating Procedure 00 41 2 00:01. SYSTEM MANAGER(S) AND ADDRESS: Executive Secretariat, HQ. See Appendix A. NOTIFICATION PROCEDURES: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Correspondence, memoranda authors, and other sources that communicate with SBA's Administrator. SBA 3 SYSTEM NAME: ADVISORY COUNCIL FILES—SBA 3 SYSTEM LOCATION: Headquarters (HQ). See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: Current and former members on SBA's federal advisory councils. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Completed SBA Forms 898 of individuals nominated to serve as members on SBA's federal advisory councils. The completed forms contain personal and business contact information, birthplace and date of birth, and information on the current status or history of application for SBA assistance or actual receipt of it and may also contain nominees' professional resumes and other correspondence. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 15 U.S.C. 637(b)(13), 648(i)(1), 657(c), Section 203, 7510-10; Pub. L. 106-50; and 44 U.S.C. 3101. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. Appointed liaisons in SBA program offices, include but not limited to: Office of Government Contracting; Investment Division; Office of Financial Assistance; Office of Procurement and Grants Management; Office of the Inspector General; Office of Strategic Alliances; and Office of General Counsel. The purpose of the disclosure is to facilitate the performance of the appointed liaisons' duty to determine whether the program office has any information pertaining to a past or current relationship between the nominee and SBA and to provide such information to SBA's Committee Management Officer who vets nominees for conflict of interest or the appearance of conflict of interest in accordance with SOP 90 54 4, Chapter 7. b. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: Records are organized according to advisory council and retrieved by the name of the current and former member. SAFEGUARDS: Access to SBA Headquarters is controlled and monitored by security personnel. Access to SBA program offices is limited to SBA employees with key cards and records are maintained in a locked room. Access is limited to persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: Permanent records are maintained for 2 years and then transferred to the Federal Records Center in accordance with SOP 00 41 2, Appendix 24, 95:01. SYSTEM MANAGER(S) AND ADDRESS: Committee Management Officer, Office of Administration, HQ. See Appendix A. NOTIFICATION PROCEDURE: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Record subject, Congressional offices, Agency employees, media, Advisory Council members, Federal Register . SBA 4 SYSTEM NAME: OFFICE OF INSPECTOR GENERAL RECORDS OTHER THAN INVESTIGATIONS RECORDS—SBA 4 SYSTEM LOCATION: Office of the Inspector General (OIG) Investigations Division, Audit Division, Headquarters duty stations, Agency District and Field Offices and Federal Records Center. See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: OIG staff, parties requesting OIG action, interviewees, persons examined by an OIG inquiry and persons providing information used by OIG staff, applicants to, and participants in SBA programs, their principals, representatives and resource partners; contractors and parties to cooperative agreements and their principals, representatives, and other interested parties; governmental entities; SBA employees, volunteers supporting SBA, including but not limited to members of the Advisory Councils and Service Corps of Retired Executive and in connection with allegations of wrongdoing or inefficiency within the jurisdiction of the OIG. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Material provided to, gathered or created by OIG in auditing, or otherwise dealing with allegations that are within the jurisdiction of the OIG, documentation of allegations, consultations, decisions, interviews, records reviews, audits, evaluations, and other non-audit services, and various correspondence, etc. AUTHORITY FOR MAINTENANCE OF THE SYSTEMS: 5 U.S.C. App. 3 (The Inspector General Act of 1978, as amended ); 15 U.S.C. Chapters 14A and 14B; and 44 U.S.C. 3101. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order. b. To a court, magistrate, grand jury or administrative tribunal, or opposing counsel during trials, hearings or in settlement negotiations. c. To any private or governmental source or person, in order to secure information relevant to an investigation, audit or other evaluation. d. To other Federal agencies conducting background checks, to the extent that the information is relevant to their function. e. To any domestic, foreign, international or private agency or organization, including those which maintain civil, criminal or other enforcement information, for the assignment, hiring or retention of an individual, issuance of a security clearance, reporting of an investigation of an individual, letting of a contract or issuance of a license, grant or other benefit, to the extent the information is relevant to the agency's decision on the matter. f. To Federal, State or local bar associations and other professional, regulatory or disciplinary bodies for use in disciplinary proceedings and inquiries. g. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. h. To the Office of Government Ethics for any purpose consistent with their mission. i. To the Government Accountability Office and to the General Services Administration's Board of Contract Appeals in bid protest cases involving an agency procurement. j. To any Federal agency which has the authority to subpoena other Federal agencies' records and has issued a valid subpoena. k. To the Department of the Treasury and the Department of Justice (DOJ) in support of an ex parte court order to obtain taxpayer information from the Internal Revenue Service. l. To debt collection contractors for collecting delinquent debts as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718. m. To a grand jury agent pursuant to a Federal or State grand jury subpoena or to a prosecution request that records be introduced to a grand jury. n. To DOJ to obtain advice regarding FOIA disclosure obligations. o. To the Office of Management and Budget to obtain advice regarding PA obligations. p. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. q. To DOJ when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. r. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. s. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. t. To members of the President's Council on Integrity and Efficiency, DOJ or other agencies for the purpose of conducting qualitative reviews of SBA OIG operations for the preparation of reports to the President and Congress on the activities of the Inspectors General, and for other uses in furtherance of the Inspector General Act of 1978, as amended . u. To the public when the matter under investigation has become public knowledge, or when the IG determines that such disclosure is necessary to preserve confidence in the integrity of the OIG investigative process, or to demonstrate the accountability of SBA employees, or other individuals covered by this system, or when there exists a legitimate public interest unless the IG determines that disclosure of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy. v. To inform complainants, victims, and witnesses of the results of an investigation or inquiry. w. To a Federal agency responsible for considering administrative action, including debarment or suspension. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: By name and cross-referenced to related IG audit files and non-audit services or reviews. SAFEGUARDS: Sensitive reports are kept in locked filing cabinets, while others are provided lesser levels of security as appropriate. RETENTION AND DISPOSAL: Following final agency action, records are maintained in accordance with SBA SOP 00 41. SYSTEM MANAGER(S) AND ADDRESS: Assistant Inspector General for Auditing or designee. See Appendix A. NOTIFICATION PROCEDURES: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Subject individuals, Agency personnel, third parties, and other Government agencies, such as the Federal Bureau of Investigation. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: (1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG's criminal law enforcement function. (2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process. SBA 5 SYSTEM NAME: BUSINESS AND COMMUNITY INITIATIVES RESOURCE FILES—SBA 5 SYSTEM LOCATION: Headquarters (HQ) and Field Offices. See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: Users of Business and Community Initiatives training materials, potential speakers, counselors, authors and reviewers. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Information relating to individuals: biographical sketches, correspondence, copies of travel vouchers and counseling reports, files of accomplishments, publications, news releases and clippings. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. 634(b)(6), 44 U.S.C. 3101. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To provide university coordinators with information about potential speakers at management training sessions. b. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: By name. SAFEGUARDS: Access and use is limited to persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: In accordance with Standard Operating Procedure 00 41 2 65:01, 65:02, 65:03, 65:04, 65:05, 65:07 and 65:09. SYSTEM MANAGER(S) AND ADDRESS: Field Office Director and PA Officer. See Appendix A. NOTIFICATION PROCEDURE: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Record subject, Agency employees, media, educators, universities, professional and civic organizations. SBA 6 SYSTEM NAME: CIVIL RIGHTS COMPLIANCE FILES—SBA 6 SYSTEM LOCATION: Headquarters. See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: SBA recipients of Federal financial assistance and individuals who have filed allegations of discrimination against SBA recipients of Federal financial assistance or against Agency programs or program offices based on disability. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Reviews, correspondence, supporting documents, interview statements, program files, information developed in allegation/complaint investigation. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 44 U.S.C. 3101, Civil Rights Compliance SOP 90 30 3 and 13 CFR Parts 112, 113, and 117. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. b. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. c. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. d. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. e. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: By complainant's name, address and four digit fiscal year/order in which received during that fiscal year (four digit number is keyed to Complaint Log for that fiscal year). SAFEGUARDS: Access and use is limited to persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: In accordance with National Archives and Records Administration General Records Schedule 1.25.a and d(2). SYSTEM MANAGER(S) AND ADDRESS: Assistant Administrator for Equal Employment Opportunity and Civil Rights Compliance (EEO/CRC). See Appendix A. NOTIFICATION PROCEDURE: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: SBA recipient of Federal financial assistance reviewed by EEO/CRC personnel and complainants. SBA 7 SYSTEM NAME: COMBINED FEDERAL CAMPAIGN—SBA 7 SYSTEM LOCATION: Headquarters (HQ) Office and Field Offices. See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: SBA employees. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Information pertaining to SBA employees involved with the campaign. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 15 U.S.C. 634(b)(6), 44 U.S.C. 3101. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To the public, the names and addresses of employees connected with the drive are released. b. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: By name and/or Social Security Number. SAFEGUARDS: Access and use is limited to persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: In accordance with National Archives and Records Administration General Record Schedule 2.15. SYSTEM MANAGER(S) AND ADDRESS: HQ and Field Office Supervisors. See Appendix A. NOTIFICATION PROCEDURE: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Subject employee. SBA 8 SYSTEM NAME: CORRESPONDENCE AND INQUIRIES—SBA 8 SYSTEM LOCATION: Headquarters (HQ) and Field Offices. See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: Individuals who have corresponded with the Agency. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Correspondence. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 15 U.S.C. 634(b)(6), 44 U.S.C. 3101. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To oversee and maintain correspondence to the Agency. b. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: By name of correspondent. SAFEGUARDS: Access and use is limited to persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: In accordance with Standard Operating Procedure 00 41 2 00:01. SYSTEM MANAGER(S) AND ADDRESS: PA Officer for HQ records and Field Managers for field records. See Appendix A. NOTIFICATION PROCEDURES: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Subject individual, Agency personnel, case files and Congressional correspondence. SBA 9 SYSTEM NAME: COST ALLOCATION DATA SYSTEM—9 SYSTEM LOCATION: Office of the Chief Financial Officer (CFO), Headquarters. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: All SBA employees. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Individual information on SBA employees, i.e ., name, social security number, office code, pay dates, survey results on the percentage of time spent on administration of various SBA programs and activities. Agency-wide costs, i.e ., rent, postage, telecommunications, centralized printing and training, employees' relocation costs, credit report costs, performance management appraisal system awards, contractors costs, Agency loan count and SBA employment full time equivalent counts. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 44 U.S.C. 3101 (Records Management by Federal Agencies), Public Law 101-576 (Chief Financial Officers Act) and Public Law 103-62 (Government Performance and Results Act). ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To the Agency cost contractor for use in the Agency's cost accounting activity. b. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government,where SBA determines that litigation is likely to affect SBA or any of its components. e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government,where SBA determines that litigation is likely to affect SBA or any of its components. f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: The electronic form is maintained in a database which is behind the Agency's firewall. RETRIEVABILITY: Employee's Social Security Number and first and last name retrieve survey result. SAFEGUARDS: Access and use of the CADS are accomplished via the use of restricted password. Access and use are limited to Project Leader and Group members and only those other Agency employees whose official duties require such access. RETENTION AND DISPOSAL: In accordance with National Archives and Records Administration General Records Retention Schedule 8.1, 8.5, 8.6, 8.7 and 8.8. SYSTEM MANAGER(S) AND ADDRESS: Chief Financial Officer, HQ. See Appendix A. NOTIFICATION PROCEDURE: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: SBA employees. SBA 10 SYSTEM NAME: EMPLOYEE IDENTIFICATION CARD FILES—SBA 10 SYSTEM LOCATION: Office of Human Capital Management (Headquarters), Denver Human Capital Management Operations Division and Disaster Loan Making Centers (DLMC). See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: SBA employees. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Employee name and their identification card numbers. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 15 U.S.C. 634(b)(6), 44 U.S.C. 3101. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. b. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. c. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. d. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. e. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: By name or identification card number. SAFEGUARDS: Access and use is limited to persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: In accordance with National Archives and Records Administration General Records Retention Schedule 1.6. SYSTEM MANAGER(S) AND ADDRESS: Assistant Administrator/Human Capital Management (HQ) and DLMC Directors. See Appendix A. NOTIFICATION PROCEDURES: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Subject employee, individuals and agency personnel records. SBA 11 SYSTEM NAME: ENTREPRENEURIAL DEVELOPMENT—MANAGEMENT INFORMATION SYSTEM—SBA 11 SYSTEM LOCATION: Headquarters (HQ). CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals using SBA's business counseling and assistance services. CATEGORIES OF RECORDS IN THE SYSTEM: Individual and business information on SBA clients. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Public Law 85-536, 15 U.S.C. 631 (Small Business Act), sec. 7(j)(1), (Business Counseling), 15 U.S.C. 648 sec. 21 (Small Business Development Centers), 15 U.S.C. 656 sec. 29 (Women's Business Centers), Public Law 106-50 (Veterans' Entrepreneurship and Small Business Development Act of 1999), 44 U.S.C. 3101 (Records Management by Federal Agencies) and Public Law 103-62 (Government Performance and Results Act). ROUTINE USES OF RECORDS MAINTAINED BY THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To the Agency service provider (resource partner) who initially collected the information. b. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Electronic form in secured database on a dedicated computer. RETRIEVAL: By SBA Customer Number and cross-referenced by individual or business name. SAFEGUARDS: Access and use over the Internet with a restricted numerical password. Access and use is limited to Federal officials with a need-to-know and to designated resource partners. SBA resource partners will have access only to those individuals that were collected by that particular resource partner. Designated program managers in HQ and district directors will have access to individual records only as needed for program management. RETENTION AND DISPOSAL: In accordance with EDMIS N1-309-03-06. SYSTEM MANAGER(S) AND ADDRESS: Associate Deputy Administrator for Entrepreneurial Development and designee in Headquarters. NOTIFICATION PROCEDURES: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: The Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Subject individuals or businesses. SBA 12 SYSTEM NAME: EQUAL EMPLOYMENT OPPORTUNITY PRE-COMPLAINT COUNSELING—SBA 12 SYSTEM LOCATION: Headquarters and Field Offices. See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: Current/former SBA employees, members of a group (class complaints) who have requested counseling regarding employment discrimination. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Case files may include employee and interview statements. The Equal Employment Opportunity (EEO) Counselor's Report becomes part of the EEO Complaint case. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 29 CFR Part 1611. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To report counseling activity to the Office of Equal Employment Opportunity and Civil Rights Compliance (EEO/CRC). b. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. c. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. d. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. e. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. f. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: By employee name. SAFEGUARDS: Access and use is limited to persons with official need to know; computers are protected by password and user identification code. RETENTION AND DISPOSAL: In accordance with National Archives and Records Administration General Records Schedule 1.25.a. SYSTEM MANAGER(S) AND ADDRESS: Assistant Administrator for EEO&CRC and Field Office Systems Managers. See Appendix A. NOTIFICATION PROCEDURES: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Employee seeking counseling, other employees, EEO Counselor, personnel and employment records. SBA 13 SYSTEM NAME: EQUAL EMPLOYMENT OPPORTUNITY COMPLAINT CASES—SBA 13 SYSTEM LOCATION: Headquarters. See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: Current/former SBA employees and/or members of a class complaint who have requested counseling regarding employment discrimination. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Complaint files, Equal Employment Opportunity (EEO) Counselor's Report, information from investigations, notes, hearing report, Hearing Examiner's recommendations and Agency actions. Closed cases are included. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 29 CFR Part 1611. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To report to the Equal Employment Opportunity Commission (EEOC). b. To EEOC when there is a hearing, these records will be used in the case. c. To EEOC when a complaint is appealed, these records will be used by the Office of Equal Employment Opportunity and Civil Rights Compliance (EEO/CRC) in their decision making. d. To the Office of General Counsel and the Department of Justice (DOJ) when a complaint results in a Federal suit, these records will be referred and used to prepare and present the case in court. e. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. f. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. g. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. h. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. i. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: By name of complainant. SAFEGUARDS: Access and use is limited to persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: In accordance with National Archives and Records Administration General Records Schedule 1.25.a. SYSTEM MANAGER(S) AND ADDRESS: Assistant Administrator for EEO/CRC and Field Office Systems Managers and the Office of the Inspector General (OIG). See Appendix A. NOTIFICATION PROCEDURES: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORY: Complainant, witnesses, hearing transcript, personnel and employment records, examiner's recommendations and agency investigation. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: (1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG's criminal law enforcement function. (2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4), (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process. SBA 14 SYSTEM NAME: FREEDOM OF INFORMATION AND PRIVACY ACTS RECORDS—SBA 14 SYSTEM LOCATION: Headquarters (HQ) and Field Offices. See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: Persons who have submitted requests or appeals under either of the Acts. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Files created for Freedom of Information/Privacy Acts (FOI/PA) appeals and agency-wide database to track FOI/PA cases. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 44 U.S.C. 3101, 15 U.S.C. 634(b)(6), 5 U.S.C. 552 and 5 U.S.C. 552a. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To review individual cases, keep logs and records, comply with statutory time limitations and prepare mandated reports. b. To the Federal, State, local or foreign agency or professional organization, including SBA offices, which investigates prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order. c. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. d. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. e. To agency personnel responsible for bringing Program Fraud Civil Remedies Act litigation to the tribunal hearing litigation or any appeals and to counsel for the defendant party in any such litigation. f. To a grand jury agent pursuant to a Federal or State grand jury subpoena or to a prosecution request that records be released for introduction to a grand jury. g. To a Federal agency which has the authority to subpoena other Federal agencies records and has issued a valid subpoena. h. To the Department of Justice (DOJ) in order to obtain that department's advice regarding an agency's FOIA disclosure obligations. i. To the Office of Management and Budget to obtain that office's advice regarding an agency's PA obligations. j. To DOJ when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. k. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. l. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Locked file cabinets and electronic files. RETRIEVAL: By name or database number. SAFEGUARDS: Access and use limited to persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: Retention is in accordance with National Archives and Records Administration's General Records Schedule 14. SYSTEM MANAGER(S) AND ADDRESS: PA Officer for HQ records and Field Managers for field records. See Appendix A. NOTIFICATION PROCEDURES: An individual may submit a record inquiry in person or in writing to the Systems Manager. ACCESS PROCEDURES: The Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Correspondence submitted directly to and replies from SBA. SBA 15 SYSTEM NAME: EMPLOYEE DISPUTES AND APPEALS—SBA 15 SYSTEM LOCATION: Servicing Personnel Office and the Office of Hearings and Appeals (OHA) where employee disputes (formerly Grievances) or appeals of employee disputes have been filed. See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: SBA employees who have filed Employee Disputes under Standard Operating Procedure (SOP) 37 71. These individuals may be referred to as the employees, the appellants, or the grievants. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Correspondence, supporting documents, pleadings, orders, and decisions. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 15 U.S.C. 634(b)(6), 44 U.S.C. 3101, SOP 37 71 and 13 CFR Part 134. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To the Office of Personnel Management (OPM) or used in reporting to the OPM on labor-management relations activity. b. To a Hearing Examiner in response to another Agency's inquiry, pursuant to established procedures. c. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. d. To SBA volunteers, contractors, interns, grantees, experts and who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. e. To the Office of the Special Counsel for any purpose consistent with its mission. f. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. g. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. h. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identify theft or fraud, or harm to the security of integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: Paper and electronic files. RETRIEVAL: Name of the employee who filed the dispute and/or appeal. SAFEGUARDS: Access and use limited to persons whose official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: Retention is in accordance with SOP 00 41 2 30:02. SYSTEM MANAGER(S) AND ADDRESS: Assistant Administrator for OHA, Chief Human Capital Officer and Field Managers. See Appendix A. NOTIFICATION PROCEDURE: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Grievants, appellants, employees, personnel and employment records. SBA 16 SYSTEM NAME: INVESTIGATIVE FILES—SBA 16 SYSTEM LOCATION: Office of the Inspector General (OIG), Investigations Division offices and Federal Records Center (FRC). See Appendix A. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM INCLUDES: Persons and other entities against whom are made allegations that are within the jurisdiction of the OIG to investigate; persons identified as making such allegations; or persons cross-referenced in investigative file or subsequent investigations. Applicants to, and participants in SBA programs, their principals, representatives and resource partners; contractors and parties to cooperative agreements and their principals, representatives, and other interested parties; governmental entities; SBA employees, members of the Advisory Councils, Service Corps of Retired Executive volunteers and others in connection with allegations of wrongdoing that are within the jurisdiction of the OIG to investigate. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Material provided to, gathered or created by OIG in investigating, or otherwise dealing with allegations that are within the jurisdiction of the OIG to investigate, documentation of allegations, consultations, decisions, interviews, records reviews, reports of investigations, and various correspondence, etc. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. App. 3 (The Inspector General Act of 1978, as amended ), 15 U.S.C. Chapters 14A and 14B and 44 U.S.C. 3101. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order. b. To a court, magistrate, grand jury or administrative tribunal, or to opposing counsel in the course of hearings, trials or settlement negotiations. c. To any private or governmental source or person, in order to secure information relevant to an investigation, audit or other evaluation. d. To other Federal agencies conducting background checks; only to the extent the information is relevant to the requesting agencies' function. e. To any Federal, State, local, foreign or international agency, in connection with such entity's assignment, hiring and retention of an individual, issuance of a security clearance, reporting of an investigation of an individual, letting of a contract or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency's decision on the matter. f. To a domestic, foreign, or international government agency maintaining civil, criminal, relevant enforcement or other pertinent information, for the assignment hiring or retention of an individual, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit. g. To Federal, State or local bar associations and other professional regulatory or disciplinary bodies for use in disciplinary proceedings and inquiries. h. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. i. To the General Accounting Office (GAO) for periodic reviews of SBA. j. To the Office of Government Ethics for any purpose consistent with their mission. k. To GAO, and to the General Services Administration's Board of Contract Appeals in bid protest cases involving an agency procurement. l. To any Federal agency which has the authority to subpoena other Federal agencies' records and has issued a valid subpoena. m. To the Department of Treasury and the Department of Justice (DOJ) when an agency is seeking an ex parte court order to obtain taxpayer information from the Internal Revenue Service. n. To debt collection contractors for collecting delinquent debts as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718. o. To SBA volunteers, interns, grantees, experts and contractors who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. p. To DOJ when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. q. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. r. To members of the President's Council on Integrity and Efficiency, DOJ or other agencies for the purpose of conducting qualitative reviews of SBA OIG operations for the preparation of reports to the President and Congress on the activities of the Inspectors General, and for other uses in furtherance of the Inspector General Act of 1978, as amended . s. To the public when the matter under investigation has become public knowledge, or when the IG determines that such disclosure is necessary to preserve confidence in the integrity of the OIG investigative process, or to demonstrate the accountability of SBA employees, or other individuals covered by this system, or when there exists a legitimate public interest unless the IG determines that disclosure of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy. t. To inform complainants, victims, and witnesses of the results of an investigation or inquiry. u. To a Federal agency responsible for considering debarment or suspension action if the record would be relevant to such action. v. To appropriate agencies, entities, and persons when: SBA suspects or has confirmed that the security or confidentiality of information in the system records has been compromised; SBA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Agency or entity) that rely upon the compromised information; and the disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with SBA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING AND DISPOSING OF RECORDS: STORAGE: File folders in filing cabinets or safes, or on shelves in locked file room, and electronic files. RETRIEVAL: Indexed by fiscal year closed and then by case number. Cross-referenced to the number(s) of the investigative file(s) containing related materials. SAFEGUARDS: All filing cabinets and file rooms are locked. Access to and use limited to those persons with official need to know; computers are protected by password and user identification codes. RETENTION AND DISPOSAL: Maintain in accordance with SOP 00 41. SYSTEM MANAGER(S) AND ADDRESS: Assistant Inspector General for Investigations or designee. See Appendix A. NOTIFICATION PROCEDURES: Individuals may make record inquiries in person or in writing to the Systems Manager or PA Officer. ACCESS PROCEDURES: Systems Manager or PA Officer will determine procedures. CONTESTING PROCEDURES: Notify officials listed above and state reason(s) for contesting and proposed amendment(s) sought. SOURCE CATEGORIES: Subject individual, Agency personnel, informants, financial institutions, the Federal Bureau of Investigation and other investigative Government agencies. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: (1) Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempt from the application of all provisions of section 552a except sections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), (11), and (i), to the extent that it consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, confinement, release, and parole and probation status; (B) information compiled for the purpose of criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. This system is exempted in order to maintain the efficacy and integrity of the OIG's criminal law enforcement function. (2) Pursuant to 5 U.S.C. 552(a)(k)(2) and (k)(5), all investigatory material in the record compiled for law enforcement purposes or for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information is exempt from the notification, access, and contest requirements under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the Agency regulations. This exemption is necessary in order to fulfill commitments made to protect the confidentiality of sources and to protect subjects of investigations from frustrating the investigatory process. SBA 17 SYSTEM NAME: INVESTIGATIONS MANAGEMENT INFORMATION SYSTEM—SBA 17 SYSTEM LOCATION: On dedicated server and shared drive accessible only to Office of the Inspector General (OIG), Investigations Division personnel and authorized Information Technology maintenance personnel. See Appendix A. CATEGORIES OF INDIVIDUALS COVERED IN THE SYSTEM INCLUDES: Persons or other entities against whom are made allegations that are within the OIG's jurisdiction to investigate, persons identified as making allegations or persons who are cross-referenced to an investigative file, principals, representatives of applicants, participants, contractors, grantees, participants in cooperative agreements, resource partners and their principals and representatives, and other interested parties participating in SBA programs. CATEGORIES OF RECORDS IN THE SYSTEM INCLUDES: Material gathered or created during preparation for, conduct of and follow-up on investigations conducted by OIG, the Federal Bureau of Investigation (FBI) and other Federal, State, local, or foreign regulatory or law enforcement agency. May include alphabetical indices of names and case numbers and information about allegations, decisions, investigative assignments and special techniques, and reports and results of investigations and time spent by investigators. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 5 U.S.C. App. 3 (The Inspector General Act of 1978, as amended ); 15 U.S.C. Chapters 14A and 14B; 44 U.S.C. 3101. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES, THESE RECORDS MAY BE USED, DISCLOSED OR REFERRED: a. To the Federal, State, local or foreign agency or professional organization which investigates, prosecutes or enforces violations, statutes, rules, regulations or orders issued when the Agency identifies a violation or potential violation of law whether arising by general or program statute, or by regulation, rule or order. b. To a court, magistrate, grand jury or administrative tribunal, or to opposing counsel in the course of hearings, trials or settlement negotiations. c. To any private or governmental source or person, to the extent necessary to secure information relevant to an investigation or audit. d. To other Federal agencies conducting background checks; only to the extent the information is relevant to the requesting agencies' function. e. To any Federal, State, local, foreign or international agency, in connection with such entity's assignment, hiring and retention of an individual, issuance of a security clearance, reporting of an investigation of an individual, letting of a contract or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency's decision on the matter. f. To a domestic, foreign, or international government agency maintaining civil, criminal, relevant enforcement or other pertinent information, for the assignment hiring or retention of an individual, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit. g. To Federal, State or local bar associations and other professional regulatory or disciplinary bodies for use in disciplinary proceedings and inquiries. h. To a Congressional office from an individual's record, when that office is inquiring on the individual's behalf; the Member's access rights are no greater than the individual's. i. To the Office of Government Ethics for any purpose consistent with their mission. j. To General Accountability Office and to the General Services Administration's Board of Contract Appeals in bid protest cases involving an agency procurement. k. To any Federal agency which has the authority to subpoena other Federal agencies' records and has issued a valid subpoena. l. To the Department of Treasury and the Department of Justice (DOJ) when an agency is seeking an ex parte court order to obtain taxpayer information from the Internal Revenue Service. m. To debt collection contractors for collecting delinquent debts as authorized by the Debt Collection Act of 1982, 31 U.S.C. 3718. n. To SBA volunteers, interns, grantees, experts and contractors who have been engaged by SBA to assist in the performance of a service related to this system of records and who need access to the records in order to perform this activity. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended , 5 U.S.C. 552a. o. To the Department of Justice (DOJ) when any of the following is a party to litigation or has an interest in such litigation, and the use of such records by DOJ is deemed by SBA to be relevant and necessary to the litigation, provided, however, that in each case, SBA determines the disclosure of the records to DOJ is a use of the information contained in the records that is compatible with the purpose for which the records were collected: SBA, or any component thereof; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. p. In a proceeding before a court, or adjudicative body, or a dispute resolution body before which SBA is authorized to appear or before which any of the following is a party to litigation or has an interest in litigation, provided, however, that SBA determines that the use of such records is relevant and necessary to the litigation, and that, in each case, SBA determines that disclosure of the records to a court or other adjudicative body is a use of the information contained in the records that is a compatible purpose for which the records were collected: SBA, or any SBA component; any SBA employee in their official capacity; any SBA employee in their individual capacity where DOJ has agreed to represent the employee; or The United States Government, where SBA determines that litigation is likely to affect SBA or any of its components. q. To members of the President's Council on Integrity and Efficiency, DOJ or other agencies [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3AE9-7050. Public record. Not legal advice.