Privacy Act of 1974, as amended; Notice of a New System of Records, 52341-52344 [2011-21307]

Agencies

• Office of the Secretary
• DEPARTMENT OF THE INTERIOR

[Federal Register Volume 76, Number 162 (Monday, August 22, 2011)]
[Notices]
[Pages 52341-52344]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-21307]


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DEPARTMENT OF THE INTERIOR

Office of the Secretary


Privacy Act of 1974, as amended; Notice of a New System of 
Records

AGENCY: Office of the Secretary, Interior.

ACTION: Notice of Creation of a New Privacy Act System of Records.

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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as 
amended, the Department of the Interior is issuing a public notice of 
its intent to create the Office of the Secretary ``Debarment and 
Suspension Program'' system of records. The system contains information 
including, but not limited to, names and addresses of business 
entities, organizations and individuals covered by the system of 
records, evidence and information obtained in support of Action 
Referral Memoranda and Case Closure Memoranda, action determinations, 
administrative agreements, and monitoring reviews of debarment or 
suspension administrative agreements. This newly established system 
will be included in the Department of the Interior's inventory of 
record systems.

DATES: Comments must be received by October 3, 2011. This new system 
will be effective October 3, 2011.

ADDRESSES: Any person interested in commenting on this notice may do so 
by: submitting comments in writing to the OS/NBC Privacy Act Officer, 
Office of the Secretary, U.S. Department of the Interior, 1951 
Constitution Avenue, NW., Mail Stop 116 SIB, Washington, DC 20240; 
hand-delivering comments to the OS/NBC Privacy Act Officer, Office of 
the Secretary, U.S. Department of the Interior, 1951 Constitution 
Avenue, NW., Mail Stop 116 SIB, Washington, DC 20240; or e-mailing 
comments to privacy@nbc.gov.

FOR FURTHER INFORMATION CONTACT: Karen Burke, OS/NBC Privacy Act 
Officer, Office of the Secretary, U.S. Department of the Interior, 1951 
Constitution Avenue, NW., Mail Stop 116 SIB, Washington, DC 20240.

SUPPLEMENTARY INFORMATION:

I. Background

    The Department of the Interior (DOI) maintains the Debarment and 
Suspension Program system of records. The primary purpose of this 
system of records is to assist DOI in conducting and documenting 
debarment and suspension proceedings to ensure that Federal 
procurements and Federal discretionary assistance, loans, and benefits 
are awarded to presently responsible business entities, organizations, 
and individuals. Additional purposes of the system are: to promote 
understanding of the case decision path and concerns addressed by the 
debarring and suspending official in reaching a decision; to promote 
the submission of relevant arguments in contested cases; to educate the 
public as to the kinds of mitigating factors and remedial measures that 
demonstrate present responsibility; and to enhance the transparency of 
decision making.
    The system will be effective as proposed at the end of the comment 
period (the comment period will end forty (40) days after the 
publication of this notice in the Federal Register) unless comments are 
received which would require a contrary determination. DOI will publish 
a revised notice if changes are made based upon a review of the 
comments received.

II. Privacy Act

    The Privacy Act of 1974, as amended, embodies fair information 
principles in a statutory framework governing the means by which 
Federal Agencies collect, maintain, use, and disseminate individuals' 
personal information. The Privacy Act applies to information that is 
maintained in a ``system of records.'' A ``system of records'' is a 
group of any records under the control of an agency for which 
information is retrieved by the name of an individual or by some 
identifying number, symbol, or other identifying particular assigned to 
the individual. The Privacy Act defines an individual as a United 
States citizen or lawful permanent resident. As a matter of policy, DOI 
extends administrative Privacy Act protections to all individuals. 
Individuals may request access to their own records that are maintained 
in a system of records in the possession or under the control of DOI by 
complying with DOI Privacy Act Regulations, 43 CFR part 2.
    The Privacy Act requires each agency to publish in the Federal 
Register a description denoting the type and character of each system 
of records that the agency maintains, the routine uses that are 
contained in each system in order to make agency record keeping 
practices transparent, to notify individuals regarding the uses of 
their records, and to assist individuals to more easily find such 
records within the agency. Below is the description of the DOI 
Debarment and Suspension Program system of records.
    In a notice of proposed rulemaking, which is published separately 
in the Federal Register, DOI is proposing to exempt records maintained 
in this system from certain provisions of the Privacy Act pursuant to 5 
U.S.C. 552a(k)(2) and (k)(5).
    In accordance with 5 U.S.C. 552a(r), DOI has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.

III. Public Disclosure

    Before including your address, phone number, e-mail address, or 
other personal identifying information in your comment, you should be 
aware that your entire comment, including your personal identifying 
information, may be made public at any time. While you can ask us in 
your comment to withhold your personal identifying information from 
public review, we cannot guarantee that we will be able to do so.

    Dated: August 11, 2011.
Karen Burke,
OS/NBC Privacy Act Officer.
SYSTEM NAME:
    Debarment and Suspension Program, DOI-11

SYSTEM LOCATION:
    Office of Acquisition and Property Management, U.S. Department of 
the Interior, 1849 C Street, NW., Mail Code 2607-MIB,Washington, DC 
20240.
    Records may also be located in files maintained by the Office of 
the Solicitor, Mail Code 6456-MIB, 1849 C Street, NW., Washington, DC 
20240, and the Office of Inspector General, Recovery and Oversight 
Office, Acquisition Integrity Unit, Department of the Interior, 1849 C 
Street, NW., Mail Stop 4428-MIB, Washington, DC 20240.

[[Page 52342]]

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have been suspended, proposed for debarment, or 
debarred from Federal procurement and assistance programs, individuals 
who have been the subject of Department inquiries to determine whether 
they should be debarred and/or suspended from Federal procurement and 
nonprocurement programs, and other individuals whose names appear in 
the files such as witnesses and investigators.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records include information on business entities, organizations and 
individuals excluded or considered for exclusion from Federal 
procurement and nonprocurement programs as a result of suspension or 
debarment proceedings initiated by DOI. Such information includes, but 
is not limited to, names and addresses of business entities, 
organizations, and individuals, evidence obtained in support of Action 
Referral Memoranda and Case Closure Memoranda, action notices and 
determinations, tape recordings of oral presentations of matters in 
opposition in contested actions, administrative agreements entered into 
resolving debarment or suspension actions, and monitoring reviews of 
debarment or suspension administrative agreements. Examples of evidence 
contained in files include correspondence, inspection reports, 
interview reports, contracts, assistance agreements, indictments, 
judgment and conviction orders, plea agreements, and other judicial 
action related documents, and corporate information. Records may 
include documents containing individuals' names, Social Security 
Numbers and dates of birth. Computer generated records include data 
regarding categories and status of cases.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Property and Administrative Services Act of 1949, 41 U.S.C. 
251 et seq.; Office of Federal Procurement Policy Act, 41 U.S.C. 401 et 
seq.; Executive Order 12549 (February 18, 1986); Executive Order 12689 
(August 16, 1989); 48 CFR subpart 9.4; 48 CFR 1409.4 et seq.; 2 CFR 
Part 180; and 2 CFR 1400.137 et seq.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The primary purpose of the records in this system of records is to 
assist DOI in assembling information on, conducting, and documenting, 
debarment and suspension proceedings to ensure that Federal contracts 
and Federal assistance, loans, and benefits, are awarded only to 
presently responsible business entities, organizations, and 
individuals. Additional purposes of the system are: to promote 
understanding of the case decision path; promote understanding of the 
concerns addressed by the debarring and suspending official in reaching 
a decision; promote the submission of relevant arguments in contested 
cases; educate the public and private bar as to the kinds of mitigating 
factors and remedial measures that demonstrate present responsibility; 
and enhance the transparency of decision making.
    The system includes case files and computer generated records 
developed in connection with initiating and conducting suspension and 
debarment proceedings under Federal Acquisition Regulation (FAR) 48 CFR 
subpart 9.4, and part 1409 (procurement) and 2 CFR parts 180 and 1400 
(nonprocurement), and in rendering interim and final decisions in such 
proceedings. Case files are comprised of: (1) The official 
administrative record maintained by the DOI Office of Acquisition and 
Property Management (PAM); (2) files compiled by the case 
representative(s) in the Acquisition Integrity Unit of the DOI Office 
of the Inspector General, Recovery and Oversight Office, the DOI Office 
of the Solicitor, or DOI Bureaus in support of suspension and debarment 
actions; and (3) files developed by DOI to provide documentation for 
suspension and debarment actions and to conduct monitoring of 
administrative agreements entered to resolve debarment or suspension 
actions. Computer generated records include data regarding categories 
and status of actions. This system of records contains records 
retrievable by a case docketing system consisting of an assigned 
sequential case numerical identifier and the name of the business 
entity, organization, or individual subject to suspension and/or 
debarment action.

Disclosures outside DOI may be made without the consent of the 
individual to whom the record pertains under the routine uses listed 
below:
    (1) (a) To any of the following entities or individuals, when the 
circumstances set forth in paragraph (b) are met:
    (i) The U.S. Department of Justice (DOJ);
    (ii) A court or an adjudicative or other administrative body;
    (iii) A party in litigation before a court or an adjudicative or 
other administrative body; or
    (iv) Any DOI employee acting in his or her individual capacity if 
DOI or DOJ has agreed to represent that employee or pay for private 
representation of the employee;
    (b) When:
    (i) One of the following is a party to the proceeding or has an 
interest in the proceeding:
    (A) DOI or any component of DOI;
    (B) Any other Federal agency appearing before the Office of 
Hearings and Appeals;
    (C) Any DOI employee acting in his or her official capacity;
    (D) Any DOI employee acting in his or her individual capacity if 
DOI or DOJ has agreed to represent that employee or pay for private 
representation of the employee;
    (E) The United States, when DOJ determines that DOI is likely to be 
affected by the proceeding; and
    (ii) DOI deems the disclosure to be:
    (A) Relevant and necessary to the proceeding; and
    (B) Compatible with the purpose for which the records were 
compiled.
    (2) To a congressional office in response to a written inquiry that 
an individual covered by the system, or the heir of such individual if 
the covered individual is deceased, has made to the office.
    (3) To any criminal, civil, or regulatory law enforcement authority 
(whether Federal, state, territorial, local, Tribal or foreign) when a 
record, either alone or in conjunction with other information, 
indicates a violation or potential violation of law--criminal, civil, 
or regulatory in nature, and the disclosure is compatible with the 
purpose for which the records were compiled.
    (4) To an official of another Federal agency to provide information 
needed in the performance of official duties related to reconciling or 
reconstructing data files or to enable that agency to respond to an 
inquiry by the individual to whom the record pertains, or when 
coordinating on a debarment and suspension action of mutual interest.
    (5) To Federal, state, territorial, local, Tribal, or foreign 
agencies that have requested information relevant or necessary to the 
hiring, firing or retention of an employee or contractor, or the 
issuance of a security clearance, license, contract, grant or other 
benefit, when the disclosure is compatible with the purpose for which 
the records were compiled.
    (6) To representatives of the National Archives and Records 
Administration to conduct records management inspections under the 
authority of 44 U.S.C. 2904 and 2906.
    (7) To state and local governments and Tribal organizations to 
provide

[[Page 52343]]

information needed in response to court order and/or discovery purposes 
related to litigation, when the disclosure is compatible with the 
purpose for which the records were compiled.
    (8) To an expert, consultant, or contractor (including employees of 
the contractor) of DOI that performs services requiring access to these 
records on DOI's behalf to carry out the purposes of the system.
    (9) To appropriate agencies, entities, and persons when:
    (a) It is suspected or confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; and
    (b) The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interest, identity theft or fraud, or harm to the security or integrity 
of this system or other systems or programs (whether maintained by the 
Department or another agency or entity) that rely upon the compromised 
information; and
    (c) The disclosure is made to such agencies, entities and persons 
who are reasonably necessary to assist in connection with the 
Department's efforts to respond to the suspected or confirmed 
compromise and prevent, minimize, or remedy such harm.
    (10) To the Office of Management and Budget during the coordination 
and clearance process in connection with legislative affairs as 
mandated by OMB Circular A-19.
    (11) To the Department of the Treasury to recover debts owed to the 
United States.
    (12) To the news media and the public, upon request, but such 
disclosures shall be limited to debarment and suspension action case 
determinations and administrative agreements.
    (13) To a consumer reporting agency if the disclosure requirements 
of the Debt Collection Act, as outlined at 31 U.S.C. 3711(e)(1), have 
been met.
    (14) To the General Services Administration (GSA) to compile and 
maintain the ``Excluded Parties List System'' in accordance with FAR 
9.404 and 2 CFR part 180, and Federal Awardee Performance and Integrity 
Information System (FAPIIS).
    (15) To business entities, organizations, or individuals suspended, 
proposed for debarment, or debarred in DOI proceedings and to the 
legal, or otherwise designated, representatives of such entities, 
organizations or individuals.
    (16) To DOI and other Federal Department or agency contractors, 
grantees, or volunteers who have been engaged to assist the Government 
in the performance of a contract, grant, cooperative agreement, or 
other activity related to this system of records and who need to have 
access to the records in order to perform the activity.
    (17) To representatives of other Federal debarring and suspending 
agencies to promote understanding and enhanced, consistent, analysis of 
common issues and arguments, and utilization of best practices for 
action documents.
    (18) To publishers of computerized legal research systems, but such 
disclosures shall be limited to debarment and suspension action case 
determinations and administrative agreements.

POLICIES AND PROCEDURES FOR STORING, RETRIEVING, RETAINING AND 
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records are contained in file folders stored in file 
cabinets; electronic records are contained in removable drives, 
computers, e-mail and electronic databases.

RETRIEVABILITY:
    Records are retrieved by name and by assigned sequential official 
case file numbers.

SAFEGUARDS:
    The records contained in this system are safeguarded in accordance 
with applicable DOI security rules and policies. Records are accessible 
only by authorized DOI employees. Paper records are secured in file 
cabinets in areas which are locked during non-duty hours. The DOI 
server storing this information is located in a secured DOI facility. 
Access to data in computers is password protected and restricted to 
suspension and debarment personnel and other DOI employees with an 
official need for such information. DOI administers annual training on 
privacy, records management, data security and protection.

RETENTION AND DISPOSAL:
    A debarment and suspension case files records retention schedule 
has been submitted to NARA for scheduling and is pending approval. The 
disposition is temporary, and the retention will be cut off when the 
debarment or voluntary exclusion expires or all provisions of the 
compliance agreement have been completed. Destruction occurs 6 years 
and 3 months after cut-off.
    Paper record disposition methods include burning, pulping, 
shredding, etc. in accordance with DOI 384 Departmental Manual (DM) 1. 
Electronic records disposition includes erasing and degaussing in 
accordance with DOI 384 DM 1.

SYSTEM MANAGER AND ADDRESSES:
    Director, Office of Acquisition and Property Management, U.S. 
Department of the Interior, Mail Code 2607-MIB, 1849 C Street, NW., 
Washington, DC 20240.

NOTIFICATION PROCEDURES:
    The Department of the Interior is proposing to exempt portions of 
this system from the notification, access, and amendment procedures of 
the Privacy Act pursuant to sections (k)(2) and (k)(5). DOI will make 
notification determinations on a case by case basis.
    An individual requesting notification of the existence of records 
on himself or herself should send a signed, written inquiry to the 
System Manager identified above. The request envelope and letter should 
both be clearly marked ``PRIVACY ACT INQUIRY.'' A request for 
notification must meet the requirements of 43 CFR 2.60.

RECORDS ACCESS PROCEDURES:
    The Department of the Interior is proposing to exempt portions of 
this system from the notification, access, and amendment procedures of 
the Privacy Act pursuant to sections (k)(2) and (k)(5). DOI will make 
access determinations on a case by case basis.
    An individual requesting records on himself or herself should send 
a signed, written inquiry to the System Manager identified above. The 
request should describe the records sought as specifically as possible. 
The request envelope and letter should both be clearly marked ``PRIVACY 
ACT REQUEST FOR ACCESS.'' A request for access must meet the 
requirements of 43 CFR 2.63.

CONTESTING RECORDS PROCEDURES:
    The Department of the Interior is proposing to exempt portions of 
this system from the notification, access, and amendment procedures of 
the Privacy Act pursuant to sections (k)(2) and (k)(5). DOI will make 
amendment determinations on a case by case basis.
    An individual requesting corrections or the removal of material 
from his or her records should send a signed, written request to the 
System Manager identified above. A request for corrections or removal 
must meet the requirements of 43 CFR 2.71.

RECORD SOURCE CATEGORIES:
    Records in the system are obtained from DOI and other Federal 
officials, state and local officials, private parties,

[[Page 52344]]

businesses and other entities, and individuals who may have information 
relevant to an inquiry, and individuals who have been suspended, 
proposed for debarment or debarred, and their legal representatives.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    The Privacy Act (5 U.S.C. 552a(k)(2) and (k)(5)) provides general 
exemption authority for some Privacy Act systems. In accordance with 
that authority, the Department of the Interior adopted regulations, 43 
CFR 2.79(a-b).
    Pursuant to exemptions 5 U.S.C. 552a (k)(2) and (k)(5) of the 
Privacy Act, portions of this system of records are exempt from the 
following subsections of the Privacy Act (as found in 5 U.S.C. 552a): 
subsections (c)(3), (d), (e)(1), (e)(4)(G) through (e)(4)(I), and (f) 
of the Privacy Act.
[FR Doc. 2011-21307 Filed 8-19-11; 8:45 am]
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