Privacy Act of 1974; System of Records

Published date28 July 2021
Citation86 FR 40558
Record Number2021-16051
SectionNotices
CourtEnvironmental Protection Agency
Federal Register, Volume 86 Issue 142 (Wednesday, July 28, 2021)
[Federal Register Volume 86, Number 142 (Wednesday, July 28, 2021)]
                [Notices]
                [Pages 40558-40561]
                From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
                [FR Doc No: 2021-16051]
                [[Page 40558]]
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                ENVIRONMENTAL PROTECTION AGENCY
                [FRL-8702-01-OMS]
                Privacy Act of 1974; System of Records
                AGENCY: Office of General Counsel, Environmental Protection Agency.
                ACTION: Notice of a modified system of records.
                -----------------------------------------------------------------------
                SUMMARY: The U.S. Environmental Protection Agency's (EPA) Office of
                General Counsel/External Civil Rights Compliance Office (OGC/ECRCO) is
                giving notice that it proposes to modify a system of records pursuant
                to the provisions of the Privacy Act of 1974. External Compliance Case
                Tracking System (EXCATS) is being modified to accurately notify the
                public about the change of administrative location of the EXCATS from
                its former administrative location, the Office of the Administrator, to
                the Office of the General Counsel, effective, December 2016. EXCATS is
                also being modified to support and enhance the discrimination complaint
                process, including the investigation and resolution of complaints, and
                to provide for a discrimination complaint form to enable the public to
                file electronically discrimination complaints directly to the EXCATS.
                The purpose of EXCATS is to assist OGC/ECRCO in collecting and
                maintaining case-related information and provide the EPA OGC/ECRCO with
                the ability to more effectively manage program information needs and
                integrate the office's various business processes. The EXCATS assists
                OGC/ECRCO in the collection and maintenance of compliance-related data
                and other information needed by the OGC/ECRCO to complete case
                investigation and resolution activities and issue civil rights-related
                determinations.
                DATES: Persons wishing to comment on this system of records notice must
                do so by August 27, 2021. New or modified routine uses for this
                modified system of records will be effective August 27, 2021.
                ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
                OEI-2018-0537, by one of the following methods:
                 Federal eRulemaking Portal: https://www.regulations.gov. Follow the
                online instructions for submitting comments.
                 Email: [email protected]. Include the Docket ID number in the
                subject line of the message.
                 Fax: 202-566-1752.
                 Mail: OMS Docket, Environmental Protection Agency, Mail Code:
                2822T, 1200 Pennsylvania Ave. NW, Washington, DC 20460.
                 Hand Delivery: OMS Docket, EPA/DC, WJC West Building, Room 3334,
                1301 Constitution Ave. NW, Washington, DC 20460. Such deliveries are
                only accepted during the Docket's normal hours of operation, and
                special arrangements should be made for deliveries of boxed
                information.
                 Instructions: Direct your comments to Docket ID No. EPA-HQ-OEI-
                2018-0537. The EPA's policy is that all comments received will be
                included in the public docket without change and may be made available
                online at https://www.regulations.gov, including any personal
                information provided, unless the comment includes information claimed
                to be Controlled Unclassified Information (CUI) or other information
                for which disclosure is restricted by statute. Do not submit
                information that you consider to be CUI or otherwise protected through
                https://www.regulations.gov. The https://www.regulations.gov website is
                an ``anonymous access'' system for the EPA, which means the EPA will
                not know your identity or contact information. If you submit an
                electronic comment, the EPA recommends that you include your name and
                other contact information in the body of your comment. If the EPA
                cannot read your comment due to technical difficulties and cannot
                contact you for clarification, the EPA may not be able to consider your
                comment. If you send an email comment directly to the EPA without going
                through https://www.regulations.gov, your email address will be
                automatically captured and included as part of the comment that is
                placed in the public docket and made available on the internet.
                Electronic files should avoid the use of special characters, any form
                of encryption, and be free of any defects or viruses. For additional
                information about the EPA public docket, visit the EPA Docket Center
                homepage at https://www.epa.gov/dockets.
                 Docket: All documents in the docket are listed in the https://www.regulations.gov index. Although listed in the index, some
                information is not publicly available, e.g., CUI or other information
                for which disclosure is restricted by statute. Certain other material,
                such as copyrighted material, will be publicly available only in hard
                copy. Publicly available docket materials are available either
                electronically in https://www.regulations.gov or in hard copy at the
                OMS Docket, EPA/DC, WJC West Building, Room 3334, 1301 Constitution
                Ave. NW, Washington, DC 20460. The Public Reading Room is normally open
                from 8:30 a.m. to 4:30 p.m., Monday through Friday excluding legal
                holidays. The telephone number for the Public Reading Room is (202)
                566-1744, and the telephone number for the OMS Docket is (202) 566-
                1752.
                Temporary Hours During COVID-19
                 Out of an abundance of caution for members of the public and our
                staff, the EPA Docket Center and Reading Room are closed to the public,
                with limited exceptions, to reduce the risk of transmitting COVID-19.
                Our Docket Center staff will continue to provide remote customer
                service via email, phone, and webform. We encourage the public to
                submit comments via https://www.regulations.gov/ or email, as there may
                be a delay in processing mail and faxes. Hand deliveries and couriers
                may be received by scheduled appointment only. For further information
                on EPA Docket Center services and the current status, please visit us
                online at https://www.epa.gov/dockets.
                FOR FURTHER INFORMATION CONTACT: Dale Rhines, Deputy Director, OGC/
                ECRCO, [email protected], (202) 564-4174 or by mail at 1200
                Pennsylvania Avenue NW, Mail Code 2310A, Washington, DC 20460.
                SUPPLEMENTARY INFORMATION: EXCATS was developed to allow OGC/ECRCO to
                more effectively manage its program information needs and to integrate
                its various business processes. Among other things, EXCATS assists OGC/
                ECRCO in the collection and maintenance of compliance-related data and
                other information needed by the OGC/ECRCO to complete case
                investigation and resolution activities and to issue determinations
                under Title VI of the Civil Rights Act of 1964, Section 504 of the
                Rehabilitation Act of 1973, the Age Discrimination Act of 1975 and
                other federal statutes that prohibit discrimination by programs or
                entities that apply for or receive financial assistance from EPA.
                SYSTEM NAME AND NUMBER:
                 External Compliance Case Tracking System (EXCATS), EPA-21.
                SECURITY CLASSIFICATION:
                 Unclassified.
                SYSTEM LOCATION:
                 The EXCATS Web-based application is currently hosted under a
                contract with MicroPact, Inc. Hosting facility located at Equinix,
                44470 Chilum Place DC3 Bldg. 1, Ashburn, Virginia 20147.
                [[Page 40559]]
                SYSTEM MANAGERS(S):
                 Dale Rhines, Deputy Director, OGC/ECRCO, Environmental Protection
                Agency, 1200 Pennsylvania Avenue NW, Mail Code 2310A, Washington, DC
                20460 or by email at [email protected], or at (202) 564-4174.
                AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
                 The EXCATS assists ECRCO in carrying out its responsibilities under
                the following authorities: Title VI of the Civil Rights Act of 1964, 42
                United U.S.C. 2000d to 2000d-7 (Title VI); Section 504 of the
                Rehabilitation Act of 1973, as amended, 29 U.S.C. 794; Title IX of the
                Education Amendments of 1972, as amended, 20 U.S.C. 1681 et seq.;
                Federal Water Pollution Control Act Amendments of 1972, Public Law 92-
                500 Sec. 13, 86 Stat. 903 (codified as amended at 33 U.S.C. 1251
                (1972)); Age Discrimination Act of 1975, 42 U.S.C. 6101 et seq.; 40 CFR
                parts 5 and 7; Executive Order 12250 (Nov. 2, 1980).
                PURPOSE(S) OF THE SYSTEM:
                 To support and enhance the discrimination complaint process,
                including the investigation and resolution of complaints. EXCATS
                assists OGC/ECRCO in collecting and maintaining case-related
                information and provides OGC/ECRCO with the ability to more effectively
                manage program information needs and integrate the office's various
                business processes.
                CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
                 Individuals who have filed, or had filed on their behalf,
                discrimination complaints regarding applicants or recipients of federal
                financial assistance on the basis of race, color, national origin, age,
                sex, or disability. Witnesses.
                CATEGORIES OF RECORDS IN THE SYSTEM:
                 Letters or other documents initiating discrimination complaints
                including complainant's name and address, telephone numbers, email
                addresses, correspondence, internal memoranda and notes pertaining to
                the complaints; recipient staff interviews and interviews with members
                of the public; investigative plans; resolution agreements and other
                resolution documents; findings on the complaints; and related
                information regarding the complaints and investigations; civil rights
                compliance reviews of applicants for or recipients of federal financial
                assistance; medical information and records of physical or mental
                impairments; eligibility determinations impacting complainants,
                witnesses or other parties; administrative subpoena files; self-
                evaluation plans; racial/ethnic analyses of workforce and program
                enrollees; notice of violations; language assistance plans; training
                programs; civil enforcement files; environmental policies and program
                files.
                RECORD SOURCE CATEGORIES:
                 Complaints, applicants and recipients of federal financial
                assistance, witnesses, EPA Investigators and/or contract investigators,
                other EPA personnel with a connection to the case, and other persons
                with information relevant to the case.
                ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
                OF USERS AND PURPOSES OF SUCH USES:
                 The routine uses below are both related to and compatible with the
                original purpose for which the information was collected. The following
                general routine uses apply to this system (73 FR 2245):
                 A. Disclosure for Law Enforcement Purposes. Information may be
                disclosed to the appropriate Federal, State, local, tribal, or foreign
                agency responsible for investigating, prosecuting, enforcing, or
                implementing a statute, rule, regulation, or order, if the information
                is relevant to a violation or potential violation of civil or criminal
                law or regulation within the jurisdiction of the receiving entity.
                 B. Disclosure Incident to Requesting Information. Information may
                be disclosed to any source from which additional information is
                requested (to the extent necessary to identify the individual, inform
                the source of the purpose of the request, and to identify the type of
                information requested,) when necessary to obtain information relevant
                to an agency decision concerning retention of an employee or other
                personnel action (other than hiring,) retention of a security
                clearance, the letting of a contract, or the issuance or retention of a
                grant, or other benefit.
                 C. Disclosure to Requesting Agency. Disclosure may be made to a
                Federal, State, local, foreign, or tribal or other public authority of
                the fact that this system of records contains information relevant to
                the retention of an employee, the retention of a security clearance,
                the letting of a contract, or the issuance or retention of a license,
                grant, or other benefit. The other agency or licensing organization may
                then make a request supported by the written consent of the individual
                for the entire record if it so chooses. No disclosure will be made
                unless the information has been determined to be sufficiently reliable
                to support a referral to another office within the agency or to another
                Federal agency for criminal, civil, administrative, personnel, or
                regulatory action.
                 D. Disclosure to Office of Management and Budget. Information may
                be disclosed to the Office of Management and Budget at any stage in the
                legislative coordination and clearance process in connection with
                private relief legislation as set forth in OMB Circular No. A-19.
                 E. Disclosure to Congressional Offices. Information may be
                disclosed to a congressional office from the record of an individual in
                response to an inquiry from the congressional office made at the
                request of the individual.
                 F. Disclosure to Department of Justice. Information may be
                disclosed to the Department of Justice, or in a proceeding before a
                court, adjudicative body, or other administrative body before which the
                Agency is authorized to appear, when:
                 1. The Agency, or any component thereof;
                 2. Any employee of the Agency in his or her official capacity;
                 3. Any employee of the Agency in his or her individual capacity
                where the Department of Justice or the Agency have agreed to represent
                the employee; or
                 4. The United States, if the Agency determines that litigation is
                likely to affect the Agency or any of its components, is a party to
                litigation or has an interest in such litigation, and the use of such
                records by the Department of Justice or the Agency is deemed by the
                Agency to be relevant and necessary to the litigation provided,
                however, that in each case it has been determined that the disclosure
                is compatible with the purpose for which the records were collected.
                 G. Disclosure to the National Archives. Information may be
                disclosed to the National Archives and Records Administration in
                records management inspections.
                 H. Disclosure to Contractors, Grantees, and Others. Information may
                be disclosed to contractors, grantees, consultants, or volunteers
                performing or working on a contract, service, grant, cooperative
                agreement, job, or other activity for the Agency and who have a need to
                have access to the information in the performance of their duties or
                activities for the Agency. When appropriate, recipients will be
                required to comply with the requirements of the Privacy Act of 1974 as
                provided in 5 U.S.C. 552a(m).
                 I. Disclosures for Administrative Claims, Complaints and Appeals.
                Information from this system of records may be disclosed to an
                authorized
                [[Page 40560]]
                appeal grievance examiner, formal complaints examiner, equal employment
                opportunity investigator, arbitrator or other person properly engaged
                in investigation or settlement of an administrative grievance,
                complaint, claim, or appeal filed by an employee, but only to the
                extent that the information is relevant and necessary to the
                proceeding. Agencies that may obtain information under this routine use
                include, but are not limited to, the Office of Personnel Management,
                Office of Special Counsel, Merit Systems Protection Board, Federal
                Labor Relations Authority, Equal Employment Opportunity Commission, and
                Office of Government Ethics.
                 J. Disclosure to the Office of Personnel Management. Information
                from this system of records may be disclosed to the Office of Personnel
                Management pursuant to that agency's responsibility for evaluation and
                oversight of Federal personnel management.
                 K. Disclosure in Connection with Litigation. Information from this
                system of records may be disclosed in connection with litigation or
                settlement discussions regarding claims by or against the Agency,
                including public filing with a court, to the extent that disclosure of
                the information is relevant and necessary to the litigation or
                discussions and except where court orders are otherwise required under
                section (b)(11) of the Privacy Act of 1974, 5 U.S.C. 552a(b)(11).
                 The two routine uses below (L and M) are required by OMB Memorandum
                M-17-12.
                 L. Disclosure to Persons or Entities in Response to a Compromise or
                Breach of Personally Identifiable Information. To appropriate agencies,
                entities, and persons when (1) the Agency suspects or has confirmed
                that there has been a breach of the system of records, (2) the Agency
                has determined that as a result of the suspected or confirmed breach
                there is a risk of harm to individuals, the Agency (including its
                information systems, programs, and operations), the Federal Government,
                or national security; and (3) the disclosure made to such agencies,
                entities, and persons is reasonably necessary to assist in connection
                with the Agency's efforts to respond to the suspected or confirmed
                breach or to prevent, minimize, or remedy such harm.
                 M. Disclosure to Assist Another Agency in its Efforts to Respond to
                a Breach. To another Federal agency or Federal entity, when the Agency
                determines that information from this system of records is reasonably
                necessary to assist the recipient agency or entity in (1) responding to
                a suspected or confirmed breach or (2) preventing, minimizing, or
                remedying the risk of harm to individuals, the recipient agency or
                entity (including its information systems, programs, and operations),
                the Federal Government, or national security, resulting from a
                suspected or confirmed breach.
                 Additional routine uses that apply to this system are:
                 1. The Department of Justice or other Federal and State Agencies.
                When necessary to complete an investigation, enforce the
                nondiscrimination statutes set forth in the Authority section of this
                notice, or assure proper coordination between Federal agencies.
                 2. Persons Named as Alleged Discriminators. To allow such persons
                the opportunity to respond to the allegations made against them during
                the course of the discrimination complaint process.
                POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
                 All electronic data are stored on servers maintained in locked
                facilities with computerized access control and all printed materials
                are filed in secure cabinets in secure federal facilities with access
                based on need.
                POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
                 Records are retrieved by complaint number, name, address, email
                address or telephone number.
                POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
                 Records stored in this system are subject to EPA's records schedule
                1044, Item c: Routine compliance and enforcement records (DAA 0412-
                2013-0017-0003).
                 Includes:
                 External discrimination complaints related to civil rights
                violations filed by individuals or groups alleging that their civil
                rights have been violated by EPA-funded entities, complaints,
                correspondence, reports, exhibits, notices, depositions transcripts,
                and other related records.
                 Compliance review files.
                 Disposition:
                 Close when activity, project, or case is completed.
                 Destroy 10 years after file closure.
                ADMINISTRATIVE, TECHNICAL AND PHYSICAL SAFEGUARDS:
                 Security controls used to protect personal sensitive data in EXCATS
                are commensurate with those required for an information system rated
                MODERATE for confidentiality, integrity, and availability, as
                prescribed in National Institute of Standards and Technology (NIST)
                Special Publication, 800-53, ``Security and Privacy Controls for
                Information Systems and Organizations,'' Revision 5.
                 1. Administrative Safeguards. EPA personnel are required to
                complete annual agency Information Security and Privacy training. EPA
                personnel are instructed to lock their computers when they leave their
                desks. EXCATS system administrators have appropriate security
                clearance.
                 2. Technical Safeguards. Only authorized OGC/ECRCO users whose
                official duties require the use of such information have access to the
                information in the system. No users outside of OGC/ECRCO have access to
                the system. Specific access is structured around need and is determined
                by the person's role in the organization. Access is managed through the
                use of electronic access control lists, which regulate the ability to
                read, change and delete information in the system. Each OGC/ECRCO user
                has read access to designated information in the system, with the
                ability to modify only their own submissions or those of others within
                their region or group. Data identified as confidential are so
                designated in the system and only specified individuals are granted
                access. The system maintains an audit trail of all actions against the
                data base. All electronic data are stored on servers maintained in
                locked facilities with computerized access control allowing access to
                only those support personnel with a demonstrated need for access. A
                database is kept of all individuals granted security card access to the
                room, and all visitors are escorted while in the room. The server
                facility has appropriate environmental security controls, including
                measures to mitigate damage to automated information system resources
                caused by fire, electricity, water and inadequate climate controls.
                Access control to servers, individual computers and databases includes
                a required user log-on with a password, inactivity lockout to systems
                based on a specified period of time, legal notices and security
                warnings at log-on, and remote access security that allows user access
                for remote users (e.g., while on government travel) under the same
                terms and conditions as for users within the office.
                 3. Physical Safeguards. Printed materials are filed in secure
                cabinets in secure federal facilities with access based on need as
                described above for the automated component of the system.
                RECORD ACCESS PROCEDURES:
                 Individuals seeking access to their own personal information in
                this system
                [[Page 40561]]
                of records will be required to provide adequate identification (e.g.,
                driver's license, military identification card, employee badge or
                identification card). Additional identity verification procedures may
                be required as warranted. Requests must meet the requirements of EPA's
                Privacy Act regulations at 40 CFR part 16.
                CONTESTING RECORD PROCEDURES:
                 Requests for correction or amendment must identify the record to be
                changed and the corrective action sought. Complete EPA Privacy Act
                procedures are described in EPA's Privacy Act regulations at 40 CFR
                part 16.
                NOTIFICATION PROCEDURE:
                 Any individual who wants to know whether the system of records
                contains a record about him or her should submit a written request to
                the EPA, Attn: Agency Privacy Officer, WJC West, MC2831T, 1301
                Constitution Avenue, NW, Washington, DC 20460, [email protected].
                EXEMPTIONS PROMULGATED FOR THE SYSTEM:
                 Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the
                following provisions of the Privacy Act of 1974, subject to the
                limitations set forth in 5 U.S.C. 552a(c)(3), (d), and (e)(1).
                HISTORY:
                 79 FR 63622 (October 24, 2014)--Notice of a Modified System of
                Records. The purpose of that notice was to inform the public that the
                OGC/ECRCO (formerly known as the Title VI External Compliance Program)
                was amending the External Compliance Program Discrimination Complaint
                Files system of records. The system was amended to change the (1)
                system name; (2) the addresses of system locations and system managers;
                (3) categories of individuals covered by the system; (4) routine uses;
                and (5) storage, retrievability and safeguard requirements.
                Vaughn Noga,
                Senior Agency Official for Privacy.
                [FR Doc. 2021-16051 Filed 7-27-21; 8:45 am]
                BILLING CODE 6560-50-P
                

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