Notice2021-23633
Privacy Act of 1974; System of Records
Primary source
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Published
October 29, 2021
Effective
November 29, 2021
Issuing agencies
Environmental Protection Agency
Abstract
The U.S. Environmental Protection Agency's (EPA), National Enforcement Investigations Center (NEIC) is giving notice that it proposes to create a new system of records pursuant to the provisions of the Privacy Act of 1974. The National Enforcement Investigations Center Master Tracking System (MTS) will contain information related to investigations of persons or organizations alleged to have violated any federal environmental statute or regulation or, pursuant to a cooperative agreement with a state, local, or tribal authority, an environmental statute or regulation of such authority. The U.S. Environmental Protection Agency will separately add exemptions for this system of records to the Agency's Privacy Act regulations at 40 CFR part 16.
Full Text
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<title>Federal Register, Volume 86 Issue 207 (Friday, October 29, 2021)</title>
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[Federal Register Volume 86, Number 207 (Friday, October 29, 2021)]
[Notices]
[Pages 60033-60036]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-23633]
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ENVIRONMENTAL PROTECTION AGENCY
[FRL-8948-03-OMS]
Privacy Act of 1974; System of Records
AGENCY: National Enforcement Investigations Center (NEIC), Office of
Criminal Enforcement Forensics and Training (OCEFT), Office of
Enforcement Compliance and Assurance (OECA), Environmental Protection
Agency (EPA).
ACTION: Notice of a new system of records.
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SUMMARY: The U.S. Environmental Protection Agency's (EPA), National
Enforcement Investigations Center (NEIC) is giving notice that it
proposes to create a new system of records pursuant to the provisions
of the Privacy Act of 1974. The National Enforcement Investigations
Center Master Tracking System (MTS) will contain information related to
investigations of persons or organizations alleged to have violated any
federal environmental statute or regulation or, pursuant to a
cooperative agreement with a state, local, or tribal authority, an
environmental statute or regulation of such authority. The U.S.
Environmental Protection Agency will separately add exemptions for this
system of records to the Agency's Privacy Act regulations at 40 CFR
part 16.
DATES: Persons wishing to comment on this system of records notice must
do so by November 29, 2021. Routine uses for this new system of records
will be effective November 29, 2021.
ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OECA-2021-0552, by one of the following methods:
Federal eRulemaking Portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>. Follow the
online instructions for submitting comments.
Email: <a href="/cdn-cgi/l/email-protection#12767d717977664d7d7f61527762733c757d64"><span class="__cf_email__" data-cfemail="54303b373f31200b3b3927143124357a333b22">[email protected]</span></a>. 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-OECA-
2021-0552. The EPA policy is that all comments received will be
included in the public docket without change and may be made available
online at <a href="https://www.regulations.gov">https://www.regulations.gov</a>, 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
<a href="https://www.regulations.gov">https://www.regulations.gov</a>. The <a href="https://www.regulations.gov">https://www.regulations.gov</a> website is
an ``anonymous access'' system for EPA, which means the EPA will not
know your identity or contact information unless you provide it in the
body of your comment. Each agency determines submission requirements
within their own internal processes and standards. If you send an email
comment directly to the EPA without going through <a href="https://www.regulations.gov">https://www.regulations.gov</a> 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. 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.
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 <a href="https://www.epa.gov/dockets">https://www.epa.gov/dockets</a>.
Docket: All documents in the docket are listed in the <a href="https://www.regulations.gov">https://www.regulations.gov</a> 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 <a href="https://www.regulations.gov">https://www.regulations.gov</a> or in hard copy at the
OMS Docket, EPA/DC, WJC West Building, Room 3334, 1301 Constitution
Ave. NW, Washington, DC 20460.
EPA Docket Center and Reading Room 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 <a href="https://www.regulations.gov/">https://www.regulations.gov/</a> 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 <a href="https://www.epa.gov/dockets">https://www.epa.gov/dockets</a>. The telephone number for the
Public Reading Room is (202) 566-1744, and the telephone number for the
OMS Docket is (202) 566-1752.
FOR FURTHER INFORMATION CONTACT: Michael Roach, EPA National
Enforcement Investigations Center, Denver Federal Center, 6th and
Kipling, Building 25, Denver CO 80225; email address:
<a href="/cdn-cgi/l/email-protection#0d5f626c6e652340646e656c68614d687d6c236a627b"><span class="__cf_email__" data-cfemail="bceed3dddfd492f1d5dfd4ddd9d0fcd9ccdd92dbd3ca">[email protected]</span></a>; telephone: (303) 462-9080.
SUPPLEMENTARY INFORMATION: The EPA National Enforcement Investigations
Center (NEIC), established in 1970, provides expertise in field
investigations, technical and regulatory
[[Page 60034]]
analyses, forensic laboratory analysis, information management, and
litigation support for civil and criminal environmental enforcement
actions brought by federal, state, tribal, and local authorities. The
NEIC Master Tracking System (MTS) consists of a central data directory
linked with other computerized subsystems. EPA will use NEIC MTS to
manage and track field, laboratory, and operational support activities.
System Name and Number:
NEIC Master Tracking System (MTS), EPA-79.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
National Enforcement Investigations Center, Office of Criminal
Enforcement, Forensics & Training, Environmental Protection Agency,
Denver Federal Center, 6th and Kipling, Building 25, Denver, Colorado
80225.
SYSTEM MANAGER(S):
Michael Roach, EPA National Enforcement Investigations Center,
Denver Federal Center, 6th and Kipling, Building 25, Denver CO 80225;
<a href="/cdn-cgi/l/email-protection#396b56585a511774505a51585c55795c4958175e564f"><span class="__cf_email__" data-cfemail="73211c12101b5d3e1a101b12161f331603125d141c05">[email protected]</span></a>; (303) 462-9080
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Powers of Environmental Protection Agency, 18 U.S.C. 3063;
Comprehensive Environmental Response Compensation and Liability Act, 42
U.S.C. 9603; Resource Conservation and Recovery Act, 42 U.S.C. 6928;
Clean Water Act, 33 U.S.C. 1319, 1321; Toxic Substances Control Act, 15
U.S.C. 2614, 2615; Clean Air Act, 42 U.S.C. 7413; Federal Insecticide,
Fungicide and Rodenticide Act, 7 U.S.C. 136j, 136l; Safe Drinking Water
Act, 42 U.S.C. 300h-2, 300i-1; Emergency Planning and Community Right-
To-Know Act of 1986, 42 U.S.C. 11045; and the Marine Protection,
Research, and Sanctuaries Act of 1972, 33 U.S.C. 1415.
PURPOSE OF THE SYSTEM:
To support, further, and document criminal and civil investigations
of persons or organizations alleged to have violated any federal
environmental statute or regulation or, pursuant to a cooperative
agreement with a state, local, or tribal authority, an environmental
statute or regulation of such authority. NEIC MTS is used to maintain
information related to such investigative efforts, including the nature
of work, investigation outcomes, required resources, and information
about the supporting staff. NEIC MTS is used to record, monitor, and
manage enforcement case-related activities performed in the office,
field, and laboratory. NEIC MTS is also used to manage project files.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Any person who is the subject of a criminal or civil investigation
concerning violations of federal environmental statutes and regulations
(or state, tribal or local environmental statutes and regulations,
pursuant to a cooperative agreement with a state, tribal or local
authority); any person who provides information and evidence that is
used to substantiate criminal or civil environmental violations; any
third parties identified by persons providing information or evidence
that is used to substantiate criminal or civil environmental
violations; and EPA or other federal, state or local government
personnel, or government contractors that perform field and analytical
work or otherwise assist in an investigation.
CATEGORIES OF RECORDS IN THE SYSTEM:
A. Computer Indexes. NEIC MTS includes systems for internal
tracking and management of NEIC environmental enforcement technical
support projects, including: a description of the project; a schedule
of project milestones; the current project status; a listing of
personnel working on the project; and the environmental statutes at
issue. These indexes include: enforcement data such as planned dates
for search warrants or facility inspections; types of sampling or
analyses to be conducted; and any other work done to support a project.
The indexes also serve as the computerized management information
system for NEIC and contain information on the activity and
productivity of individual employees as well as the organization. NEIC
MTS's indexes are organized according to project number and project
name. NEIC assigns project numbers sequentially by project type (i.e.,
civil, criminal). NEIC assigns project names by either the name of an
entity or an individual, the choice of which depends upon the nature of
the violation(s) or type of NEIC support activity. NEIC MTS's indexes
can include the following EPA employee/contractor information: first
name, last name, local area network (LAN) identification (ID), personal
phone number(s), and personal email address(es). The indexes can
include the following investigatory subject information: first name,
last name, and location (city and state).
B. Project Files. Documentary information relating to a given
enforcement matter, including: correspondence (case coordination
reports, memos of conversation, and other records of communication
relating to the matter); witness interviews (on-site statements of
interviews generated either by an NEIC investigator or another agency
or person); regulatory history (permits and reports generated as a
result of normal program activity); technical support (project reports
generated as a result of the investigation); inspection notes;
financial information; sampling and laboratory notes; and other related
investigative information. Project files can include first name and/or
last name of the EPA employee/contractor, federal, state, local, and/or
tribal investigator. Project files can include the following categories
of information on the investigatory subject: first name, last name,
home address, personal telephone number(s), and personal email
address(es).
RECORD SOURCE CATEGORIES:
EPA employees and officials; employees of federal contractors;
employees of other federal, state, local, tribal, or foreign agencies;
personnel of companies/corporations under investigation; databases
maintained by EPA; databases maintained by other federal, state, local,
tribal, or foreign agencies; databases maintained by companies/
corporations under investigation; witnesses; informants; public source
materials; and other persons who may have information relevant to
OCEFT/NEIC investigations.
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.
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
[[Page 60035]]
letting of a contract; or the issuance or retention of a license,
grant, or other benefit. The other agency or licensing organization may
then make a request supported by the written consent of the individual
for the entire record if it so chooses. No disclosure will be made
unless the information has been determined to be sufficiently reliable
to support a referral to another office within the agency or to another
federal agency for criminal, civil, administrative, personnel, or
regulatory action.
D. Disclosure to Office of Management and Budget. Information may
be disclosed to the Office of Management and Budget at any stage in the
legislative coordination and clearance process in connection with
private relief legislation as set forth in OMB Circular No. A-19.
E. Disclosure to Congressional Offices. Information may be
disclosed to a congressional office from the record of an individual in
response to an inquiry from the congressional office made at the
request of the individual.
F. Disclosure to Department of Justice. Information may be
disclosed to the Department of Justice, or in a proceeding before a
court, adjudicative body, or other administrative body before which the
Agency is authorized to appear, when:
1. The Agency, or any component thereof,
2. Any employee of the Agency in his or her official capacity,
3. Any employee of the Agency in his or her individual capacity
where the Department of Justice or the Agency have agreed to represent
the employee; or
4. The United States, if the Agency determines that litigation is
likely to affect the Agency or any of its components, is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or the Agency is deemed by the
Agency to be relevant and necessary to the litigation provided,
however, that in each case it has been determined that the disclosure
is compatible with the purpose for which the records were collected.
G. Disclosure to the National Archives. Information may be
disclosed to the National Archives and Records Administration in
records management inspections.
H. Disclosure to Contractors, Grantees, and Others. Information may
be disclosed to contractors, grantees, consultants, or volunteers
performing or working on a contract, service, grant, cooperative
agreement, job, or other activity for the Agency and who have a need to
have access to the information in the performance of their duties or
activities for the Agency. When appropriate, recipients will be
required to comply with the requirements of the Privacy Act of 1974 as
provided in 5 U.S.C. 552a(m).
I. Disclosures for Administrative Claims, Complaints and Appeals.
Information from this system of records may be disclosed to an
authorized appeal grievance examiner, formal complaints examiner, equal
employment opportunity investigator, arbitrator or other person
properly engaged in investigation or settlement of an administrative
grievance, complaint, 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 an actual or
Suspected Breach of Personally Identifiable Information. Information
from this system of records may be disclosed 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.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Hard copy records are stored in file folders labeled with the NEIC
project number and project name. The project name can be an entity or
an individual. Computer indexes and electronic files are stored on
secure, password-protected network drives. They are labeled with the
NEIC project number and project name.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Project files are assigned a project number and project name, and
records are maintained in numerical order. Records are primarily
retrieved by project name; the project number is the secondary
retrieval method. Electronic records also may be retrieved by using key
words or phrases, which can include an entity's name, individual
person's name, and/or location (city and state).
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Administrative data from the system are retained according to EPA
Records Schedule 1006. Project files are closed when discontinued,
superseded, or canceled, or when no longer needed for current agency
business, and destroyed 6 years after closure. Project files relating
to investigations are retained according to EPA Records Schedule 1044,
Compliance and Enforcement. Closed project files are retained no less
than 2 years and no more than 5 years on site. Project files are
destroyed by the Federal Records Center no less than 5 years and no
more than 20 years after the closing date, depending on case status.
Project files classified as permanent records are transferred from the
Federal Records Center to the National Archives from 15-18 years
[[Page 60036]]
after the closing date, depending on the media.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Security controls used to protect personal sensitive data in NEIC
MTS 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.
2. Technical Safeguards: Computer records are maintained in a
secure, password-protected computer system. NEIC MTS access is limited
to authorized, authenticated users. Access is restricted to those
individuals and managers with an official need for information on a
project. Security measures control user access and privileges to the
computer databases at the server, file system, and database level.
3. Physical Safeguards: Paper records are maintained in lockable
offices, file cabinets or in a staffed and/or access-controlled central
records repository. All records are maintained in secure, access-
controlled areas or buildings.
RECORDS ACCESS PROCEDURES:
Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), certain records
maintained in NEIC MTS are exempt from specific access and accounting
provisions of the Privacy Act. See 40 CFR 16.11 and 16.12. However, EPA
may, in its discretion, grant individual requests for access if it
determines that the exercise of these rights will not interfere with an
interest that the exemption is intended to protect. Requests for access
must be made in accordance with the procedures described in EPA's
Privacy Act regulations at 40 CFR part 16.
CONTESTING RECORDS PROCEDURES:
Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), certain records
maintained in NEIC MTS are exempt from specific correction and
amendment provisions of the Privacy Act. However, EPA may, in its
discretion, grant individual requests for correction or amendment if it
determines that the exercise of these rights will not interfere with an
interest that the exemption is intended to protect. Requests for
correction or amendment must identify the record to be changed and the
corrective action sought, and must be made in accordance with the
procedures described in EPA's Privacy Act regulations at 40 CFR part
16.
NOTIFICATION PROCEDURE:
Individuals who wish to be informed whether a Privacy Act system of
records maintained by EPA contains any record pertaining to them,
should make a written request to the EPA Attn: Agency Privacy Officer,
MC 2831T, 1200 Pennsylvania Ave. NW, Washington, DC 20460, or by email
at <a href="/cdn-cgi/l/email-protection#ddadafb4abbcbea49db8adbcf3bab2ab"><span class="__cf_email__" data-cfemail="9bebe9f2edfaf8e2dbfeebfab5fcf4ed">[email protected]</span></a>.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
For those records within the system collected and maintained
pursuant to the Federal Rules of Civil Procedure (FRCP) and/or for the
purpose of civil discovery, action or proceeding, 5 U.S.C. 552a(d)(5)
will apply, stating that ``nothing in this [Act] shall allow an
individual access to any information compiled in reasonable
anticipation of a civil action or proceeding.'' In addition, pursuant
to 5 U.S.C. 552a(k)(2), this system is exempt from the following
provisions of the Privacy Act, subject to the limitations set forth in
that subsection: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(e)(4)(H), and (f)(2) through (5). Finally, pursuant to 5 U.S.C.
552a(j)(2), when records are contained in this system related to
criminal enforcement, those records are exempt from the following
provisions of the Privacy Act, subject to the limitations set forth in
that subsection: 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2),
(e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f)(2) through (5);
and (g). See 40 CFR 16.11 and 16.12.
HISTORY:
66 FR 49947--October 1, 2001--Creation of the OCEFT/NEIC Master
Tracking System of Records (EPA-46).
78 FR 40737--July 8, 2013--Notification of Deletion of System of
Records; Office of Criminal Enforcement, Forensics & Training, National
Enforcement Investigations Center, Master Tracking System (EPA-46).
Vaughn Noga,
Senior Agency Official for Privacy.
[FR Doc. 2021-23633 Filed 10-28-21; 8:45 am]
BILLING CODE 6560-50-P
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