Notice2021-27253
Privacy Act of 1974; System of Records
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
December 16, 2021
Effective
January 18, 2022
Issuing agencies
Environmental Protection Agency
Abstract
The U.S. Environmental Protection Agency's (EPA) Office of Mission Support, Office of Enterprise Information Programs is giving notice that it proposes to modify a system of records pursuant to the provisions of the Privacy Act of 1974. eDiscovery Enterprise Tool Suite, EPA-63 is being modified to update the system manager, add locations where the data may be stored, modify Routine Use L, and add Routine Use M. The purpose of the system is to assist with the preservation, search, processing, review, and production of electronically stored information (ESI) in support of legal discovery or to respond to other formal information requests, such as FOIA requests and congressional inquiries. Unless noted in this modification, all exemptions and provisions included in the previously published system of record notice for eDiscovery Enterprise Tool Suite, EPA-63 will transfer to the modified system of record notice for eDiscovery Enterprise Tool Suite, EPA-63.
Full Text
<html>
<head>
<title>Federal Register, Volume 86 Issue 239 (Thursday, December 16, 2021)</title>
</head>
<body><pre>
[Federal Register Volume 86, Number 239 (Thursday, December 16, 2021)]
[Notices]
[Pages 71479-71482]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-27253]
=======================================================================
-----------------------------------------------------------------------
ENVIRONMENTAL PROTECTION AGENCY
[FRL-9228-01-OMS]
Privacy Act of 1974; System of Records
AGENCY: Office of Mission Support, Environmental Protection Agency
(EPA).
ACTION: Notice of a modified system of records.
-----------------------------------------------------------------------
SUMMARY: The U.S. Environmental Protection Agency's (EPA) Office of
Mission Support, Office of Enterprise Information Programs is giving
notice that it proposes to modify a system of records pursuant to the
provisions of the Privacy Act of 1974. eDiscovery Enterprise Tool
Suite, EPA-63 is being modified to update the system manager, add
locations where the data may be stored, modify Routine Use L, and add
Routine Use M. The purpose of the system is to assist with the
preservation, search, processing, review, and production of
electronically stored information (ESI) in support of legal discovery
or to respond to other formal information requests, such as FOIA
requests and congressional inquiries. Unless noted in this
modification, all exemptions and provisions included in the previously
published system of record notice for eDiscovery Enterprise Tool Suite,
EPA-63 will transfer to the modified system of record notice for
eDiscovery Enterprise Tool Suite, EPA-63.
DATES: Persons wishing to comment on this system of records notice must
do so by January 18, 2022. New or Modified routine uses if adding or
changing routine uses for this modified system of records will be
effective January 18, 2022.
ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OEI-2012-0882, by one of the following methods:
Federal eRulemaking Portal: <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#60040f030b05143f0f0d13200510014e070f16"><span class="__cf_email__" data-cfemail="e2868d81898796bd8d8f91a2879283cc858d94">[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
[[Page 71480]]
arrangements should be made for deliveries of boxed information.
Instructions: Direct your comments to Docket ID No. EPA-HQ-OEI-
2012-0882. The EPA's policy is that all comments received will be
included in the public docket without change and may be made available
online at <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 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 <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.
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. 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 <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
about 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>.
FOR FURTHER INFORMATION CONTACT: Division Director, eDiscovery
Division, Office of Mission Support, Office of Enterprise Information
Programs, 1301 Constitution Ave. NW, Washington, DC 20001.
SUPPLEMENTARY INFORMATION: eDiscovery Enterprise Tool Suite, EPA-63 is
being modified to update the System Manager to the Director of the
eDiscovery Division, to add government-certified cloud locations where
data may be stored to the System Location section, to modify Routine
Use L, and to add Routine Use M.
SYSTEM NAME AND NUMBER:
eDiscovery Enterprise Tool Suite, EPA-63.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
eDiscovery Enterprise Tool Suite, U.S. Environmental Protection
Agency, eDiscovery Division, Office of Mission Support, Office of
Enterprise Information Programs, 1200 Pennsylvania Avenue NW,
Washington, DC 20460. Records are also maintained in Research Triangle
Park, 109 T.W. Alexander Drive, Durham, NC 27709, and other Agency
offices, or mission locations. Information may also be stored within a
government-certified cloud, implemented and overseen by the Agency's
Chief Information Officer (CIO).
SYSTEM MANAGER(S):
The system manager is the eDiscovery Division Director, Office of
Mission Support, Office of Enterprise Information Programs, 1301
Constitution Ave. NW, Washington, DC 20001; <a href="/cdn-cgi/l/email-protection#1a5f5e5e455e73687f796e75685a7f6a7b347d756c"><span class="__cf_email__" data-cfemail="a2e7e6e6fde6cbd0c7c1d6cdd0e2c7d2c38cc5cdd4">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
40 U.S.C. 11315 and 44 U.S.C. 3506.
PURPOSE(S) OF THE SYSTEM:
To support the document identification and collection processes for
eDiscovery, Freedom of Information Act requests and other formal
information requests.
CATEGORIES OF INDIVIDUALS COVERED BY SYSTEM:
Categories of individuals covered by this system include: (1) All
persons subject to a litigation hold due to a ``reasonable anticipation
of litigation'' as determined by EPA; (2) all persons deemed a
participant of past or present litigation, investigation or arbitration
where EPA is involved, including civil and criminal enforcement cases
and defensive litigation; and (3) individuals impacted by Freedom of
Information Act (FOIA) requests, litigation or other cases in EPA.
A wide variety of individuals are covered by the system, including
individuals who correspond with EPA; provide information to EPA that is
subject to discovery, a FOIA request or other formal information
request; or are the subject of litigation with EPA; individuals who
file complaints or petitions with EPA; and individuals involved in
matters with EPA as either plaintiffs or defendants in both civil and
criminal matters.
CATEGORIES OF RECORDS IN THE SYSTEM:
eDiscovery Litigation Hold Files. The litigation hold files contain
the names and email addresses of EPA employees and EPA contractors,
interns, or grantees who have been provided EPA email addresses and who
have been identified as custodians of information that needs to be
preserved in the anticipation of litigation. The records in the system
will include these individuals' names and EPA email addresses which are
entered into the system by designated EPA employees responsible for the
administration of litigation holds. Information in the system includes
litigation hold notices and answers to certification questions. Reports
may be generated from the system that identify whether an individual is
designated as a custodian of hold-responsive information, as well as
reports containing the information received from individuals in
response to questions asked through the litigation hold system.
eDiscovery Case Tracking Files. The case tracking files contain
information about the cases created in response to a litigation,
investigation, FOIA matter or other formal information request. Case
tracking files may contain the names, phone numbers, organizations, and
email addresses of EPA employees and
[[Page 71481]]
EPA contractors, interns, or grantees who have been identified as
custodians in a case or as points of contact for managing the case.
Information in the case tracking files may include the location of the
information to be searched, search terms and case notes entered into
the system by designated EPA employees or contractors responsible for
operating EPA's eDiscovery Enterprise Tool Suite.
eDiscovery Collection Files. The collection files contain
information potentially responsive to a litigation, investigation, FOIA
matter or other formal information request. The Tool Suite may capture
many types of personally identifiable information depending on where
that information is stored, including an individual's name; work
address and telephone number; home address and telephone number; email
addresses; vehicle information; names of individuals associated with a
FOIA request or litigation hold; or other related information. The
collection files contain all data collected by the tools using the
search criteria and may contain, but not be limited to, correspondence
(e.g., case coordination reports; memoranda and other records of
communication, including electronic communication over email systems or
instant messaging among other EPA employees and/or personnel of other
federal agencies and outside parties and attachments to those messages
or communications); local/shared drive data; information collected or
compiled from EPA database systems; spreadsheets of data collections
often including personally identifiable information or law enforcement
data used to track the process of investigations or focus investigative
priorities; records relating to litigation by or against the United
States government; records relating to requests for EPA records other
than requests under the FOIA and the Privacy Act of 1974; legal
documents including complaints, summaries, affidavits, litigation
reports, motions, subpoenas and any other court filing or
administrative filing, or other related litigation documents;
documentary evidence; supporting documents related to the legal and
programmatic issues of a case; transcripts of interviews; regulatory
history (i.e., permits and reports generated as a result of normal
program activity); administrative record material and comments on
administrative records; technical support (reports generated to test
search criteria); investigative notes; reports requesting permission
and use; transcripts of tapes; records checks (personal history, police
information, fingerprint cards, photographs); property reports;
property obtained and retained by an examiner including documents,
personal property and documentary or other evidence; employment records
and information related to employment matters; claims and records
regarding discrimination, including employment and sex discrimination;
personnel matters; contracts and information relating to contracts;
manifests and other related investigative information.
RECORD SOURCE CATEGORIES:
EPA employees; employees of federal contractors; employees of other
federal agencies and of state, local, tribal and foreign agencies;
witnesses; informants; public source materials; and other persons who
may have information relevant to the search criteria.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
The routine uses below are both related to and compatible with the
original purpose for which the information was collected. The following
general routine uses apply to this system:
A. Disclosure for Law Enforcement Purposes: Information may be
disclosed to the appropriate Federal, State, local, tribal, or foreign
agency responsible for investigating, prosecuting, enforcing, or
implementing a statute, rule, regulation, or order, if the information
is relevant to a violation or potential violation of civil or criminal
law or regulation within the jurisdiction of the receiving entity.
C. Disclosure to Requesting Agency: Disclosure may be made to a
Federal, State, local, foreign, or tribal or other public authority of
the fact that this system of records contains information relevant to
the retention of an employee, the retention of a security clearance,
the letting of a contract, or the issuance or retention of a license,
grant, or other benefit. The other agency or licensing organization may
then make a request supported by the written consent of the individual
for the entire record if it so chooses. No disclosure will be made
unless the information has been determined to be sufficiently reliable
to support a referral to another office within the agency or to another
Federal agency for criminal, civil, administrative, personnel, or
regulatory action.
D. Disclosure to Office of Management and Budget: Information may
be disclosed to the Office of Management and Budget at any stage in the
legislative coordination and clearance process in connection with
private relief legislation as set forth in OMB Circular No. A-19.
E. Disclosure to Congressional Offices: Information may be
disclosed to a congressional office from the record of an individual in
response to an inquiry from the congressional office made at the
request of the individual.
F. Disclosure to Department of Justice: Information may be
disclosed to the Department of Justice, or in a proceeding before a
court, adjudicative body, or other administrative body before which the
Agency is authorized to appear, when:
1. The Agency, or any component thereof;
2. Any employee of the Agency in his or her official capacity;
3. Any employee of the Agency in his or her individual capacity
where the Department of Justice or the Agency have agreed to represent
the employee; or
4. The United States, if the Agency determines that litigation is
likely to affect the Agency or any of its components,
Is a party to litigation or has an interest in such litigation, and
the use of such records by the Department of Justice or the Agency is
deemed by the Agency to be relevant and necessary to the litigation
provided, however, that in each case it has been determined that the
disclosure is compatible with the purpose for which the records were
collected.
G. Disclosure to the National Archives: Information may be
disclosed to the National Archives and Records Administration in
records management inspections.
H. Disclosure to Contractors, Grantees, and Others: Information may
be disclosed to contractors, grantees, consultants, or volunteers
performing or working on a contract, service, grant, cooperative
agreement, job, or other activity for the Agency and who have a need to
have access to the information in the performance of their duties or
activities for the Agency. When appropriate, recipients will be
required to comply with the requirements of the Privacy Act of 1974 as
provided in 5 U.S.C. 552a(m).
I. Disclosures for Administrative Claims, Complaints and Appeals:
Information from this system of records may be disclosed to an
authorized appeal grievance examiner, formal complaints examiner, equal
employment opportunity investigator, arbitrator or other person
properly engaged in investigation or settlement of an administrative
grievance, complaint,
[[Page 71482]]
claim, or appeal filed by an employee, but only to the extent that the
information is relevant and necessary to the proceeding. Agencies that
may obtain information under this routine use include, but are not
limited to, the Office of Personnel Management, Office of Special
Counsel, Merit Systems Protection Board, Federal Labor Relations
Authority, Equal Employment Opportunity Commission, and Office of
Government Ethics.
K. Disclosure in Connection With Litigation: Information from this
system of records may be disclosed in connection with litigation or
settlement discussions regarding claims by or against the Agency,
including public filing with a court, to the extent that disclosure of
the information is relevant and necessary to the litigation or
discussions and except where court orders are otherwise required under
section (b)(11) of the Privacy Act of 1974, 5 U.S.C. 552a(b)(11).
The two routine uses below (L and M) are required by OMB Memorandum
M-17-12.
L. Disclosure to Persons or Entities in Response to an Actual or
Suspected Breach of Personally Identifiable Information: To appropriate
agencies, entities, and persons when (1) EPA suspects or has confirmed
that there has been a breach of the system of records; (2) EPA has
determined that as a result of the suspected or confirmed breach there
is a risk of harm to individuals, EPA (including its information
systems, programs, and operations), the Federal Government, or national
security; and (3) the disclosure made to such agencies, entities, and
persons is reasonably necessary to assist in connection with EPA's
efforts to respond to the suspected or confirmed breach or to prevent,
minimize, or remedy such harm.
M. Disclosure to Assist Another Agency in Its Efforts to Respond to
a Breach of Personally Identifiable Information: To another Federal
agency or Federal entity, when EPA determines that information from
this system of records is reasonably necessary to assist the recipient
agency or entity in (1) responding to a suspected or confirmed breach
or (2) preventing, minimizing, or remedying the risk of harm to
individuals, the recipient agency or entity (including its information
systems, programs, and operations), the Federal Government, or national
security, resulting from a suspected or confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records in the system are stored in database applications running
on computer servers.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Litigation hold and case tracking files are assigned a case file
control number or case name. Information collected from individuals
pertaining to particular cases may be retrieved by name of individuals,
email addresses, and other unique identifiers.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records stored in the system are subject to records schedules 1012
and 0089.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Computer records are maintained in a secure, password protected
computer system. Role-based access controls limit a user's access to
the information in the system. Users are provided access to information
in the system based on their need to know. Individuals working on a
particular matter will be given access to the information related to
that matter. The eDiscovery Enterprise Tool Suite is a password
protected system requiring all users log in to access the information
in the system. The system times out after a period of latency ensuring
a user re-authenticates their session with a username and password. The
system also maintains a user log that identifies and records persons
who access and use the system. Users of EPA systems are required to
complete security and privacy training on an annual basis to ensure
continued access to the system. All records are maintained in secure
areas and buildings with physical access controls.
RECORD ACCESS PROCEDURES:
Request for access must be made in accordance with the procedures
described in EPA's Privacy Act regulations at 40 CFR part 16.
Requesters will be required to provide adequate identification, such as
a driver's license, employee identification card or other identifying
document. Additional identification procedures may be required in some
instances.
CONTESTING RECORDS PROCEDURES:
Requests for correction or amendment must identify the record to be
changed and the corrective action sought. Complete EPA Privacy Act
procedures are described in EPA's Privacy Act regulations at 40 CFR
part 16.
NOTIFICATION PROCEDURES:
Individuals who wish to be informed whether a Privacy Act system of
records maintained by EPA contains any record pertaining to them,
should make a written request to the EPA, Attn: Agency Privacy Officer,
MC 2831T, 1200 Pennsylvania Ave. NW, Washington, DC 20460, or by email
at: <a href="/cdn-cgi/l/email-protection#83f3f1eaf5e2e0fac3e6f3e2ade4ecf5"><span class="__cf_email__" data-cfemail="5424263d2235372d143124357a333b22">[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 a criminal enforcement
proceeding, this system is exempt from the following provisions of the
Privacy Act, subject to the limitations set forth in that subsection: 5
U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(5), (e)(8), (f)(2) through (f)(5) and (g).
HISTORY:
83 FR 35637 (July 27, 2018).
Vaughn Noga,
Senior Agency Official for Privacy.
[FR Doc. 2021-27253 Filed 12-15-21; 8:45 am]
BILLING CODE 6560-50-P
</pre><script data-cfasync="false" src="/cdn-cgi/scripts/5c5dd728/cloudflare-static/email-decode.min.js"></script></body>
</html>Indexed from Federal Register on December 16, 2021.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.