[excerpted from: Federal Register: January 4, 2006 (Volume 71, Number 2)]

System Name: OCEFT Criminal Investigative Index and Files.

System Location: Criminal Investigation Division, Office of Criminal Enforcement, Forensics and Training, Environmental Protection Agency, 1200 Pennsylvania Avenue NW., Washington, DC 20004. Records are also maintained in field offices of the OCEFT Criminal Investigation Division. See the appendix for addresses of field offices.

Categories of Individuals Covered by the System: Subjects of investigations about whom data has been collected by criminal investigators of the Office of Criminal Enforcement, Forensics and Training, Criminal Investigation Division, and assembled in the form of investigative reports concerning violations of federal environmental statutes and regulations; persons who provide information and evidence that are used to substantiate environmental criminal violations are also covered by this system of records; OCEFT criminal investigators who participate in investigations.

Categories of Records in the System:

1. Investigative Index. The computer-enhanced investigative index systems contain selected information from the criminal investigative files. Such information includes, but is not limited to, personal data (e.g., name, address, telephone number); prior/secondary residences; vehicle information; associated persons (name and role); driver's licenses/aliases; associated companies (name and role); identifying numbers (number type, number and brief description); corporate data (company name, address, telephone number); corporate vehicle information; corporate identifying numbers; case information (e.g. case opened, date referred to EPA); criminal investigator comments; name and office of criminal investigator; dissemination information (e.g., which other agency requested the information); and other related investigative information.
2. Investigative Files. The investigative files contain all information relating to an investigative matter. In addition to the information contained in the computerized index system, the investigative files contain, but are not limited to, correspondence (case coordination reports, memos of conversation, and other records of communication relating to the investigation); interviews (witness interview statements generated by either an OCEFT/CID special agent or another agency or person); regulatory history (permits and reports generated as a result of normal program activity); technical support (program reports generated as a result of the investigation); investigative notes; electronic monitoring (reports requesting permission and use, transcripts of tapes); records checks (personal history, police information, fingerprint cards, photographs); property reports; property obtained and retained by OCEFT/CID including documents, personal property and physical evidence; manifests and other related investigative information.
3. Criminal Docket. The Criminal Docket is the computerized management information system for the Criminal Investigation Division, which reflects the activity and productivity of individual agents and each OCEFT/CID office. It is also the primary source for assembling statistical data for OCEFT/CID. There is no information contained in the Criminal Docket that is not also contained in the Criminal Investigative Index and Files. The Criminal Docket contains the OCEFT/CID case number, the case name, the most recent investigative or prosecutorial activity, the involved environmental media and environmental statutes, government employees involved in the investigation, case status and case closure codes. The case name may be either a company name or the name of a person that denotes the subject of the investigation.

Authority for Maintenance of the System (includes any revisions or amendments): 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; Federal Water Pollution Control 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; Noise Control Act of 1972, 42 U.S.C. 4912; 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(s): To support and further the investigation of persons or organizations alleged to have criminally violated any environmental statute or regulation. Criminal violations of other federal statutes may have occurred in conjunction with such environmental violations and, therefore, may also be within the scope of an OCEFT/CID investigation and may be included in the record system.

Routine Uses of Records Maintained in the System, Including Categories of Users, and the Purposes of Such Uses: General Routine Uses A, C, D, E, F, G, H, and K apply to this system. Records may also be disclosed:

1. To a potential source of information to the extent necessary to elicit information or to obtain cooperation of that source in furtherance of an EPA criminal investigation.
2. To the Department of Justice for consultation about what information and records are required to be publicly released under federal law.
3. To a federal agency in response to a valid subpoena.
4. To Federal and state government agencies responsible for administering suspension and debarment programs.
5. To international law enforcement organizations if the information is relevant to a violation or potential violation of civil or criminal law or regulation within the jurisdiction of the organization or a law enforcement agency that is a member of the organization.
6. To the news media and public unless it is determined that the release of the specific information in the context of a particular case would constitute an unwarranted invasion of privacy.
7. To any person if the EPA determines that compelling circumstances affecting human health, the environment, or property warrant the disclosure.
8. In connection with criminal prosecution or plea negotiations to the extent that disclosure of the information is relevant and necessary to the prosecution or negotiation 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).

Policies and Practices For Storing, Retrieving, Accessing, Retaining, and Disposing of Records in the System:

• Storage: Hard copy files and computer databases.

• Retrievability: Files are assigned a case file number and records are maintained in numerical order. Information on individuals may be retrieved through the computer index which can use, among other things, case titles, the names of individuals, organization names, driver's license numbers, vehicle or tag or vehicle identification numbers and other identifying numbers.

• Safeguards: Computer records are maintained in a secure, password protected computer system. Paper records are maintained in lockable file cabinets. All records are maintained in secure, access-controlled areas or buildings. The index system also maintains a user log that identifies and records persons who access and use the system.

• Retention and disposal: Retention and Disposal: The manner of Retention and Disposal of the computer index and files depends on how the information is used. The files and computerized data fall into one of three categories:

  1. For cases investigated but not referred to the Department of Justice (DOJ) for criminal prosecution, files are retained in the applicable OCEFT/CID office for two years after the investigation is closed and then forwarded to the Federal Records Center (FRC) nearest the System Location for an additional three years. The FRC will normally destroy the files after three years.
  2. For cases referred to DOJ but DOJ declines to prosecute, files are retained by the applicable OCEFT/CID office for five years after DOJ declines to prosecute and then retired to the FRC, where they are normally destroyed after five years.
  3. For cases that become the subject of judicial action, files are retained by the applicable OCEFT/CID office for five years after completion of the judicial action and then forwarded to the FRC for an additional ten years of retention. The FRC normally destroys the case files after ten years.

System Manager(s) and Address: Director, Criminal Investigations Division, Office of Criminal Enforcement, Forensics and Training, Environmental Protection Agency, FOIA Office (MC-2822 T) Ariel Rios Building, 1200 Pennsylvania Avenue, NW., Washington, DC 20004.

Notification Procedures: Any individual who wants to know whether this system of records contains a record about him or her, who wants access to his or her record, or who wants to contest the contents of a record, should make a written request to the Freedom of Information Office. 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.

Access Procedure: To the extent permitted under the Privacy Act of 1974, 5 U.S.C. 552a(j)(2) or (k)(2), this system has been exempted from the provisions of the Privacy Act of 1974 that permit access and correction. Exemptions from access may be complete or partial, depending on the particular exemption applicable. However, EPA may, in its discretion, grant individual requests for access and correction if it determines that the exercise of these rights will not interfere with an interest that the exemption is intended to protect.

Contesting Procedure: Requests for correction or amendment must identify the record to be changed and the corrective action sought. Complete EPA Privacy Act procedures are set out in 40 CFR part 16.

Record Source Categories: EPA employees and officials; 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 OCEFT/CID investigations.

Systems Exempted From Certain Provisions of the Act: Pursuant to 5 U.S.C. 552a(j)(2) this system is exempt from the following provisions of the Privacy Act: 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). 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).

Appendix to Criminal Investigative Index and Files

Criminal Investigation Division offices where system records are located:

• Boston Area Office, EPA/Criminal Investigation Division, 1 Congress Street, Boston, Massachusetts 02203
• New York Area Office, EPA/Criminal Investigation Division, 26 Federal Plaza, 2nd Floor, Room 130, New York, New York 10278
• Buffalo Resident Office, EPA/Criminal Investigation Division, 138 Delaware Avenue, Buffalo, New York 14202
• Syracuse Domicile Office, EPA/Criminal Investigation Division, P.O. Box 7086, Syracuse, New York 13261-7086
• Philadelphia Area Office, EPA/Criminal Investigation Division, 841 Chestnut Street, Philadelphia, Pennsylvania 19107
• Baltimore Resident Office, EPA/Criminal Investigation Division, 7142 Ambassador Road, Baltimore, Maryland 21244
• Pittsburgh/Wheeling RAC Office, EPA/Criminal Investigation Division, c/o U.S. EPA, 303 Methodist Building, 11th & Chaplin Streets, Wheeling, West Virginia 26003
• Atlanta Area Office, EPA/Criminal Investigation Division Room 510, 345 Courtland Street, NE., Atlanta, Georgia 30365
• Tampa Resident Office, EPA/Criminal Investigation Division, P.O. Box 172057, Tampa, Florida 33672
• Miami Resident Office, EPA/Criminal Investigation Division, Federal Justice Building, 99 N.E. 4th St., 6th Floor, Miami, Florida 33132
• Nashville Domicile Office, EPA/Criminal Investigation Division, c/o Attorney General & Reporter, 450 James Robertson Parkway, Nashville, Tennessee 37243-0494
• Chicago Area Office, EPA/Criminal Investigation Division, 77 West Jackson, Chicago, Illinois 60604
• Dallas Area Office, EPA/Criminal Investigation Division, First Interstate Bank Building, 1445 Ross Avenue, Dallas, Texas 75202-2733
• Houston Resident Office, EPA/Criminal Investigation Division, 440 Louisiana, Suite #1150, Houston, Texas 77002-1635
• New Orleans Domicile Office, EPA/Criminal Investigation Division, c/o U.S. Attorney, Hale Boggs Federal Building, 501 Magazine Street, Room 210, New Orleans, Louisiana 70130
• Kansas City Area Office, EPA/Criminal Investigation Division, 726 Minnesota Avenue, Kansas City, Kansas 66101
• St. Louis Resident Office, EPA/Criminal Investigation Division, 1222 Spruce Street, Room 10.302, St. Louis, Missouri 63103
• Denver Area Office, EPA/Criminal Investigation Division, Suite 500, 999 18th Street, Denver, Colorado 80202-2413
• San Francisco Area Office, EPA/Criminal Investigation Division, 75 Hawthorne St., C-1, San Francisco, California 94105-3901
• Los Angeles Resident Office, EPA/Criminal Investigation Division, 600 S. Lake Avenue, Suite 502, Pasadena, California 91106
• Phoenix Domicile Office, EPA/Criminal Investigation Division, c/o Office of the U.S. Attorney, 4000 U.S. Courthouse, 230 North First Avenue, Phoenix, Arizona 85025-0085
• Seattle Area Office, EPA/Criminal Investigation Division, 1200 Sixth Avenue, Seattle, Washington 98101
• Portland Resident Office, EPA/Criminal Investigation Division, Att: Resident Agent in Charge, 811 Southwest Sixth Ave., Third Floor, Portland, Oregon 97204

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