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Privacy Act System of Records: Debarment and Suspension Files, System EPA-33

[excerpted from: Federal Register: February 22, 2002 (Volume 67, Number 36)]

System Name: Debarment and Suspension Files.

System Location: Office of Grants and Debarment, Environmental Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460, and Regions 1 through 10 which recommend suspension and debarment action. See the appendix for the address of regional offices.

Categories of Individuals Covered by the System: Individuals who have been suspended, proposed for debarment, or debarred from Federal procurement and assistance programs and individuals who have been the subject of agency inquiries to determine whether they should be debarred and/or suspended from Federal procurement and assistance programs.

Categories of Records in the System: Records include information on individuals and firms excluded or considered for exclusion from Federal acquisition or assistance programs as a result of suspension or debarment proceedings initiated by EPA. Such information includes, but is not limited to, names and addresses of individuals covered by the system of records, evidence obtained in support of Action Referral Memoranda and Case Closure Memoranda, interim decisions, compliance agreements, audits of compliance agreements, and final determinations. Examples of evidence contained in files include correspondence, inspection reports, memoranda of interviews, contracts, assistance agreements, indictments, judgment and conviction orders, plea agreements, and corporate information. Evidence may include documents containing individuals' Social Security Numbers. Computer generated records include data regarding categories and status of cases.

Authority for Maintenance of the System (includes any revisions or amendments): Federal Property and Administrative Services Act of 1949, 41 U.S.C. 251 et seq.; Office of Federal Procurement Policy Act, 41 U.S.C. 401 et seq.; Executive Order 12549 (Feb. 18, 1986); and Executive Order 12689 (Aug. 16, 1989).

Purpose(s): To assist EPA in assembling information on, conducting, and documenting debarment and suspension proceedings to ensure that Federal contracts and Federal assistance, loans, and benefits are awarded to responsible business entities and individuals.

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

  1. To the General Services Administration (GSA) to compile and maintain the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs" in accordance with FAR 9.404 and 40 CFR 32.500 and 32.505.
  2. To organizations suspended, proposed for debarment of debarred in EPA proceedings; to the legal representatives of such organizations; and to the legal representatives of individuals suspended, proposed for debarment or debarred in EPA proceedings.
  3. To a Federal, state, or local agency, financial institution, or other entity to verify an individual's eligibility for engaging in a covered transaction as defined at 40 CFR 32.200.
  4. To Federal, state, or local agencies, in response to requests or subpoenas, or otherwise, for the Purpose (s) of; (a) assisting them in administering Federal acquisition, assistance, loan and benefit programs or regulatory programs, (b) assisting them in discharging their duties to ensure that Federal contracts and assistance, loans, and benefit programs are awarded to responsible individuals and organizations, and (c) ensuring that Federal, state or local regulatory responsibilities are met.
  5. To the public, upon request, and to publishers of computerized legal research systems, but such disclosures shall be limited to interim or final decisions and settlement agreements.

Policies and procedures for storing, retrieving, accessing, retaining and Disposing of Records in the System:

  • Storage: File folders, computer databases, and other electronic media.

  • Retrievability: By name of the firm or individual and by file number.

  • 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.

  • Retention and Disposal: Records are retained in accordance with EPA's Assistance and Interagency Agreement Records Schedule, NC1-412-85-25/7. Investigative and advocacy files are destroyed after the issuance of a final determination or entry of a compliance agreement. Audit files are retained throughout the term of the relevant compliance agreement. The official administrative record is retained in the office until three months after the period of debarment or voluntary exclusion expires, or all provisions of the compliance agreement have been completed. The official administrative record is then transferred to the Federal Records Center (FRC) for storage. Files relating to cases closed without action are also transferred to the FRC three months after the decision to close the matter. The records transferred to the FRC are destroyed when they are 6 years and 3 months old.

System Manager(s) and Address: Director, Office of Grants and Debarment, Environmental Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue NW, Washington, DC 20460.

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 System Manager.

Access Procedure: 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 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 and other Federal officials, state and local officials, private parties, businesses and other entities who may have information relevant to an inquiry, and individuals who have been suspended, proposed for debarment or debarred, and their legal representatives.

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