83 FR 35637 - Privacy Act of 1974; System of Records

ENVIRONMENTAL PROTECTION AGENCY

Federal Register Volume 83, Issue 145 (July 27, 2018)

Page Range		35637-35640
FR Document		2018-16117

The Environmental Protection Agency's (EPA) Office of Environmental Information (OEI), Office of Enterprise Information Programs (OEIP), eDiscovery Division, is giving notice that it proposes to establish a new system of records pursuant to the provisions of the Privacy Act of 1974 (5 U.S.C. 552a). The new system of records will contain information collected using the Agency's suite of tools that search and preserve electronically stored information (ESI) in support of eDiscovery requests, Freedom of Information Act (FOIA) requests or other formal information requests. Exemptions for this system of records will be included in the Agency's update of its Privacy Act regulations at 40 CFR part 16.

Federal Register, Volume 83 Issue 145 (Friday, July 27, 2018)

[Federal Register Volume 83, Number 145 (Friday, July 27, 2018)]
[Notices]
[Pages 35637-35640]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2018-16117]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9980-97-OEI]

Privacy Act of 1974; System of Records

AGENCY: Office of Environmental Information, Environmental Protection
Agency (EPA).

ACTION: Notice of a new system of records.

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SUMMARY: The Environmental Protection Agency's (EPA) Office of
Environmental Information (OEI), Office of Enterprise Information
Programs (OEIP), eDiscovery Division, is giving notice that it proposes
to establish a new system of records pursuant to the provisions of the
Privacy Act of 1974 (5 U.S.C. 552a). The new system of records will
contain information collected using the Agency's suite of tools that
search and preserve electronically stored information (ESI) in support
of eDiscovery requests, Freedom of Information Act (FOIA) requests or
other formal information requests. Exemptions for this system of
records will be included in the Agency's update of its Privacy Act
regulations at 40 CFR part 16.

DATES: Persons wishing to comment on this system of records notice must
do so by. If no comments are received, the systems of records notice
will become effective by August 27, 2018.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OEI-2012-0882, to the Federal eRulemaking Portal: http://www.regulations.gov. Follow the online instructions for submitting
comments. Once submitted, comments cannot be edited or withdrawn. The
EPA may publish any comment received to its public docket. Do not
submit electronically any information you consider to be Confidential
Business Information (CBI) or other information for which disclosure is
restricted by statute. Multimedia submissions (audio, video, etc.) must
be accompanied by a written comment. The written comment is considered
the official comment and should include discussion of all points you
wish to make. The EPA will generally not consider comments or comment
contents located outside of the primary submission (i.e., on the web,

[[Page 35638]]

cloud or other file sharing system). For additional submission methods,
the full EPA public comment policy, information about CBI or multimedia
submissions, and general guidance on making effective comments, please
visit http://www2.epa.gov/dockets/commenting-epa-dockets.

FOR FURTHER INFORMATION CONTACT: Brian K. Thompson, Acting Director,
eDiscovery Division, Office of Environmental Protection Agency, U.S.
Environmental Protection Agency, Mail Code 2822T, 1200 Pennsylvania
Avenue NW, Washington, DC 20460; email, thompson.briank@epa.gov;
telephone number, 202-564-4256.

SUPPLEMENTARY INFORMATION: The U.S. Environmental Protection Agency
(EPA) plans to establish a Privacy Act system of records for
information collected using its eDiscovery (electronic discovery)
Enterprise Tool Suite. Depending on the specific need, the Agency will
use a combination of several electronic tools that together assist with
the preservation, search, processing, review and production of
electronically stored information (ESI). The tool suite will be used to
preserve, search, collect, sort and review ESI including email
messages, word processing documents, media files, spreadsheets,
presentations, scanned documents and data sets in support of legal
discovery. The Agency will also use these tools to search for ESI that
is responsive to requests for information submitted under FOIA or other
formal information requests.
To minimize the risk of compromising the information that is being
stored in the system, strict access controls have been imposed. Access
to the tool suite containing records is restricted to a limited number
of authorized users with the appropriate security clearances and
password permissions. Access to the system is further limited by user
type. System administrators have full access to the tool suite,
including the ability to perform administrative functions. Other users
are provided a level of access to the tool suite that is commensurate
with their role in the system, allowing them to perform the functions
for which they are authorized. Authorized users include federal and
contract staff located throughout the country. The system is maintained
in secure areas and buildings with physical access controls. The
eDiscovery Enterprise Tool Suite is maintained by the Office of
Environmental Information and is stored on servers located in
Washington, DC, and Durham, NC. Data retrieved are stored on servers
and work stations throughout the country. The information contained in
the system can be wide-ranging and potentially include emails,
documents and other sources of ESI collected from custodians and may
contain personally identifiable information. The information in the
system will also contain the names and EPA email addresses of EPA
employees, contractors, and grantees who have been identified as
potential information custodians. Privacy information may be included
in the ESI collected and maintained in the system. Individuals for whom
records are maintained in the system include, but are not limited to,
those individuals who have been identified as potential information
custodians in a litigation, investigation, FOIA matter or other formal
information request and those individuals whose information may appear
in such records. The system will aid in protecting the privacy of
individuals from unwarranted disclosure by allowing authorized users of
the tool suite to identify files that contain privacy information to be
protected from disclosure. EPA will safeguard individuals' privacy in a
manner consistent with the Privacy Act, E-Government Act, OMB
directives and other federal requirements concerning privacy.
Accordingly, the privacy of individuals should not be affected.
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 Enterprise Information Programs,
Office of Environmental Information, 1200 Pennsylvania Avenue NW,
Washington, DC 20460. Records are also maintained in Research Triangle
Park, 109 T.W. Alexander Drive, Durham, NC 27709.

SYSTEM MANAGER(S):
Greg Duke, eDiscovery Division, Office of Enterprise Information
Programs, Office of Environmental Information, MC 3PM50, 1650 Arch
Street, Philadelphia, PA 19103.

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 THE 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 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

[[Page 35639]]

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:
EPA's General Routine Uses A, C, D, E, F, G, H, I, K, and L apply
to this system. Please refer to https://www.federalregister.gov/documents/2008/01/14/E8-445/amendment-to-general-routine-uses for a
full explanation of these routine uses (73 FR 2245).

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 names 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 schedule 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 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 PROCEDURES:
Any individual who wants to know whether this system of records
contains a record about him or her should make a written request to the
Agency Privacy Officer, MC 2831T, 1200 Pennsylvania Avenue NW,
Washington, DC 20460.

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:
None.

[[Page 35640]]

Dated: May 30, 2018.
Steven Fine,
Principal Deputy Assistant Administrator.
[FR Doc. 2018-16117 Filed 7-26-18; 8:45 am]
BILLING CODE 6560-50-P

35640 Federal Register / Vol. 83, No. 145 / Friday, July 27, 2018 / Notices

Dated: May 30, 2018. 418–0530 (voice), (844) 432–2275 Georgia Public Service Commission
Steven Fine, (videophone), or (202) 418–0432 (TTY). State of Georgia
Principal Deputy Assistant Administrator. File No: TRS–22–17
Synopsis Hawaii Public Utilities Commission
[FR Doc. 2018–16117 Filed 7–26–18; 8:45 am]
BILLING CODE 6560–50–P
After reviewing each of the state and State of Hawaii
U.S. territory applications received, the File No: TRS–43–17
Bureau has determined that: Idaho Public Service Commission
(1) The TRS programs of the listed State of Idaho
FEDERAL COMMUNICATIONS states and U.S. territories meet or File No: TRS–10–17
COMMISSION exceed all operational, technical, and Illinois Commerce Commission
functional minimum standards State of Illinois
[CG Docket No. 03–123; DA 18–733]
contained in § 64.604 of the File No: TRS–08–17
Notice of Certification of State Commission’s rules; Indiana Telephone Relay Access
Telecommunications Relay Services (2) The TRS programs of the listed Corporation
(TRS) Programs states and U.S. territories make available State of Indiana
adequate procedures and remedies for File No: TRS–03–17
AGENCY: Federal Communications enforcing the requirements of their state Iowa Utilities Board
Commission. and U.S. territory programs; and State of Iowa
ACTION: Notice. (3) The TRS programs of the listed File No: TRS–07–17
states and U.S. territories in no way Kansas Dual Party Relay Services
SUMMARY: In this document, the Federal conflict with federal law. State of Kansas
Communications Commission’s (FCC or The Bureau also has determined that, File No: TRS–52–17
Commission) Consumer and where applicable, the intrastate funding Kentucky Public Service Commission
Governmental Affairs Bureau (Bureau) mechanisms of the listed states and U.S. Commonwealth of Kentucky
hereby grants renewals of certifications territories are labeled in a manner that File No: TRS–13–17
to the state and U.S. territory TRS promotes national understanding of TRS Louisiana Relay Administration Board
programs listed below. and does not offend the public, State of Louisiana
DATES: These certifications, conditioned consistent with § 64.606(d) of the File No: TRS–53–17
on a demonstration of ongoing Commission’s rules. Maine Telecommunications Relay
compliance with the Commission’s Service Advisory Council
STATES AND U.S. TERRITORIES State of Maine
rules governing TRS, shall remain in
APPROVED FOR CERTIFICATION File No: TRS–33–17
effect for a five (5) year period,
beginning July 26, 2018, and ending July File No: TRS–46–17 Maryland Department of Information
25, 2023, pursuant to 47 CFR 64.606(c). Alabama Public Service Commission Technology Telecommunications
Beginning one year prior to the State of Alabama Access of Maryland
expiration of these certifications, July File No: TRS–19–17 State of Maryland
25, 2022, each state or U.S. territory may Regulatory Commission of Alaska File No: TRS–34–17
apply for renewal of its TRS program State of Alaska Massachusetts Department of
certification by filing documentation in File No: TRS–47–17 Telecommunications and Cable
accordance with the Commission’s Arkansas Deaf and Hearing Impaired Commonwealth of Massachusetts
rules, pursuant to 47 CFR 64.606(a). Telecommunications Service File No: TRS–54–17
Corporation Michigan Public Service Commission
FOR FURTHER INFORMATION CONTACT:
State of Arkansas State of Michigan
Dana Wilson, Consumer and File No: TRS–39–17
File No: TRS–02–17
Governmental Affairs Bureau at: (202) Minnesota Department of
Arizona Commission for the Deaf and
418–2247; email: Dana.Wilson@fcc.gov. Commerce—Telecommunications
Hard of Hearing
SUPPLEMENTARY INFORMATION: The full State of Arizona Access Minnesota
text of this document and copies of the File No: TRS–32–17 State of Minnesota
filed applications are available for California Public Utilities File No: TRS–55–17
public inspection and copying during Commission Mississippi Public Service
regular business hours at the FCC State of California Commission
Reference Information Center, Portal II, File No: TRS–23–17 State of Mississippi
445 12th Street SW, Room CY–A257, Colorado Public Utilities Commission File No: TRS–15–17
Washington, DC 20554. Applications State of Colorado Missouri Public Service Commission
also may be found by searching on the File No: TRS–48–17 State of Missouri
Commission’s Electronic Comment Connecticut Public Utilities File No: TRS–56–17
Filing System at: http://apps.fcc.gov/ Regulatory Authority Montana Department of Public Health
ecfs/ (insert CG Docket No. 03–123 into State of Connecticut and Human Services
the Proceeding block). This document File No: TRS–35–17 State of Montana
can also be downloaded in Word and Delaware Public Service Commission File No: TRS–40–17
Portable Document Format (PDF) at State of Delaware Nebraska Public Service Commission
https://www.fcc.gov/general/disability- File No: TRS–49–17 State of Nebraska
amozie on DSK3GDR082PROD with NOTICES1

rights-office-headlines. Public Service Commission of the File No: TRS–25–17
To request materials in accessible District of Columbia Nevada Department of Health and
formats for people with disabilities District of Columbia Human Services Aging and
(Braille, large print, electronic files, File No: TRS–50–17 Disability Services
audio format), send an email to fcc504@ Florida Public Service Commission State of Nevada
fcc.gov or call the Consumer and State of Florida File No: TRS–42–17
Governmental Affairs Bureau at (202) File No: TRS–51–17 New Hampshire Public Service

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Document Created: 2018-07-27 04:05:21
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Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice of a new system of records.
Dates		Persons wishing to comment on this system of records notice must do so by. If no comments are received, the systems of records notice will become effective by August 27, 2018.
Contact		Brian K. Thompson, Acting Director, eDiscovery Division, Office of Environmental Protection Agency, U.S. Environmental Protection Agency, Mail Code 2822T, 1200 Pennsylvania Avenue NW, Washington, DC 20460; email, [email protected]; telephone number, 202-564-4256.
FR Citation		83 FR 35637