[Federal Register Volume 64, Number 184 (Thursday, September 23, 1999)]
[Notices]
[Pages 51557-51561]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-24759]
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DEPARTMENT OF JUSTICE
[AAG/A Order No. 175-99]
Privacy Act of 1974; System of Records
Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a) and Office of
Management and Budget Circular No. A-130, the Executive Office for
United States Trustees (EOUST), U.S. Department of Justice, has
reviewed its Privacy Act systems of records and identified changes that
will clarify, update, and more accurately describe their systems of
records.
As a result, the EOUST is reporting modifications to systems of
records: JUSTICE/UST-001 Bankruptcy Case Files and Associated Records;
JUSTICE/UST-002 Panel Trustee Application File; and JUSTICE/UST-004
United States Trustee Program Case Referral System.
The EOUST updated JUSTICE/UST-001 Bankruptcy Case Files and
Associated Records to reflect a new systems manager, the inclusion of
chapter 12 (family farmer) bankruptcy cases, a new routine use
disclosure to civil or criminal law enforcement authorities, a new
routine use disclosure to licensing agencies, and new records
disposition information.
The EOUST updated JUSTICE/UST-002 Panel Trustee Application File to
reflect a new systems manager, the inclusion of chapter 12 (family
farmer) bankruptcy cases, a new routine use disclosure to courts, a new
routine use disclosure to licensing agencies, and new records
disposition information. The EOUST has also changed the name of
JUSTICE/UST-002 Panel Trustee Application File to ``Trustee File''
because the system contains additional records used to determine the
trustee's suitability for the initial appointment, reappointment, and
removal.
The EOUST updated JUSTICE/UST-004 United States Trustee Program
Case Referral System to reflect new systems managers, the inclusion of
chapter 12 (family farmer) bankruptcy cases, a new routine use
disclosure to licensing agencies, and new records disposition
information.
Any comments may be addressed to Mary Cahill, Management and
Planning Staff, Justice Management Division, Department of Justice,
Washington, DC 20530 (Suite 1400, National Place Building).
Dated: September 8, 1999.
Stephen R. Colgate,
Assistant Attorney General for Administration.
JUSTICE/UST-001
SYSTEM NAME:
Bankruptcy Case Files and Associated Records.
SYSTEM LOCATION;
The Executive Office for United States Trustees (EOUST) and various
offices of the United States Trustees depending upon the judicial
district where a case is pending or was administered. (Field offices
can be located on the Internet at http://www.usdoj.gov/ust.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals involved in bankruptcy proceedings (under Chapters 7,
11, 12 and 13 of 11 U.S.C.) subsequent to September 30, 1979, including
but not limited to debtors, creditors, bankruptcy trustees, agents
representing debtors, creditors, and trustees.
CATEGORIES OF RECORDS IN THE SYSTEM:
(a) Petitions/orders for relief, (b)schedules of assets and
liabilities of debtors, (c) lists of creditors, (d) statements of
debtors' financial affairs, (e) operating or status reports, (f)
alphabetical cross-reference index cards, (g) general correspondence
regarding cases, (h) miscellaneous investigative records, (i) copies of
certain pleadings or other papers filed with the court, including those
filed by the United States Trustee, (j) appraisal reports, (k) names of
bank depositories and amounts of funds deposited therein, (1) names of
sureties and amounts of trustees' bonds, (m) tape or other recordings
of creditors meetings called pursuant to Section 341 of Title 11,
U.S.C., for the purpose of examination of debtors by creditors, trustee
and others, (n) plans filed under Chapter 11, 12 or 13, (o) names of
persons serving as counsel, trustee, or other functionaries in
bankruptcy cases, including compensation earned or sought by each.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
These systems are established and maintained pursuant to 28 U.S.C.
586 and Title 11 U.S.C.
PURPOSE(S):
The records are used by personnel of the Executive Office and the
United States Trustee field offices to determine the existence of a
case, to ascertain the status of actions with respect to a case, and to
ensure that timely action is taken
[[Page 51558]]
as appropriate, and to determine the involvement by agents or other
representatives of parties in such cases.
As provided in 11 U.S.C. 107, a paper filed in a case and the
dockets of the bankruptcy court are public records and open to
examination except when the court acts to protect an entity with
respect to a trade secret or confidential research, development, or
commercial information; or to protect a person with respect to
scandalous or defamatory matter contained in a paper filed in a case
under Title 11. If the court enters such a protective order, that
portion of the record is only available upon the consent of the entity,
so protected.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Release of Information to Courts:
These records may be disclosed, except when the bankruptcy court
has moved to protect an entity as provided in 11 U.S.C. 107, in a
proceeding before a court or adjudicative body or any proceeding
relevant to the administration of a case filed under Title 11 in which
the U.S. Trustee is authorized to appear when (a) the U.S. Trustee, or
(b) any employee of the U.S. Trustee in his or her official capacity,
or (c) any employee of the U.S. Trustee in his or her individual
capacity, where the Department of Justice has agreed to represent the
employee, or (d) the United States, or any agency or subdivision
thereof, is a party to litigation or has an interest in litigation and
such records are determined by the U.S. Trustee to be arguably relevant
to the litigation.
Release of Information to the News Media:
Information permitted to be released to the news media and the
public pursuant to 28 CFR 50.2 may be made available from systems of
records maintained by the Department of Justice unless it is determined
that release of the specific information in the context of a particular
case would constitute an unwarranted invasion of personal privacy.
Release of Information to Members of Congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552 et seq., may be made available to a Member of Congress
or staff acting upon the Member's behalf when the member or staff
requests the information on behalf of and at the request of the
individual who is the subject of the record.
Release of Information to the National Archives and Records
Administration (NARA) and the General Services Administration (GSA):
A record from the system of records may be disclosed to the NARA
and GSA for records management inspections conducted under the
authority of 44 U.S.C. Secs. 2904 and 2906.
Release of Information to Law Enforcement or Regulatory Agencies:
Information obtained by the U.S. Trustees may be disclosed to any
civil or criminal law enforcement authority, whether Federal, State,
local, or foreign, when it is relevant to a civil or criminal
investigation.
Release of Information to Federal, State, and Local Licensing
Agencies:
Information obtained by the U.S. Trustees may be disclosed to
Federal, State, and local licensing agencies or associations when it
concerns the eligibility or suitability of an individual for a license
or permit.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
All information, except that specified below in this paragraph is
recorded on basic paper/cardboard material and maintained within metal
file boxes, file cabinets, electric file/card retrievers or safes.
Certain information from the documents, forms, lists and reports
described under ``categories of records in the system'' will be entered
into an automated information system and stored on magnetic disks for
reproduction in report form at various times. This includes the case
number, debtor's names, case status, type of case, assets of estate,
dates of reports filed, trustee bonds, debtor's attorney's name and
fees, calendar of meetings and hearings, creditor's committee status,
plan and schedule due dates, and trustee/examiner names and dates
appointed.
RETRIEVABILITY:
In field offices bankruptcy case files are retrieved by bankruptcy
court case numbers, cross-referenced alphabetically by names of
debtors. Files pertaining to case trustees, sureties, depository banks
and to agents representing parties are maintained and retrieved
alphabetically. Files maintained in the Executive Office are maintained
and retrieved alphabetically by name of the debtor, or the particular
person involved. Automated information is retrieved by a variety of key
words, including names of individuals.
SAFEGUARDS:
Information contained in the system is unclassified. It is
safeguarded and protected in accordance with Departmental rules and
procedures governing the handling of office records and computerized
information. During duty hours access to this system is monitored and
controlled by U.S.-Trustee office personnel. During nonduty hours
offices are locked.
RETENTION AND DISPOSAL:
Chapter 7 no-asset files may be destroyed six months after the case
is closed. Section 341 meeting tapes may be destroyed two years after
the date of the 341 meeting. Chapter 7 asset files may be destroyed
three years after the case is closed. Chapter 11 files may be destroyed
three years after the case is dismissed or closed. Chapter 12 and
chapter 13 cases may be destroyed six months after the case is
dismissed or closed. 180 Day Semi-Annual Reports may be destroyed after
five years. To prevent unauthorized disclosure, records are destroyed
by shredding or burning.
SYSTEM MANAGER(S) AND ADDRESS:
System manager for the system in each office is the U.S. Trustee
and in the Executive Office, the General Counsel. (Field offices can be
located on the Internet at http://www.usdoj.gov/ust.)
NOTIFICATION PROCEDURE:
Address inquiries to the System Manager for the judicial district
in which the case is pending, or was administered. (Field offices can
be located on the Internet at http://ww.usdoj.gov/ust.)
RECORD ACCESS PROCEDURE:
A request for access to a record from this system shall be made in
person at the U.S. Trustee office in which the case is filed.
CONTESTING RECORD PROCEDURES:
Indiviudals desiring to contest or amend information maintained in
the system should direct their request to the System Manager (Field
offices can be located on the Internet at http://www.usdoj.gov/ust.)
stating clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information.
RECORD SOURCE CATEGORIES:
Sources of information contained in this record are generally
limited to debtors, creditors, trustees, examiners, attorneys, and
other agents participating in the administration of a case, judges
[[Page 51559]]
of the bankruptcy courts and employees of the U.S. Trustee offices.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
JUSTICE/UST-002
SYSTEM NAME:
Trustee Files.
SYSTEM LOCATION:
The Executive Office for United States Trustees (EOUST) and various
offices of the United States Trustees depending upon the judicial
district where the trustee serves or has made application to serve.
(Field offices can be located on the Internet at http://www.usdoj.gov/
ust.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All trustees and applicants to serve as trustees in bankruptcy
cases filed under Chapter 7, 11, 12, and 13 of title 11, U.S.C.
CATEGORIES OF RECORDS IN THE SYSTEM:
Trustee Files (UST-002), may include resumes, applications, letters
of recommendation, notes, correspondence, audits, reviews, evaluations,
financial records, transcripts, security clearance information and
other information provided by trustees, applicants, and third parties
or developed by the U.S. Trustee.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The systems are established and maintained pursuant to 28 U.S.C.
586 and Title 11, U.S.C.
PURPOSE(S):
These records are used by the U.S. Trustee offices for determining
and reassessing the qualifications and eligibility of persons serving
or applying to serve as trustees in bankruptcy cases. The records are
also reviewed and maintained by the Executive Office for U.S. Trustees.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Release of Information to Courts:
These records may be disclosed, except when the bankruptcy court
has moved to protect an entity as provided in 11 U.S.C. 107, in a
proceeding before a court or adjudicative body or any proceeding
relevant to the administration of a case filed under Title 11 in which
the U.S. Trustee is authorized to appear when (a) the U.S. Trustee, or
(b) any employee of the U.S. Trustee in his or her official capacity,
or (c) any employee of the U.S. Trustee in his or her individual
capacity, where the Department of Justice has agreed to represent the
employee, or (d) the United States, or any agency or subdivision
thereof, is a party to litigation or has an interest in litigation and
such records are determined by the U.S. Trustee to be arguably relevant
to the litigation.
Release of Information to Members of Congress:
Information contained in systems of records maintained by the
Department of Justice, not otherwise required to be released pursuant
to 5 U.S.C. 552, may be made available to a Member of Congress or staff
acting upon the Member's behalf when the Member or staff requests the
information on behalf of and at the request of the individual who is
the subject of the record.
Release of Information to the National Archives and Records
Administration (NARA) and the General Services Administration (GSA):
A record from the system of records may be disclosed to the NARA
and GSA for records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Release of Information to Law Enforcement or Regulatory Agencies:
Information obtained by the U.S. Trustees may be disclosed to any
civil or criminal law enforcement authorities, whether Federal, State,
local, or foreign, which require information relevant to a civil or
criminal investigation.
Release of Information To Federal State, and Local Licensing
Agencies:
Information obtained by the U.S. Trustees may be disclosed to
Federal, State, and local licensing agencies or associations which
require information concerning the eligibility or suitability of an
individual for a license or permit.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are filed in paper folders in metal filing cabinets
and stored on computer disks.
RETRIEVABILITY:
In the field offices, folders are filed alphabetically by the
trustee's or applicant's name. In the Executive Office, duplicate
records are maintained alphabetically, organized by region. Automated
information is retrieved by a variety of key words, including names of
individuals.
SAFEGUARDS:
Information contained in the system is unclassified. It is
safeguarded and protected in accordance with Departmental rules and
procedures governing the handling of official records. During duty
hours access to this system is monitored and controlled by U.S. Trustee
and Executive Office personnel. During nonduty hours offices are
locked.
RETENTION AND DISPOSAL:
Trustee files may be destroyed after ten years except in the
following circumstances. If the trustee dies, the files may be
destroyed after one year. If the trustee resigns the appointment, the
files may be destroyed seven years after all cases administered by that
trustee are closed. To prevent unauthorized disclosure, records are
destroyed by shredding or burning.
SYSTEM MANAGER(S) AND ADDRESS:
System Manager for the System in each office, is the U.S. Trustee
and in the Executive Office, the Assistant Director, Office of Review
and Oversight. (Field offices can be located on the Internet at http://
www.usdoj.gov/ust.)
NOTIFICATION PROCEDURE:
Address inquiries to the System Manager.
RECORD ACCESS PROCEDURE:
A request for access to a record from this system shall be made in
writing with the envelope and letter clearly marked ``Privacy Access
Request''.
CONTESTING RECORD PROCEDURES:
Individuals desiring to contest or amend information maintained in
the system should direct their request to the System Manager stating
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment(s) to the information.
RECORD SOURCE CATEGORIES:
Information contained in the system is provided by the applicant,
the applicant's references, and interested third parties.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
JUSTICE/UST-004
SYSTEM NAME:
United States Trustee Program Case Referral System, JUSTICE/UST-
004.
SYSTEM LOCATION:
Executive Office for United States Trustees (EOUST), United States
Department of Justice, Room 780, 901 E St. NW., Washington, DC 20530.
[[Page 51560]]
Records may also be located in the various field offices. (Field
offices can be located on the Internet at http://www.usdoj.gov/ust.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system encompasses entities and individuals involved in the
bankruptcy process who are suspected of having engaged in criminal
conduct or of having violated other Federal laws, and whose activities
have been reported by the U.S. Trustees or EOUST to a U.S. Attorney
pursuant to 28 U.S.C. 586 and 18 U.S.C. 3057, or to other law
enforcement authorities for investigation.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records consist of any information about a case filed under Title
11 of the U.S. Code which is the subject of, or is associated with, a
referral to law enforcement authorities. Records will consist of any
information pertaining to the subject of the referral who may be the
debtor himself, or any other individual associated with the bankruptcy
case who is suspected of having engaged in criminal conduct or having
violated other Federal laws. The information may include the subject's
name, address, date of birth, or social security number; a
chronological account of the incident(s); the source of the
information; names and addresses of witnesses; the law enforcement
agency to whom the referral is made; and the status or final
disposition of the referral. The system may also contain information
about the bankruptcy case with which the subject of the referral is
associated. Such information may include the debtor's name, address,
social security number; case number and case chapter; the trustee's
name, address and phone number; the judge assigned to the case; and
such other case data as may be filed in the records of the court or of
the U.S. Trustee.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
28 U.S.C. 586, 18 U.S.C. 3057.
PURPOSE(S):
The purposes of this system are to assist the U.S. Trustees: (1) In
supervising the administration of cases and trustees in cases filed
under Chapters 7, 11, 12 and 13 of Title 11, U.S. Code, as codified by
title I of the Bankruptcy Reform Act of 1978 (11 U.S.C. 101, et seq.);
(2) in carrying out their congressional mandate ``to serve as
bankruptcy watch-dogs to prevent fraud, dishonesty, and overreaching in
the bankruptcy arena'' (H.R. Rep. No. 595, 95th Cong., 2d Sess. 88
(1978)); and (3) in complying with 18 U.S.C. 3057 which directs
trustees to report for investigation any instance where there are
reasonable grounds for believing that there has been a violation of
Federal laws relating to insolvent debtors or reorganization plans. The
U.S. Trustees and EOUST will inform the appropriate law enforcement
authorities when fraud or other violations of Federal law are suspected
or discovered in a bankruptcy case and will maintain records thereof
described under ``Categories of Records in the System.'' The data will
be used for program-wide evaluation purposes, for statistical purposes,
and to track the number, type, and outcome of cases referred for
investigation.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
These records may be disclosed to the news media and the public
pursuant to 28 CFR 50.2 unless it is determined that release of the
specific information in the context of a particular case would
constitute an unwarranted invasion of privacy or would impede an
ongoing law enforcement procedding.
These records may be disclosed to a Member of Congress or staff
acting on the Member's behalf when the Member or staff requests the
information on behalf of, and at the request of, the individual to whom
the records pertain.
These records may be disclosed to members of the judicial branch of
the Federal Government where disclosure appears relevant to the
authorized function of the recipient judicial office or court system.
These records may be disclosed to any Federal, State, and local
licensing agencies or associations when it concerns the eligibility or
suitability of an individual for a license or permit.
These records may be disclosed to any civil or criminal law
enforcement authorities, whether Federal, State, local or foreign, for
investigation of suspected violations of Federal or State laws. Records
may also be disclosed to these law enforcement authorities to assist in
ongoing investigations.
These records may be disclosed to the National Archives and Records
Administration (NARA) and the General Services Administration (GSA) in
records management inspections conducted under the authority of Title
44 of the U.S. Code.
These records may be disclosed to a trustee in a case filed under
Chapter 7, 11, 12 or 13 of Title, 11, U.S. Code, when the U.S. Trustee
determines that the release of information is necessary to enable the
trustee to properly administer the case and to perform the duties and
responsibilities of a case trustee set forth in Title 11 and in 18
U.S.C. 3057.
These records may be disclosed, except when the bankructy court has
moved to protect an entity as provided in 11 U.S.C. 107, in a
proceeding before a court or adjudicative body or any proceeding
relevant to the administration of a case filed under Title 11 in which
the U.S. Trustee is authorized to appear when (a) the U.S. Trustee, or
(b) any employee of the U.S. Trustee in his or her official capacity,
or (c) any employee of the U.S. Trustee in his or her individual
capacity, where the Department of Justice has agreed to represent the
employee, or (d) the United States, or any agency or subdivision
thereof, is a party to litigation or has an interest in litigation and
such records are determined by the U.S. Trustee to be arguably relevant
to the litigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
All records are stored in paper folders in cabinets. All records
are also stored on computer disks.
RETRIEVABILITY:
Computerized records will be retrievable by using any one or
various combinations of the assigned case referral number, the judicial
district or U.S. Trustee's field office from which the referral is
generated, the date of the referral, the doctor's name, the case
chapter, the name, social security or employer identification number
and date of birth of the individual who is the subject of the referral,
the subject's relationship to the debtor, the general nature of the
charges and/or the status of the referral. Records stored in paper
folders will be filed chronologically by the case referral number.
SAFEGUARDS:
Paper folders are stored in a file cabinet which is located inside
a room with a bolt lock. The computer disks are located in the same
room. Only those persons with a need to know have access to the
records.
RETENTION AND DISPOSAL:
Criminal referral files may be destroyed by shredding or burning
five years from the date of the finding of insufficient evidence,
declination of prosecution, or the voting of a No True Bill by a Grand
Jury.
SYSTEM MANAGER(S) AND ADDRESS:
General Counsel, Executive Office for United States Trustees,
United States
[[Page 51561]]
Department of Justice, Room 780, 901 E Street NW., Washington, DC
20530.
NOTIFICATION PROCEDURE:
Address all inquiries to the system manager.
RECORDS ACCESS PROCEDURE:
Make all requests for access to records from this system in writing
to the system manager and clearly mark both the letter and the envelope
``Privacy Act Request.'' Provide the full name and notarized signature
of the individual who is the subject of the request, and a return
address.
CONTESTING RECORD PROCEDURES:
Make all requests to correct a record in writing to the system
manager. The request must identify the particular record in question,
state the correction sought and set forth the justification for
correcting or contesting it. These procedures are in accordance with
Department regulations (28 CFR 16.46 Requests For Amendment or
Correction of Records) Federal Register, June 1, 1998, Volume 63, page
29603.
RECORD SOURCE CATEGORIES:
The records will contain information obtained by or furnished to
the U.S. Trustee or EQUST (1) from Federal or State court records; (2)
from debtors or debtors' principals, agents or representatives; and (3)
from informants and interested third parties.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The Attorney General has exempted this system from subsections
(c)(3) and (4); (d); (e)(1), (2) and (3), (e)(4)(G) and (H), (e)(5) and
(8); (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2)
and (k)(2). Rules have been promulgated in accordance with the
requirements of 5 U.S.C. 553(b), (c) and (e) and have been published in
the Federal Register.
[FR Doc. 99-24759 Filed 9-22-99; 8:45 am]
BILLING CODE 4410-CJ-M
