[Federal Register Volume 78, Number 33 (Tuesday, February 19, 2013)]
[Notices]
[Pages 11648-11650]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-03743]


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GENERAL SERVICES ADMINISTRATION

[Notice-CIB-2012-04; Docket No: 2012-0002; Sequence 27]


Privacy Act of 1974; Notice of New System of Records

AGENCY: General Services Administration.

ACTION: New notice.

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SUMMARY: The General Services Administration (GSA) proposes to 
establish a new system of records subject to the Privacy Act of 1974, 
as amended, 5 U.S.C. 552a.

DATES: Effective March 21, 2013.

FOR FURTHER INFORMATION CONTACT: Call or email the GSA Privacy Act 
Officer: telephone 202-208-1317; email [email protected].

ADDRESSES: GSA Privacy Act Officer (CIB), General Services 
Administration, 1275 First Street NE., Washington, DC 20417.

SUPPLEMENTARY INFORMATION: GSA proposes to establish a new system of 
records subject to the Privacy Act of 1974, 5 U.S.C. 552a. The new 
system, System for Award Management (SAM), combines several 
Governmentwide systems into one. SAM contains records that capture 
information users voluntarily provide about their entity as part of the 
process to register to do business with the Federal Government. SAM 
also contains exclusion records that Federal Government agencies enter 
to suspend or debar entities.

    Dated: February 13, 2013.
James Atwater,
Acting Director, Office of Information Management.
GSA/GOVT-9

System Name:
    System for Award Management (SAM).

System location:
    The General Services Administration (GSA) Federal Acquisition 
Service (FAS) is the owner of the system. The system is hosted, 
operated, and maintained by contractors. Records are maintained in an 
electronic form on servers housed at the contractors' facilities within 
the United States. Contact the system manager for additional 
information.

Categories of individuals covered by the system:
    SAM currently has two functional areas which cover individuals. In 
the Entity Management functional area, SAM covers individuals who are 
sole proprietors and register to do business with the Government as 
sole proprietors. For purposes of this system of records notice, 
individuals with records in the Entity Management functional area will 
be referred to as ``entity'' or ``entities''. In the exclusion portion 
of the Performance Information functional area, SAM covers individuals 
who are excluded or disqualified under certain circumstances, including 
but not limited to the following: A Federal agency's action under the 
Common Rules on Non-procurement suspension and debarment, or otherwise 
declared ineligible from receiving certain Federal assistance and/or 
benefits; individuals debarred, suspended, proposed for debarment, or 
otherwise declared ineligible from participating in Federal procurement 
programs; individuals barred or suspended from acting as sureties for 
bid and performance bond activity in procurement programs; individuals 
barred from entering the United States; and individuals that may be 
subject to sanctions pursuant to 31 CFR Parts 500-599 and subparts 
thereunder.

Categories of records in the system:
    Since SAM combined several Governmentwide systems, it has multiple 
functional areas. In the Entity Management functional area, SAM 
contains records that capture information users voluntarily provide 
about their entity as part of the process to register to do business 
with the Federal Government, including the entity legal business name, 
entity email address, entity telephone number, entity Taxpayer 
Identification Number (TIN), and entity address. In the case of a sole 
proprietor, tax laws allow them to use their Social Security Number 
(SSN) as their TIN if they do not have a separate Employer 
Identification Number (EIN). The TIN (whether it be an EIN or an SSN) 
is not publicly available data. In the exclusion portion of the 
Performance Information functional area, SAM contains records entered 
by Federal agency suspension and debarment officials, some of which may 
be records on individuals. Exclusion records on individuals contain 
certain information that will never be displayed publicly, e.g. street 
address information, as well as the SSN or TIN. Agencies disclose the 
SSN of an individual to verify the identity of an individual, only if 
permitted under the Privacy Act of 1974 and, if appropriate, the 
Computer Matching and Privacy Protection Act of 1988, as codified in 5 
U.S.C. 552(a).

Authority for maintenance of the system:
    For the Entity Management functional area of SAM, the authorities 
for collecting the information and maintaining the system are the 
Federal Acquisition Regulation (FAR) Subparts 4.11 and 52.204 and 2 
CFR, Subtitle A, Chapter I, and Part 25, as well as 40 U.S.C. 121(c). 
For the exclusions portion of the Performance Information functional 
area, the authorities for

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collecting the information and maintaining the system are FAR Subparts 
9.4 and 28.2, Executive Order 12549 (February 18, 1986), Executive 
Order 12689 (August 16, 1989).

Purpose:
    GSA proposes to establish a new system of records subject to the 
Privacy Act of 1974 (as amended), 5 U.S.C. 552a. The System for Award 
Management (SAM) consolidates functions that were previously handled by 
the Central Contractor Registration (CCR) system, Excluded Parties List 
System (EPLS), and Online Representations and Certifications 
Application (ORCA). SAM provides the capability to manage information 
about entities wishing to do business with the Federal Government, and 
maintain information about those entities to ensure that entities 
seeking to do business with the Federal Government have not been 
debarred, suspended, or otherwise excluded from doing business. SAM 
maintains this Governmentwide system of records to enable Federal 
agencies to determine who is registered to do business with the Federal 
Government, and to identify individuals who have been excluded from 
participating in Federal procurement and non-procurement (financial or 
non-financial assistance and benefits programs), throughout the Federal 
Government. In some instances a record may demonstrate that an 
exclusion applies only to the agency taking the action, and therefore 
does not have Governmentwide effect. The purpose of these exclusions is 
to protect the Government from non-responsible contractors and 
individuals, ensure proper management throughout the Federal 
government, and protect the integrity of Federal activities.

Routine uses of records maintained in the system:
    System information may also be used:
    a. By contracting officers and other Federal, state, local or 
tribal government employees involved in procuring goods and services 
with federal funds or administering Federal financial assistance 
programs or benefits to determine a party's eligibility status to 
participate in Federal procurement and non-procurement programs.
    b. By a Federal, state, local, tribal, or foreign agency 
responsible for investigating, prosecuting, enforcing, or carrying out 
a statue, rule, regulation or order where records clearly indicate, or 
when seen with other records indicate, a violation of civil or criminal 
law or regulation, when the information is needed to perform a Federal 
duty or to decide the issues.
    c. By a Federal, state, local, or tribal agency, financial 
institution or a healthcare or industry provider that administers 
federal financial or non-financial assistance programs or benefits, 
when the information is needed to determine eligibility.
    d. By an expert, consultant, contractor, Federal, state, local, or 
tribal agency, or financial institution, when the information is needed 
to perform a Federal duty.
    e. By an appeal, grievance, or formal complaints examiner, an equal 
employment opportunity investigator, an arbitrator, a union 
representative, or other official engaged in investigating or settling 
a grievance, complaint, or appeal filed by an employee, when the 
information is needed to decide the issues.
    f. By a requesting Federal, state, local, or tribal agency, 
financial institution, or a healthcare or industry provider in 
connection with hiring or retaining an employee, issuing a security 
clearance, investigating an employee, clarifying a job, letting a 
contract, or issuing a license, grant, or other benefit by the 
requesting agency where the information is needed to decide on a 
Federal financial or non-financial assistance program or benefit.
    g. By a member of Congress or to a congressional staff member in 
response to a request from the person who is the subject of the record, 
when the information is needed to perform a Federal duty.
    h. By the Department of Justice when an agency, an agency employee, 
or the United States is a party to or has an interest in litigation, 
and the records are needed to pursue the litigation.
    i. By a court or judicial body when an agency, an agency employee, 
or the United States is a party to or has an interest in litigation, 
and the records are needed to pursue the litigation.
    j. By the Office of Personnel Management (OPM), the Office of 
Management and Budget (OMB), the Government Accountability Office (GAO) 
or the Interagency Suspension and Debarment Committee (ISDC) when the 
information is required for program evaluation purposes.
    k. By the National Archives and Records Administration (NARA) for 
records management purposes.
    l. By appropriate agencies, entities, and persons when (1) The 
Agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Agency has determined that as a result of the suspected or confirmed 
compromise there is a risk of harm to economic or property interests, 
identity theft or fraud, or harm to the security or integrity of this 
system or other systems or programs (whether maintained by GSA or 
another agency or entity) that rely upon the compromised information; 
and (3) the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with GSA's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    m. By the ``Do Not Pay Program'' which receives excluded parties 
information and affirmative criminal, civil, and administrative 
proceedings entries from entity registration records and displays it to 
Federal agencies for the purpose of identifying, preventing, or 
recouping improper payments to an applicant for, or recipient of, 
Federal funds, including funds disbursed by a state in a state-
administered, federally funded program. This transfer of information is 
authorized pursuant to the Improper Payments Elimination and Recovery 
Act of 2010, Executive Order 13520, and Presidential Memorandum dated 
June 18, 2010, which required agencies to review existing databases 
known collectively as the ``Do Not Pay List'' before the release of any 
Federal funds. The purpose of the ``Do Not Pay List'' is to help 
prevent, reduce and stop improper payments from being made, and to 
identify and mitigate fraud, waste and abuse.''

Storage:
    Electronic records are stored on a secure server, backed up to tape 
media, and accessed only by authorized personnel.

Retrieval:
    System records are retrievable by searching against information in 
the record, including, but not limited to, the person's or entity's 
name, DUNS number, Social Security Number (SSN) and Taxpayer 
Identification Number (TIN). Searching for registration records by TIN 
is limited to Federal Government users. Searching for exclusion records 
by SSN or TIN requires an exact name match, just like in the legacy 
EPLS system.

Retention and disposal:
    System records are retained and disposed of according to GSA 
records maintenance and disposition schedules, the requirements of the 
Recovery Board, and the National Archives and Records Administration. 
For the Entity Management functional area, SAM allows users to update 
and delete their own entity registration records. For the

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exclusions portion of the Performance Information functional area, 
electronic records of past exclusions are maintained permanently in the 
archive list for historical reference. Federal agencies reporting 
exclusion information in SAM should follow their agency's guidance and 
policies for disposition of paper records.

System manager and address:
    Integrated Award Environment Program Manager, Office of Integrated 
Award Environment, Federal Acquisition Service, U.S. General Services 
Administration, 2200 Crystal Drive, Arlington, Virginia 22202.

Safeguards:
    System records are safeguarded in accordance with the requirements 
of the Privacy Act, the Computer Security Act, and the SAM System 
Security Plan. System roles are assigned with specific permissions to 
allow or prevent accessing certain information. Technical, 
administrative, and personnel security measures are implemented to 
ensure confidentiality and integrity of the system data that is stored, 
processed, and transmitted, including password protection and other 
appropriate security measures.

Notification procedure:
    For the Entity Management functional area, individuals know that 
SAM contains a record on them because they created the record. For the 
exclusions portion of the Performance Management functional area, 
individuals receive prior notification that their names will be 
contained in SAM from the Federal agency that takes the action to 
exclude them from Federal procurement and non-procurement programs. An 
individual may retrieve exclusion records by accessing the SAM public 
portal, which displays publicly available information only. Individuals 
may also contact the system program manager to inquire about any 
records about the individual.

Record access procedures:
    Since individuals create the entity registration record in SAM and 
can delete or amend the record, there should not be any questions about 
that entry. However, individuals can contact the system manager with 
questions about the operation of the Entity Management functional area. 
Requests from individuals to determine the specifics of an exclusion 
record included in SAM should be addressed to the Federal agency POC 
identified in the exclusion record.

Contesting record procedures:
    Individuals or entities registered in SAM can edit their own 
registration record information. To contest the content of an exclusion 
record, individuals should contact the Federal agency point of contact 
identified in the exclusion record. For GSA provided exclusion records, 
procedures for contesting the content of a record and appeal procedures 
can be found at 41 CFR 105-64.

Record source categories:
    Entity records are created by the person or entity wishing to do 
business with the government. Exclusion records are created by Federal 
agency suspension and debarment personnel.

[FR Doc. 2013-03743 Filed 2-15-13; 8:45 am]
BILLING CODE 6820-34-P