Home > 1997 Privacy Act Documents > Privacy Act: [ JUSTICE/UST-999] U.S. Trustee Appendix 1--List of Record Retention Addresses:...

Privacy Act: [ JUSTICE/UST-999] U.S. Trustee Appendix 1--List of Record Retention Addresses:...


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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]





   #.DEPARTMENT OF JUSTICE


                          United States Trustees

   #..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 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.
       Pursuant to subsection (b)(3) of the Privacy Act, the Department 
   of Justice may disclose relevant and necessary information to a 
   former employee of the Department for purposes of: responding to an 
   official inquiry by a federal, state, or local government entity or 
   professional licensing authority, in accordance with applicable 
   Department regulations; or facilitating communications with a former 
   employee that may be necessary for personnel-related or other 
   official purposes where the Department requires information and/or 
   consultation assistance from the former employee regarding a matter 
   within that person's former area of responsibility.
     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 procedures:
       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 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.
       Pursuant to subsection (b)(3) of the Privacy Act, the Department 
   of Justice may disclose relevant and necessary information to a 
   former employee of the Department for purposes of: responding to an 
   official inquiry by a federal, state, or local government entity or 
   professional licensing authority, in accordance with applicable 
   Department regulations; or facilitating communications with a former 
   employee that may be necessary for personnel-related or other 
   official purposes where the Department requires information and/or 
   consultation assistance from the former employee regarding a matter 
   within that person's former area of responsibility.
     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 procedures:
       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 

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