[Federal Register Volume 73, Number 206 (Thursday, October 23, 2008)]
[Notices]
[Pages 63175-63179]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-25002]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2008-0021]


Privacy Act of 1974; Department of Homeland Security General 
Legal Records System of Records

AGENCY: Privacy Office; DHS.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974 and as part of the 
Department of Homeland Security's ongoing effort to review and update 
legacy system of record notices, the Department of Homeland Security 
proposes to consolidate seven legacy record systems: Treasury/CS.022 
Attorney Case File, Treasury/CS.042 Case and Complaint File, Treasury/
CS.043 Case Files (Associate Chief Counsel Gulf Customs Management 
Center), Treasury/CS.061 Court Case File, Treasury/CS.133 Justice 
Department Case File, Treasury/CS.138 Litigation Issue Files, and 
Justice/INS-022 The Immigration and Naturalization Service Attorney/
Representative Complaint/Petition Files. The Department of Homeland 
Security also proposes to partially consolidate Treasury/USSS.002 Chief 
Counsel Record System into this system. This system will assist 
attorneys in providing legal advice to the Department of

[[Page 63176]]

Homeland Security on a wide variety of legal issues. Categories of 
individuals, categories of records, and the routine uses of these 
legacy system of records notices have been reviewed and updated to 
better reflect the Department's general legal records systems of 
records. Additionally, DHS is issuing a Notice of Proposed Rulemaking 
(NPRM) concurrent with this SORN elsewhere in the Federal Register. The 
exemptions for the legacy system of records notices will continue to be 
applicable until the final rule for this SORN has been completed. This 
consolidated system, titled General Legal Files, will be included in 
the Department's inventory of record systems.

DATES: Submit comments on or before November 24, 2008. The new system 
of records will be effective November 24, 2008.

ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0021 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 1-866-466-5370.
     Mail: Hugo Teufel III, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
     Instructions: All submissions received must include the 
agency name and docket number for this rulemaking. All comments 
received will be posted without change to http://www.regulations.gov, 
including any personal information provided.
     Docket: For access to the docket to read background 
documents or comments received go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions and privacy 
issues please contact: Hugo Teufel III (703-235-0780), Chief Privacy 
Officer, Privacy Office, Department of Homeland Security, Washington, 
DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

    Pursuant to the savings clause in the Homeland Security Act of 
2002, Public Law 107-296, Section 1512, 116 Stat. 2310 (November 25, 
2002), the Department of Homeland Security (DHS) and its components and 
offices have relied on preexisting Privacy Act systems of records 
notices for the collection and maintenance of records that concern 
general legal records.
    As part of its efforts to streamline and consolidate its Privacy 
Act records systems, DHS is establishing a new agency-wide system of 
records under the Privacy Act (5 U.S.C. 552a) for DHS general legal 
records. This will ensure that all components of DHS follow the same 
privacy rules for collecting and handling general legal records.
    In accordance with the Privacy Act of 1974 and as part of DHS's 
ongoing effort to review and update legacy system of record notices, 
DHS proposes to consolidate seven legacy record systems: Treasury/
CS.022 Attorney Case File (66 FR 52984 October 18, 2001), Treasury/
CS.042 Case and Complaint File (66 FR 52984 October 18, 2001), 
Treasury/CS.043 Case Files (Associate Chief Counsel Gulf Customs 
Management Center) (66 FR 52984 October 18, 2001), Treasury/CS.061 
Court Case File (66 FR 52984 October 18, 2001), Treasury/CS.133 Justice 
Department Case File (66 FR 52984 October 18, 2001), Treasury/CS.138 
Litigation Issue Files (66 FR 52984 October 18, 2001), and Justice/INS-
022 The Immigration and Naturalization Service Attorney/Representative 
Complaint /Petition Files (64 FR 70288 December 16, 1999). DHS also 
proposes to partially consolidate Treasury/USSS.002 Chief Counsel 
Record System (66 FR 45362 August 28, 2001) into this system. This 
system will assist attorneys in providing legal advice to DHS on a wide 
variety of legal issues. Categories of individuals, categories of 
records, and the routine uses of these legacy system of records notices 
have been reviewed and updated to better reflect DHS's general legal 
record systems. Additionally, DHS is issuing a Notice of Proposed 
Rulemaking (NPRM) concurrent with this SORN elsewhere in the Federal 
Register. The exemptions for the legacy system of records notices will 
continue to be applicable until the final rule for this SORN has been 
completed.

II. Privacy Act

    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the United States Government 
collects, maintains, uses, and disseminates individuals' records. The 
Privacy Act applies to information that is maintained in a ``system of 
records.'' A ``system of records'' is a group of any records under the 
control of an agency for which information is retrieved by the name of 
an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass United States citizens and legal 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals where systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors. Individuals may request access to their own records that are 
maintained in a system of records in the possession or under the 
control of DHS by complying with DHS Privacy Act regulations, 6 CFR 
part 5.
    The Privacy Act requires that each agency publish in the Federal 
Register a description denoting the type and character of each system 
of records in order to make agency recordkeeping practices transparent, 
to notify individuals about the use of their records, and to assist the 
individual to more easily find files within the agency. Below is a 
description of the General Legal Records System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this revised system of records to the Office of Management and Budget 
and to the Congress.
System of Records:
    DHS/ALL-017.

System name:
    Department of Homeland Security General Legal Records.

Security classification:
    Unclassified.

System location:
    Records are maintained at several Headquarters locations and in 
component offices of DHS, in both Washington, DC, and field locations.

Categories of individuals covered by the system:
    Categories of individuals covered by this system include DHS 
employees and former employees, other Federal agency employees and 
former employees, members of the public, individuals involved in 
litigation with DHS or involving DHS, individuals who either file 
administrative complaints with DHS or are the subjects of 
administrative complaints initiated by DHS, individuals who are named 
parties in cases in which DHS believes it will or may become involved, 
matters within the jurisdiction of the Department either as plaintiffs 
or as defendants in both civil and criminal matters, witnesses, and to 
the extent not covered by any other system, tort and property claimants 
who have filed claims against the Government and individuals who are 
subject of an action requiring approval or action by a DHS official, 
such as appeals, actions, training, awards, foreign travel, promotions, 
selections, grievances and delegations,

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OGC attorneys to whom cases are assigned, and attorneys and authorized 
representatives for whom DHS has received complaints regarding their 
practices before DHS and/or the Executive Office for Immigration Review 
(EOIR).

Categories of records in the system:
    Categories of records in this system include:
     Names of individuals involved in each legal case;
     Names of witnesses;
     Records relating to litigation by or against the U.S. 
Government (or litigation in which the U.S. Government is not a party, 
but has an interest) resulting from questions concerning DHS cases and 
legal actions that the Department either is involved in or in which it 
believes it will or may become involved;
     Claims by or against the Government, other than litigation 
cases, arising from a transaction with DHS, and documents related 
thereto, including demographic information, vouchers, witness 
statements, legal decisions, and related material pertaining to such 
claims;
     Investigation reports;
     Legal authority;
     Legal opinions and memoranda;
     Criminal actions;
     Criminal conviction records;
     Claims and records regarding discrimination, including 
employment and sex discrimination;
     Claims and records regarding the Rehabilitation Act;
     Claims against non-DHS attorneys and/or representatives 
who engage in unethical activities or exhibit unprofessional behavior;
     Copies of petitions filed with DHS;
     Personnel matters;
     Contracts;
     Foreclosures;
     Actions against DHS officials;
     Titles to real property;
     Records relating to requests for DHS records other than 
requests under the Freedom of Information Act and the Privacy Act of 
1974;
     Testimonies of DHS employees in Federal, State, local, or 
administrative criminal or civil litigation;
     Documentary evidence;
     Supporting documents including the legal and programmatic 
issues of the case, correspondence, legal opinions and memoranda and 
related records;
     State Bar grievance/discipline proceedings records;
     Security Clearance Information;
     Records concerning requests for information regarding the 
use of reproductions of obligations of the United States, including 
bonds, checks, coins, coupons, currencies (U.S. and foreign), 
fractional notes, postage stamps (U.S. and foreign), postal money 
orders, and postmarks;
     Any type of legal document, including but not limited to 
complaints, summaries, affidavits, litigation reports, motions, 
subpoenas, and any other court filing or administrative filing or 
evidence;
     Employee and former employee ethics question forms and 
responses;
     Court transcripts.

Authority for maintenance of the system:
    5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; The Homeland 
Security Act of 2002, Public Law 107-296.

Purpose(s):
    The purpose of this system is to assist DHS attorneys in providing 
legal advice to DHS management on a wide variety of legal issues; to 
collect the information of any individual who is, or will be, in 
litigation with the Department, as well as the attorneys representing 
the plaintiff(s) and defendant(s) response to claims by employees, 
former employees, and other individuals; to assist in the settlement of 
claims against the government; to represent DHS during litigation, and 
to maintain internal statistics.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice (including United States Attorney 
Offices), other Federal agency conducting litigation, in proceedings 
before any court, adjudicative or administrative body, or other federal 
executive office with an interest in the litigation when it is 
necessary to the litigation and one of the following is a party to the 
litigation or has an interest in such litigation:
    1. DHS or any component thereof;
    2. any employee of DHS in his/her official capacity;
    3. any employee of DHS in his/her individual capacity where the 
Department of Justice or DHS has agreed to represent the employee; or
    4. the United States or any agency thereof, is a party to the 
litigation or has an interest in such litigation, and DHS determines 
that the records are both relevant and necessary to the litigation and 
the use of such records is compatible with the purpose for which DHS 
collected the records.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration or other 
Federal government agencies pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    D. To an agency, organization, or individual for the purpose of 
performing audit or oversight operations as authorized by law, but only 
such information as is necessary and relevant to such audit or 
oversight function.
    E. To appropriate agencies, entities, and persons when:
    1. DHS suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    2. The Department 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 DHS or another agency or entity) or harm to the 
individual who relies upon the compromised information; and
    3. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with DHS's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    F. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to DHS officers and employees.
    G. To an appropriate Federal, State, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, where a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which

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includes criminal, civil, or regulatory violations and such disclosure 
is proper and consistent with the official duties of the person making 
the disclosure.
    H. To a court, magistrate, or administrative tribunal in the course 
of presenting evidence, including disclosures to opposing counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal law proceedings or in 
response to a subpoena from a court of competent jurisdiction.
    I. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation, provided disclosure is appropriate to the proper 
performance of the official duties of the officer making the 
disclosure.
    J. To a Federal, State, local, tribal, foreign, or international 
agency, where such agency has requested information relevant or 
necessary for the hiring or retention of an individual, or the issuance 
of a security clearance, license, contract, grant, or other benefit.
    K. To international and foreign governmental entities in accordance 
with law and formal or informal international agreement.
    L. To State Bar Grievance Committees and local Attorney General 
offices for disbarment or disciplinary proceedings.
    M. To unions recognized as exclusive bargaining representatives 
under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, the 
Merit Systems Protection Board, arbitrators, the Federal Labor 
Relations Authority, and other parties responsible for the 
administration of the Federal labor-management program for the purpose 
of processing any corrective actions, or grievances, or conducting 
administrative hearings or appeals, or if needed in the performance of 
other authorized duties.
    N. To the news media and the public, with the approval of the Chief 
Privacy Officer in consultation with counsel, when there exists a 
legitimate public interest in the disclosure of the information or when 
disclosure is necessary to preserve confidence in the integrity of DHS 
or is necessary to demonstrate the accountability of DHS's officers, 
employees, or individuals covered by the system, except to the extent 
it is determined that release of the specific information in the 
context of a particular case would constitute an unwarranted invasion 
of personal privacy.

Disclosure to consumer reporting agencies:
    Privacy Act information may be reported to consumer reporting 
agencies pursuant to 5 U.S.C. 552a(b)(12) collecting on behalf of the 
United States Government.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records in this system are stored electronically or on paper in 
secure facilities behind a locked door. The electronic records are 
stored on magnetic disc, tape, digital media, CD-ROM, and computer.

Retrievability:
    Data may be retrieved by individual's name.

Safeguards:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. Strict controls have been imposed 
to minimize the risk of compromising the information that is being 
stored. Access to the computer system containing the records in this 
system is limited to those individuals who have a need to know the 
information for the performance of their official duties and who have 
appropriate clearances or permissions.

Retention and disposal:
    Records are kept for 10 years, in accordance with National Archives 
and Records Administration General Records Schedule [schedule in 
process.]

System Manager and address:
    For Headquarters of DHS, the System Manager is the Director of 
Departmental Disclosure, Department of Homeland Security, Washington, 
DC 20528. For components of DHS, the System Manager can be found at 
http://www.dhs.gov/foia under ``contacts.''

Notification procedure:
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to the Headquarters' or component's 
FOIA Officer, whose contact information can be found at http://www.dhs.gov/foia under ``contacts.'' If an individual believes more 
than one component maintains Privacy Act records concerning him or her 
the individual may submit the request to the Chief Privacy Officer, 
Department of Homeland Security, 245 Murray Drive, SW., Building 410, 
STOP-0550, Washington, DC 20528.
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 6 CFR part 5. You must first 
verify your identity, meaning that you must provide your full name, 
current address and date and place of birth. You must sign your 
request, and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Director, 
Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition 
you should provide the following:
     An explanation of why you believe the Department would 
have information on you,
     Identify which component(s) of the Department you believe 
may have the information about you,
     Specify when you believe the records would have been 
created,
     Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records,
     If your request is seeking records pertaining to another 
living individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information the component(s) may not be able 
to conduct an effective search, and your request may be denied due to 
lack of specificity or lack of compliance with applicable regulations.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record Source Categories:
    Information originates with DHS and its components, court 
subpoenas, law enforcement agencies, other Federal, state, and local 
courts, State bar licensing agencies, State bar grievance agencies, and 
inquiries and/or complaints from witnesses or members of the general 
public.

Exemptions claimed for the system:
    The Secretary of Homeland Security has exempted this system from 
subsections (c)(3) and (4); (d); (e)(1), (2), (3), (5), and (8); and 
(g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In additional, 
the Secretary of Homeland

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Security has exempted this system from subsections (c)(3), (d), (e)(1), 
(e)(4)(G), (H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 
552a(k)(1), (2), (3), and (5).

    Dated: October 14, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E8-25002 Filed 10-22-08; 8:45 am]
BILLING CODE 4410-10-P