[Federal Register Volume 76, Number 179 (Thursday, September 15, 2011)]
[Notices]
[Pages 57078-57080]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-23599]


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DEPARTMENT OF JUSTICE

[CPCLO Order No. 001-2011]


Privacy Act of 1974; System of Records

AGENCY: Office of the Pardon Attorney (OPA), Department of Justice.

ACTION: Notice of a Modification of a System of Records.

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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974 (5 
U.S.C. 552a), notice is given that the Department of Justice proposes 
to modify a system of records notice, specifically the ``Executive 
Clemency Case Files/Executive Clemency Tracking System,'' JUSTICE/OPA-
001, last published in the Federal Register on October 31, 2002 (67 FR 
66417). This system notice is modified to include the following: (1) 
The system name has been changed to reflect OPA's new case tracking 
system, the Executive Clemency Records Database (ECRD), which replaces 
the Executive Clemency Tracking System; (2) removal and addition of, 
and changes to, routine uses of records maintained in the system; (3) 
clarification that the system contains records concerning persons who 
have been denied executive clemency, in addition to those who have 
applied for or been granted such clemency; and (4) other modifications 
to reflect current practices for the system of records. The entire 
notice is republished for the convenience of the public.

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), the public is 
given a 30-day period in which to comment. Therefore, please submit any 
comments by October 17, 2011.

ADDRESSES: The public, Office of Management and Budget (OMB), and the 
Congress are invited to submit any comments to the Privacy Analyst, 
Office of Privacy and Civil Liberties, Department of Justice, National 
Place Building, 1331 Pennsylvania Avenue, NW., Suite 1070, Washington, 
DC 20530.

FOR FURTHER INFORMATION CONTACT: Linda M. V. Bowe, Paralegal 
Specialist, 202.616.6070, Office of the Pardon Attorney, U.S. 
Department of Justice, Washington, DC 20530.

SUPPLEMENTARY INFORMATION: The change in the text of the notice 
entitled ``Executive Clemency Records Database (ECRD)/Executive 
Clemency Case Files'' is shown below.
    In accordance with 5 U.S.C. 552a(r), the Department has provided a 
report to OMB and the Congress on the modified system of records.

    Dated: August 12, 2011.
Nancy C. Libin,
Chief Privacy and Civil Liberties Officer, United States Department of 
Justice.
JUSTICE/OPA-001

System Name:
    Executive Clemency Records Database (ECRD)/Executive Clemency Case 
Files.

Security Classification:
    Unclassified.

System Location:
    Office of the Pardon Attorney (OPA), U.S. Department of Justice, 
Washington, DC 20530.

Categories Of Individuals Covered By The System:
    Individuals who have applied for or have been granted or denied 
executive clemency, and individuals who have corresponded with OPA, 
either directly or by referral, concerning persons who have applied for 
or have been granted or denied executive clemency. In addition, the 
categories of individuals covered by this system also include DOJ 
personnel, to include DOJ contractors, authorized to access and use the 
system.

Categories of Records in the System:
    The system contains data, documents and correspondence, in hard 
copy and/or electronic format, concerning the individual case files of 
persons who have applied for or been granted or denied executive 
clemency, which may include the following: The clemency petition; 
character affidavits; investigatory material; court-related documents 
(e.g., presentence reports, judgments of conviction, and court 
opinions); official court-martial documents (in military cases); prison 
progress reports and U.S. Parole Commission notices of action; media 
reports (e.g., newspaper and magazine articles); and official and other 
correspondence (both generated and received, whether solicited or 
unsolicited), including correspondence received by OPA concerning an 
individual who has filed a clemency petition or is granted or denied 
clemency. Additionally, the system contains inter-agency and intra-
agency reports as well as case notes, recommendations, and decisional 
documents generated throughout the deliberative process to assist OPA 
in formulating clemency recommendations to the President or otherwise 
performing its duties more efficiently. The system contains records 
regarding authorized system users, including audit log information and 
records relating to verification or authorization of an individual's 
access to the system.

Authority for Maintenance of the System:
    The system is established and maintained in order to carry out the 
duties assigned by the President, pursuant to the power granted him 
under the United States Constitution, Article II, section 2, to the 
Department of Justice (DOJ) in Executive Order of the President 30-1, 
dated June 16, 1893; and Executive Order of the President No. 11878 
(published at 40 FR 42731), as delegated by the Attorney General to OPA 
in 28 CFR 0.35 and 0.36 (Attorney General Order No. 1012-83, published 
at 48 FR 22290), and as described in 28 CFR 1.1 through 1.11 (Attorney 
General Order No. 1798-93, published at 58 FR 53658); and 44 U.S.C. 
3101.

Purpose(s):
    Executive clemency case files and the records contained within ECRD 
are maintained by the Attorney General or his designee to facilitate 
and document the functions of the Attorney General or his designee in 
receiving, investigating, and evaluating requests for executive 
clemency; preparing the necessary reports and recommendations from the 
DOJ to the President in clemency matters; serving as a liaison with 
clemency applicants and the public on clemency matters; and advising 
the President on the historical exercise of the clemency power. The 
system's use of computerized records facilitates an increased level of 
efficiency and automation with regard to the maintenance and use of 
information contained therein.

[[Page 57079]]

Routine Uses of Records Maintained in the System, Including Categories 
of Users and Purposes of Such Uses:
    Information contained in this system may be disclosed as follows:
    (a) To the President, and members of his staff, in order to assist 
him in the exercise of his constitutional clemency power.
    (b) To any person or entity, whose comments on a particular 
clemency matter are solicited by OPA in connection with its 
investigation and review of a case, to the extent deemed by OPA to be 
necessary in order to enable such persons to respond to the request.
    (c) To contractors, grantees, experts, consultants, students, and 
others performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for the federal government, when 
necessary to accomplish an agency function related to this system of 
records.
    (d) To a private contractor or federal agency for the purpose of 
preparing bound and indexed volumes containing originals and/or 
photocopies of the official warrant of clemency granted each clemency 
recipient as a public and official record of Presidential action.
    (e) Where a record, either alone or in conjunction with other 
information, indicates a violation or potential violation of law--
criminal, civil, or regulatory in nature--the relevant records may be 
referred to the appropriate federal, state, local, territorial, tribal, 
or foreign law enforcement authority or other appropriate entity 
charged with the responsibility for investigating or prosecuting such 
violation or charged with enforcing or implementing such law.
    (f) To a federal, state, local, or tribal agency, including 
prosecution, corrections, sentencing, parole, or probation authorities, 
in order to assist it in the execution of appropriate actions necessary 
to implement a Presidential clemency decision or in the performance of 
its official duties.
    (g) To federal, state, local, territorial, tribal, foreign, or 
international licensing agencies or associations which require 
information concerning the suitability or eligibility of an individual 
for a license or permit.
    (h) In an appropriate proceeding before a court, grand jury, or 
administrative or adjudicative body, when the DOJ determines that the 
records are arguably relevant to the proceeding; or in an appropriate 
proceeding before an administrative or adjudicative body when the 
adjudicator determines the records to be relevant to the proceeding.
    (i) To the news media and the public, including disclosures 
pursuant to 28 CFR Sec.  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 personal privacy.
    (j) 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.
    (k) To the National Archives and Records Administration for 
purposes of records management inspections and accessions conducted 
under the authority of 44 U.S.C. 2904 and 2906.
    (l) To former employees of the Department for purposes of: 
Responding to an official inquiry by a federal, state, local, or tribal 
government entity or professional licensing authority, in accordance 
with applicable Departmental 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.
    (m) To appropriate agencies, entities, and persons when (1) It is 
suspected or 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 the Department 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 the Department's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.
    (n) To appropriate officials and employees of a federal agency or 
entity when the information is relevant to a decision concerning the 
hiring, appointment, or retention of an employee; the assignment, 
detail, or deployment of an employee; the issuance, renewal, 
suspension, or revocation of a security clearance; the execution of a 
security or suitability investigation; the letting of a contract; or 
the issuance of a grant or benefit.

Disclosure to Consumer Reporting Agencies:
    None.

Policies and Practices for Storing, Retrieving, AcceSSING, Retaining, 
and Disposing of Records in the System:
Storage:
    All records which are part of Executive Clemency Case Files are 
stored within OPA's work area in individual file folders in a secure 
file room or file cabinets with controlled access, and/or other 
appropriate GSA-approved security containers. All records which are 
part of ECRD are stored in electronic form in a secure client/server 
configuration.

Retrievability:
    Individual case files which are part of Executive Clemency Case 
Files are retrieved primarily by the name of the person who applied for 
or was granted or denied executive clemency but also may be retrieved 
via any piece of uniquely identifying data (i.e., BOP register number, 
case file number, FBI number, or Social Security number).

Safeguards:
    All records which are part of Executive Clemency Case Files are 
secured through the use of safes, locked file cabinets, and/or 
restricted access to the space in which they are located.
    All records which are part of ECRD are safeguarded in accordance 
with DOJ rules and policies governing automated systems security and 
access; entry to the system takes place through individual login of OPA 
employees and other authorized DOJ personnel; mandatory training is 
required of all system users; and a thorough audit trail keeps track of 
user activity within ECRD.

Retention and Disposal:
    All paper records are stored within OPA's work area while clemency 
is pending, and generally for up to two years after the date of final 
action. Closed case files are transferred to the Washington National 
Records Center in Suitland, Maryland one full year after the calendar 
year in which the case was closed. Except for copies of reports 
furnished to the President on particular clemency matters, clemency 
warrants and other documents reflecting the President's action in 
clemency cases, case files in any cases in which clemency is granted, 
case files in other cases designated by the Pardon Attorney as having 
significant public interest, and notices issued by OPA to the Office of 
Public Affairs of the DOJ, case files at the Washington National 
Records Center are destroyed no sooner than 25 years

[[Page 57080]]

after the case is closed, in accordance with the Records Disposition 
Authority NC1-204-95-1, or successor Records Disposition Authority.
    All records within ECRD are maintained within the system while a 
clemency petition is pending and for fifteen years after the year in 
which the case was closed. Copies of all records pertaining to cases 
closed in the previous calendar year contained within the system are 
sent to NARA on an annual basis. OPA maintains legal custody of these 
records until fifteen years have elapsed, at which point the records 
within ECRD are destroyed and NARA becomes the legal custodian of the 
records. This change occurs in accordance with Records Disposition 
Authority DA-204-2011-0001 or successor Records Disposition Authority.

System Manager(s) and Address:
    Pardon Attorney, Office of the Pardon Attorney, U.S. Department of 
Justice, Washington, DC 20530.

Notification Procedure:
    Address inquiries to the Pardon Attorney, Office of the Pardon 
Attorney, U.S. Department of Justice, Washington, DC 20530, or e-mail 
inquiries to [email protected].

Record Access Procedures:
    The Attorney General has exempted executive clemency records from 
various provisions of the Privacy Act, including the access and 
amendment provisions, to the extent such exemptions apply pursuant to 5 
U.S.C. 552a(j)(2). Where compliance would not appear to interfere with 
or adversely affect the purposes of the system or the law enforcement 
process, the applicable exemption (in whole or in part) may be waived 
by the OPA in its sole discretion. These requests for discretionary 
releases of records shall be made either in writing or via email to the 
system manager listed above with the envelope and letter or subject 
line clearly marked ``Privacy Access Request.'' Include in the request 
the general subject matter of the document. Provide full name, current 
address, date and place of birth, signature, all of (which must be 
either be notarized or submitted under penalty of perjury), and a 
return address or email address for transmitting the information.

Contesting Record Procedures:
    Same as Record Access Procedures.

Record Source Categories:
    Sources of information include: individual applicants for clemency, 
their representatives, and persons who write, confer with, or orally 
advise OPA concerning those applicants; investigatory reports of the 
Federal Bureau of Investigation, the Drug Enforcement Administration, 
the Internal Revenue Service, Immigration and Customs Enforcement 
agency of the Department of Homeland Security and other appropriate 
government agencies; records of the Federal Bureau of Prisons; reports 
of the Armed Forces; presentence reports provided by the Bureau of 
Prisons or the federal Probation Offices; reports of the U.S. Parole 
Commission; data provided by the Office of White House Counsel; 
comments and recommendations from current and former federal and state 
officials; and employees of the Department of Justice.

Exemptions Claimed for the System:
    The Attorney General has exempted this system from subsections 
(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), and (e)(5) of the 
Privacy Act pursuant to 5 U.S.C. 552a(j)(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. 2011-23599 Filed 9-14-11; 8:45 am]
BILLING CODE 4410-29-P