[Federal Register Volume 78, Number 28 (Monday, February 11, 2013)]
[Notices]
[Pages 9721-9724]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-03071]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5613-N-06-C]


Privacy Act of 1974; New System of Records, Office of General 
Counsel E-Discovery Management System: Republication of System 
Description and Solicitation of Comment

AGENCY: Office of the Chief Information Officer, HUD.

ACTION: Notice.

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SUMMARY: Pursuant to the provision of the Privacy Act of 1974, HUD is 
providing notice of its formal adoption of a new system of records for 
the Office of General Counsel (OGC) E-Discovery Management System 
(EDMS). The OGC discovery productions typically require the 
preservation, collection and analysis of massive emails, word 
processing documents, PDF files, spreadsheets, presentations, database 
entries, and other documents in a variety of electronic file formats, 
as well as paper records. EDMS is expected to improve significantly the 
efficiency of OGC's processing of records during the discovery and 
processing of litigation requests and will dramatically reduce the time 
spent on the document review and production process.

DATES: Effective Date: December 18, 2012.

FOR FURTHER INFORMATION CONTACT: For inquiries pertaining to Privacy 
Act records, contact Donna Robinson-Staton, Chief Privacy Officer, 
Department of Housing and Urban Development, 451 7th Street SW., 
Washington, DC 20410 (Attention: Capitol View Building, 4th Floor) 
telephone number (202) 402-8073 (this telephone number is not toll 
free). A telecommunications device for hearing- and speech-impaired 
persons (TTY) is available by calling the Federal Relay Service's toll-
free telephone number (800) 877-8339.

SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974 (5 
U.S.C. 552a) (Privacy Act), HUD published in the Federal Register on 
July 17, 2012, at 77 FR 41997, a notice that announced a new system of 
records for OGC's E-Discovery Management System (OGC-EDMS), a system 
expected to significantly improve the efficiency of OGC's processing of 
records during the preservation, discovery, and processing of 
litigation requests when litigation is ``reasonably anticipated'' \1\ 
and reduce the time HUD staff spend on the document review and 
production process. OGC-EDMS is in response to and consistent with e-
discovery preservation and production requirements in the Federal Rules 
of Civil Procedure.
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    \1\ ``Reasonably anticipated'' is the legal test articulating 
the standard for when the duty to preserve electronically stored 
information begins. A key case is Pension Comm. of the Univ. of 
Montreal Pension Plan v. Banc of Am. Secs., LLC, 05 Civ. 9016 (SAS), 
2010 U.S. Dist. LEXIS 4546, at *14-15 (S.D.N.Y. Jan. 15, 2010).
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    The July 17, 2012, notice solicited public comment on OGC-EDMS for 
a period of 30 days. The notice advised that EDMS would carry a final 
effective date of August 16, 2012, unless HUD received comments which 
would result in a contrary determination. HUD received public comment 
in response to the July 17, 2012, notice. On August 15, 2012, at 77 FR 
49011, HUD published a notice advising of a change in the final 
effective date of OGC-EDMS, the commitment to re-publish the 
description of OGC-EDMS with certain clarifications, and to respond to 
public comments received in response to the July 17, 2012, notice.
    In response to public comments, a notice expanding the description 
of OGC-EDMS and soliciting further public comments was published on 
November 15, 2012, at 77 FR 68140. Specifically, HUD clarified in the 
notice published on November 15, 2012 that when litigation is 
``reasonably anticipated,'' related electronic data is forensically 
copied and maintained in a secure server environment separate from 
HUD's network servers as part of the OGC-EDMS. In this secure server 
environment, electronic data is preserved in a way that prevents 
metadata spoliation by the system or the owner of the data. HUD further 
clarified that electronic data is properly retained on network servers 
and other sources as mandated by the HUD's Office of General Counsel 
Records Disposition Schedule 2--Legal Records, 2225.6 REV-1, CHG-
APPENDIX 2 \2\ and HUD's Office of the Chief Information Officer 
Electronic Mail Policy, 2400.1 REV01, CHG.\3\ These handbooks are 
available on HUD's Web pages through hudclips.
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    \2\ http://portal.hud.gov/hudportal/HUD?src=/program_offices/administration/hudclips/handbooks/admh/2225.6.
    \3\ http://www.hud.gov/offices/adm/hudclips/handbooks/cioh/.
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    The public comment period for the November 15, 2012, notice closed 
on December 17, 2012. HUD received no public comments in response to 
the November 2012 additional solicitation of comment. In this notice, 
HUD provides a complete summary of the location, purposes, and 
operational description of EDMS. The summary is

[[Page 9722]]

the same as that provided in the November 15, 2012, notice. HUD has 
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made no further changes.

     Authority: 5 U.S.C. 552a; 88 Stat. 1896; 42 U.S.C. 3535(d).

    Dated: February 5, 2013.
Jerry E. Williams,
Chief Information Officer.
Summary Description of EDMS
OGC.CAGC.01

SYSTEM NAME:
    Office General Counsel Electronic Discovery Management System. 
(OGC-EDMS)

SYSTEM LOCATIONS:
    The EDMS application will be stored on servers located at 4701 
Forbes Boulevard, Lanham, MD 20706. Custodian data to be retrieved is 
stored on servers and HUD workstations located throughout the 
country.\4\
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    \4\ http://portal.hud.gov/hudportal/documents/huddoc?id=append2.pdf.
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PURPOSES:
    OGC-EDMS provides OGC with a method to initiate, track, and manage 
the collection, organization, and production of paper and electronic 
documents for discovery requests, such as litigation hold memoranda, E-
Discovery certifications, electronically stored information (ESI) 
search requests, closure letters, and any other documents and data 
relevant to the discovery process requiring analysis, review, 
redaction, and production to respond to litigation discovery 
requirements. The purpose of this system is to assist HUD to collect 
electronically stored information and data of any individual who is, or 
will be, in litigation with HUD, as well as the attorneys representing 
the plaintiff(s) and defendant(s) in response to claims by employees, 
former employees, and other individuals; to assist in the settlement of 
claims against the government; to represent HUD during litigation, and 
to maintain internal statistics. A new software component is being 
added to HUD's EDMS process that will streamline the collection, 
storage, and analysis of case data to be responsive to requests to HUD.
    On December 1, 2006, the Federal Rules of Civil Procedure were 
amended to create and clarify responsibility for preserving and 
accessing ESI. The obligation to preserve ESI, as well as paper 
records, begins when an individual ``reasonably anticipates'' 
litigation and concludes that the evidence may be relevant to such 
future litigation. Once an individual ``reasonably anticipates'' 
litigation, he/she must suspend any document alteration or destruction 
to ensure the preservation of relevant documents and electronically 
stored information, including emails.
    EDMS and its various capabilities will allow OGC to streamline and 
automate the document and data reviews it conducts, allow the attorneys 
to analyze the information in different formats, conduct the analysis 
in bulk more efficiently, and protect unwarranted disclosure of 
information by flagging files that contain information therein that is 
protected from disclosure.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The federal regulation(s)/statute(s) that gives OGC the authority 
to collect and store this information is Federal Rules of Civil 
Procedure (FRCP) 16(b) which allows the court to establish rules around 
disclosure, privilege, methods and work product prior to electronic 
discovery commencing. In this context, disclosure is the collection of 
data. Other relevant regulations surrounding the collection and 
management of electronic discovery are FRCP 26(b)(2), 26(b)(5)(B), 
26(f), 33(d), 34(a), 34(b), 37(f), and 45.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of individuals covered by this system include: (1) all 
persons subject to a litigation hold due to a ``reasonable anticipation 
of litigation'' as determined by HUD's OGC; (2) all persons deemed a 
participant of past or present litigation, investigations, or 
arbitration where HUD is involved; and (3) specified individuals 
impacted by FOIA requests, litigation, and other cases in HUD.
    A wide variety of individuals are covered by the system including: 
individuals who either file administrative complaints with HUD or are 
the subject of administrative complaints initiated by HUD; individuals 
who are named parties in cases in which HUD believes it will or may 
become involved; individuals involved in matters within the 
jurisdiction of HUD 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; individuals who are the subject of an action requiring 
approval or action by a HUD official, such as appeals, actions, 
training, awards, promotions, selections, grievances and delegations, 
including the OGC attorneys to whom cases are assigned, and attorneys 
and authorized representatives for whom HUD has received complaints 
regarding their practices before HUD.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of records in this system include: (1) Custodian name; 
(2) Custodian work address; (3) Custodian email address; (4) Case Name; 
(5) Case number; (6) Custodian email data, including messages among 
other HUD employees and/or personnel of other federal agencies or 
outside entities, and attachments; (7) Custodian local/shared drive 
data of information collected or compiled from law enforcement or other 
agency databases; (8) Spreadsheets including data collections, often 
including personally identifiable information and sensitive law 
enforcement data used to track the process or investigations or focus 
investigative priorities; 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 HUD 
cases and legal actions that HUD either is involved in or in which it 
believes it will or may become involved; claims by or against the U.S. 
Government, other than litigation cases, arising from a transaction 
with HUD, 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 of 1973 (26 U.S.C. 701); personnel 
matters; contracts; foreclosures; actions against HUD officials; 
records relating to requests for HUD records other than requests under 
the Freedom of Information Act and the Privacy Act of 1974; testimonies 
of HUD 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; 
security clearance information; 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; and court transcripts.

[[Page 9723]]

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    1. 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 records pertain;
    2. To the National Archives and Records Administration for use in 
its records management inspections and its role as an Archivist;
    3. To the Department of Justice (DOJ) when seeking legal advice for 
a HUD initiative or in response to DOJ's request for the information, 
after either HUD or DOJ determine that such information is relevant to 
DOJ's representatives of the United States or any other component in 
legal proceedings before a court or adjudicative body, provided that, 
in each case, the agency also determines prior to disclosure that 
disclosure of the records to the DOJ is a use of the information 
contained in the records that is compatible with the purpose for which 
HUD collected the records. HUD on its own may disclose records in this 
system of records in legal proceedings before a court or administrative 
body after determining that the disclosure of the records to the court 
or administrative body is a use of the information contained in the 
records that is compatible with the purpose for which HUD collected the 
records; or to another agency or to an instrumentality of any 
governmental jurisdiction within or under the control of the United 
States for a civil or criminal law enforcement activity if the activity 
is authorized by law, and if the head of the agency or instrumentality 
has made a written request to the agency which maintains the record 
specifying the particular portion desired and the law enforcement 
activity for which the record is sought;
    4. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation;
    5. To contractors, grantees, experts, consultants, and the agents 
thereof, and others performing or working on a contract, service, 
grant, cooperative agreement, or other assignment for HUD, when 
necessary to accomplish an agency function related to its 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 HUD officers and employees;
    6. 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;
    7. 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;
    8. To a grand jury agent pursuant either to a federal or state 
grand jury subpoena, or to a prosecution request that such record be 
released for the purpose of its introduction to a grand jury, where the 
subpoena or request has been specifically approved by a court; and
    9. To appropriate agencies, entities, and persons when: a) HUD 
suspects or has confirmed that the security or confidentiality of 
information in a system of records has been compromised; b) HUD 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 systems or 
programs (whether maintained by HUD or another agency or entity) that 
rely upon the compromised information; and c) the disclosure made to 
such agencies, entities, and persons is reasonably necessary to assist 
in connection with HUD's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm for 
purposes of facilitating responses and remediation efforts in the event 
of a data breach.

POLICIES FOR STORING, RETRIEVING, AND DISPOSING OF SYSTEM RECORDS:
STORAGE:
    Data collected by OGC-EDMS is stored electronically in a Storage 
Area Network/Network Attached. There are no manual records stored or 
maintained outside the system. Storage is at a secure Lockheed Martin 
facility, and backed up via an Avamar Backup Storage system.

RETRIEVABILITY:
    Records will be retrieved by the (1) Custodian name; (2) Work 
address; (3) Custodian email address; (4) Case name; (5) Case number; 
(6) Custodian email data; (7) Custodian local drive data; (8) Custodian 
home/shared drive data; (9) Litigation hold closures; (10) Litigation 
hold memoranda; (11) Litigation preservation notices; (12) Litigation 
hold reminder notices; and (13) ESI identification email notifications. 
E-Discovery notifications data is only accessed by individually 
assigned legal counsel on a case by case basis.

SAFEGUARDS:
    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 are authorized to access by appropriate security 
clearances and user ID/password permissions. Only assigned users with a 
need-to-know are allowed access, on a case-by-case basis, after going 
through HUD's background investigation process.

RETENTION AND DISPOSAL:
    In response to the FRCP 16(b), when litigation is ``reasonably 
anticipated,'' related electronic data is copied and maintained in a 
secure server environment separate from HUD's network servers as part 
of the EDMS.\5\ Upon authorization from a HUD Associate General 
Counsel, Regional Counsel, or other designated official, OGC closes a 
case. The closed case and related electronic litigation data that has 
been copied and secured in a production environment for the purposes of 
litigation is purged electronically from the EDMS. The purging process 
does not extend to purging electronic data from its original source, 
such as network servers. Electronic data is properly retained on 
network servers and other sources as required by HUD's Office of 
General Counsel Records Disposition Schedule 2--Legal Records, 2225.6 
REV-1, CHG-APPENDIX 2 \6\ and the Electronic Mail Policy, 2400.1 REV01, 
CHG.\7\
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    \5\ Other relevant regulations surrounding the collection and 
management of electronic discovery are FRCP 26(b)(2), 26(b)(5)(B), 
26(f), 33(d), 34(a), 34(b), 37(f), and 45.
    \6\ http://portal.hud.gov/hudportal/HUD?src=/program_offices/administration/hudclips/handbooks/admh/2225.6.
    \7\ http://www.hud.gov/offices/adm/hudclips/handbooks/cioh/.
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SYSTEM MANAGERS AND ADDRESSES:
    Office of General Counsel (OGC) Tenille Washburn, Assistant General 
Counsel, Field Management and IT Division, Department of Housing and 
Urban Development, 1250 Maryland Avenue SW., Suite 200, Washington, DC 
20024. The phone contact information is (202) 402-6536. This is not a 
toll free number.

NOTIFICATION AND RECORD ACCESS PROCEDURES:
    Individuals seeking to determine whether this system of records 
contains

[[Page 9724]]

information about them, or those seeking access to such records, should 
address inquiries to Donna Staton-Robinson, Chief Privacy Officer, 
Department of Housing and Urban Development, 451 7th Street SW., Room 
4156, Washington, DC 20410. (Attention: Capitol View Building, 4th 
Floor.) The phone contact information is (202) 708-5495. This is not a 
toll free number. Provide verification of your identity by providing 
two proofs of official identification. Your verification of identity 
must include your original signature and must be notarized.

CONTESTING RECORD PROCEDURES:
    HUD's rules for contesting the contents of records and appealing 
initial denials by the individual concerned appear in 24 CFR part 16. 
If additional information or assistance is needed, it may be obtained 
by contacting HUD officials as follows:
    (i) Contesting contents of records: The Department of Housing and 
Urban Development, Chief Privacy Officer, 451 Seventh Street SW., 
Washington, DC 20410;
    (ii) Appeals of initial HUD determinations: In relation to 
contesting contents of records, the HUD Departmental Privacy Appeals 
Officers, Office of General Counsel, Department of Housing and Urban 
Development, 451 Seventh Street SW., Washington, DC 20410.

RECORD SOURCE CATEGORIES:
    Documents and records in this system originate from HUD and its 
components, courts, subpoenas, law enforcement agencies, other federal, 
state, and local agencies, inquiries and/or complaints from witnesses 
or members of the general public.

EXEMPTIONS:
    The records in EDMS are maintained for use in civil rather than 
criminal actions. For that reason, the relevant provision of the 
Privacy Act is 5 U.S.C. 552a(d)(5) which states ``nothing in this [Act] 
shall allow an individual access to any information compiled in 
reasonable anticipation of a civil action or proceeding.'' (See U.S. 
Department of Justice, Office of Privacy and Civil Liberties, Overview 
of the Privacy Act of 1974 (2010) 212.\8\)
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    \8\ http://www.justice.gov/opcl/1974tenexemp.htm#one.

[FR Doc. 2013-03071 Filed 2-8-13; 8:45 am]
BILLING CODE 4210-67-P