[Federal Register Volume 87, Number 91 (Wednesday, May 11, 2022)]
[Notices]
[Pages 28797-28800]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-10090]


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AGENCY FOR INTERNATIONAL DEVELOPMENT


Privacy Act of 1974; System of Records

AGENCY: Agency for International for Development (USAID).

ACTION: Notice of modified Privacy Act system of records.

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SUMMARY: The United States Agency for International Development (USAID) 
proposes to modify an existing Agency-wide system of records entitled, 
Litigation Records. This system of records contains records used to 
assist attorneys and legal staff in providing legal advice to the 
agency on a wide variety of legal issues. This modification includes 
updates to the following sections: '' System Location'', ``System 
Manager'', ``Categories of Records in the System'' to include what PII 
is collected, ``Routine Uses of Records Maintained in the System'', 
``Policies and Practices for Retention and Disposal of Records'' adding 
the approved NARA disposition schedule, and ``Administrative, 
Technical, and Physical Safeguards''.

DATES: Submit comments on or before 10 June 2022. This modified system 
of records will be effective 10 June 2022 upon publication. The Routine 
Uses are effective at the close of the comment period.

ADDRESSES: You may submit comments:

Electronic

     Federal eRulemaking Portal: www.regulations.gov. Follow 
the instructions on the website for submitting comments.
     Email: [email protected]

Paper

     Fax: 202-916-4946.
     Mail: Chief Privacy Officer, United States Agency for 
International Development, 1300 Pennsylvania Avenue NW, Washington, DC 
20523.

FOR FURTHER INFORMATION CONTACT: Ms. Celida A. Malone, USAID Privacy 
Program at United States Agency for International Development, Bureau 
for Management, Office of the Chief Information Officer, Information 
Assurance Division: ATTN: USAID Privacy Program, 1300 Pennsylvania 
Avenue NW, Washington, DC 20523, or by phone number at 202-916-4605.

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974 
(5 U.S.C. 552a), as amended, USAID is publishing notice of proposed 
updates and reissuance of its system of records titled ``USAID 26- 
Litigation Records,'' last published in full in the Federal Register on 
02/06/2014 (42 FR 47386). USAID proposes to modify this system of 
records with the revisions to the following sections: The purposes for 
maintaining the system; the system's storage location/environment; the 
system location; and routine uses, including new routine uses pursuant 
to new requirements announced by OMB on January 3, 2017, in its 
memorandum M-17-12, Preparing for and Responding to a Breach of 
Personally Identifiable Information.

SYSTEM NAME AND NUMBER:
    USAID-26, Litigation Records

SECURITY CLASSIFICATION:
    Unclassified

SYSTEM LOCATION:
    1300 Pennsylvania Avenue NW, Washington, DC 20523.

SYSTEM MANAGER:
    Office of General Counsel, United States Agency for International 
Development, Ronald Reagan Building, 1300 Pennsylvania Avenue NW, 
Washington, DC 20523. Email: [email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301; Foreign Assistance Act of 1961, as amended; Foreign 
Service Act of 1946, as amended; Federal Tort Claims Act; Federal 
Claims Collection Act, 31 U.S.C. 951-953; The Federal Records Act, 44 
U.S.C. 3101; False Claims Act; Age Discrimination in Employment Act, 
the Equal Pay Act, section 321 of the Government Employees Rights Act 
of 1991; 5 U.S.C. 1204; 5 U.S.C. 7301, 7351, 7353; 5 U.S.C. App. 
(Ethics in Government Act of 1978); 31 U.S.C. 1353; E.O. 12674 (as 
modified by E.O. 12731); Federal Service Labor Management Relations 
Statute; Title VII of the Civil Rights Act of 1964; Freedom of 
Information Act; and other legislation as may be implicated in the 
course of attorneys' legal work representing USAID, including 
litigation.

PURPOSE OF THE SYSTEM:
    The purpose of this system is to assist USAID's Office of General 
Counsel staff in providing legal advice to USAID personnel on a wide 
variety of legal issues; to collect the information of any individual 
who is, or will be, in litigation with USAID, as well as the attorneys 
representing them; to collect information in response to allegations 
filed by employees, former employees, and other individuals as needed; 
to advise on legal issues; to assist in the settlement of claims 
against the government; to maintain information collected and/or 
generated to represent USAID in administrative or federal proceedings 
and any other type of litigation or advisory work. This includes 
litigation or proceedings against or involving USAID, and includes 
preparing for reasonably anticipated litigation/proceedings, or 
responding to requests for USAID employee testimony or records. USAID 
uses the records contained within USAID 26--Litigation Records to 
document how USAID handles each matter; provide a resource for

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consistency in interpretation and application of the law; and allow for 
statistical reports and analysis of matters processed by the Office of 
General Counsel.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who are or who USAID reasonably anticipates may be 
involved in civil and criminal litigation, or administrative 
proceedings, that involve USAID, its employees/contractors/workforce 
(to include foreign service officers), the United States, or USAID 
records, including but not limited to USAID employees, attorneys, 
witnesses, plaintiffs, defendants, or third parties involved in such 
litigation.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system maintains information collected or generated in 
response to, or in anticipation of, civil and criminal litigation, or 
administrative proceedings, which may include: Names of individuals 
involved; names of witnesses; Social Security number (SSN), if 
applicable; contact information; information pertaining to the subject 
matter of litigation, complaints, answers, motions, briefs, orders, 
decisions, correspondence, exhibits, discovery, legal research, hearing 
and deposition transcripts, investigation reports; claims and records 
regarding discrimination, including employment and sex discrimination, 
including reasonable and/or religious accommodation issues; claims and 
records regarding the Rehabilitation Act; personnel matters; claims and 
records communications with the Department of Justice (DOJ), medical 
records, such as evaluations by physicians in cases where personal 
injury or alleged disabling conditions are involved; records relating 
to requests for USAID records other than requests under the Freedom of 
Information Act and the Privacy Act of 1974; testimonies of USAID 
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; 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.

RECORD SOURCE CATEGORIES:
    Information contained in this system is obtained from existing 
USAID records; legal pleadings, discovery, and other records exchanged 
between parties and their attorneys in litigation and pre-litigation; 
courts; State and local governments; other Federal agencies; and other 
individuals and entities with information relevant to cases involving 
USAID, its employees, the United States, or USAID records.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    We will disclose records pursuant to the following routine uses, 
however, we will not disclose any information defined as ``return or 
return information'' under 26 U.S.C. 6103 of the Internal Revenue 
Service Code, unless authorized by statute, the Internal Revenue 
Service (IRS), or IRS regulations. In addition to those disclosures 
generally permitted under 5 U.S.C. 552a(b), relevant records or 
information in this system may be disclosed without consent as follows:
    (a) To a Federal, State, or local agency maintaining civil, 
criminal, or other relevant enforcement information or other pertinent 
information if necessary to obtain information relevant to an Agency 
decision concerning the hiring or retention of an employee; the 
issuance of a security clearance; the reporting of an investigation of 
an employee; the assignment, detail, or deployment of an employee; the 
letting of a contract; or the approval of a grant or other benefits.
    (b) To appropriate State or local authorities to report, where 
required under State law, incidents of suspected child, elder, or 
domestic abuse or neglect.
    (c) To the Department of State and its posts abroad for the purpose 
of transmission of information between organizational units of the 
Agency, or for purposes related to the responsibilities of the 
Department of State in conducting United States foreign policy or 
protecting United States citizens, such as the assignment of employees 
to positions abroad, the reporting of accidents abroad, evacuation of 
employees and dependents, and other purposes for which officers and 
employees of the Department of State have a need for the records in the 
performance of their duties.
    (d) To the Office of Management and Budget in connection with the 
review of private relief legislation as set forth in OMB Circular No. 
A-19, www.whitehouse.gov/wp-content/uploads/2017/11/Circular-019.pdf at 
any stage of the legislative coordination and clearance process as set 
forth in that Circular.
    (e) To the Internal Revenue Service (a) to obtain mailing addresses 
of debtors in order to collect a Federal debt; and (b) to offset a 
Federal debt against the debtor's income tax refund.
    (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 USAID, 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 USAID officers and employees.
    (g) To a Federal, state or local agency, professional licensing 
authority, or other appropriate entities as required to ensure the 
professional responsibility requirements are met by USAID employees.
    (h) To a court, magistrate, or other administrative body in the 
course of presenting evidence, including disclosures to counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal or administrative 
proceedings, when the USAID is a party to the proceeding or has a 
significant interest in the proceeding, to the extent that the 
information is determined to be relevant and necessary.
    (i) To appropriate agencies, entities, and persons when: (1) USAID 
suspects or has confirmed that there has been a breach of the system of 
records; (2) USAID has determined that as a result of the suspected or 
confirmed breach, there is a risk of harm to individuals (including its 
information systems, programs, and operations), the Federal Government, 
or national security; and (3) the disclosure made to such agencies, 
entities, and persons is reasonably necessary to assist in connection 
with USAID's efforts to respond to the suspected or confirmed breach or 
to prevent, minimize, or remedy such harm.
    (j) To another federal agency or federal entity, when USAID 
determines that the information from the system of records is 
reasonably necessary to assist the recipient agency or entity in (1) 
responding to a suspected or confirmed breach, or (2) preventing, 
minimizing, or remedying the risk of harm to individuals, the recipient 
agency or entity (including its information systems, programs, and 
operations), the

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Federal Government, or national security, that might result from a 
suspected or confirmed breach.
    (k) To the National Archives and Records Administration (NARA), for 
the purposes of records-management inspections conducted under the 
authority of Sections 2904 and 2906 of Title 44 of the U.S.C. and in 
its role as Archivist.
    (l) 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.
    (m) 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.
    (n) To international and foreign governmental entities in 
accordance with law and formal or informal international agreement.
    (o) To third parties during the course of an administrative, civil 
or criminal 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.
    (p) 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.
    (q) To a former employee of USAID, in accordance with applicable 
regulations, for purposes of responding to an official inquiry by a 
federal, state, or local government entity or professional licensing 
authority; or facilitating communications with a former employee that 
may be necessary for personnel--related or other official purposes 
where the agency requires information or consultation assistances from 
the former employee regarding a matter within that person's former area 
of responsibility.
    (r) To the DOJ, United States Attorney's Office, or other federal 
agencies for further collection action on any delinquent debt when 
circumstances warrant, as well as to a debt collection agency for the 
purpose of debt collection.
    (s) To third parties about individuals who are their employees, job 
applicants, contractors, or any other individual who is issued 
credentials or granted clearances by the third party to secured areas 
when relevant to such employment, application, contract, or issuance of 
the credential or clearance.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    USAID stores records in this system in electronic format and paper 
format. Records in paper format are stored in file folders in locked 
cabinets. Records in electronic format are kept in a user-authenticated 
and password-protected computerized database system.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    USAID indexes and retrieves records by the case name, party names, 
case number, or names of individuals reasonably anticipated to be 
involved in litigation.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    USAID follows NARA-approved records retention schedule. Periods of 
retention vary depending on the type of litigation record. See http://www.archives.gov/records-mgmt/rcs/schedules/independent-agencies/rg-0047/n1-047-10-004_sf115.pdf. The Office of the General Counsel 
reserves the right to retain for an indefinite period certain records 
that, in the judgment of that office, are of precedential value.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    USAID maintains electronic and paper files with personal 
identifiers in secure storage areas. Access to USAID buildings where 
records are located is restricted by 24-hour electronic identification.
    For Paper Records: USAID secures records in lockable metal filing 
cabinets within a locked room when not in use. Access to these records 
are strictly limited to authorized USAID personnel. Only the case 
number appears on the file label. The file is cross-referenced with a 
separately secured list with a corresponding name and case number.
    For Electronic Records: USAID personnel store and password-protect 
electronic records in a user-authenticated, USAID-issued computer and/
or a USAID-approved, computerized database system. These records are 
maintained separately from other systems of records. Access to these 
electronic records is strictly limited to authorized USAID personnel.
    All persons having access to these records shall be trained in the 
proper handling of records covered by the Privacy Act. Secondary 
disclosure of released information is prohibited without client 
consent.

RECORD ACCESS PROCEDURES:
    Under the Privacy Act, individuals may request access to records 
about themselves. These individuals must be limited to citizens of the 
United States or aliens lawfully admitted for permanent residence. If a 
Federal Department or Agency or a person who is not the individual who 
is the subject of the records, requests access to records about an 
individual, the written consent of the individual who is the subject of 
the records is required.
    Individuals seeking access to information about themselves 
contained in this system of records should address inquiries to the 
Bureau for Management, Office of Management Services, Information and 
Records Division (M/MS/IRD), USAID Annex--Room 2. 4. 0C, 1300 
Pennsylvania Avenue NW, Washington, DC 20523. The requester may 
complete and sign a USAID Form 507-1, Certification of Identity Form or 
submit signed, written requests that should include the individual's 
full name, current address, telephone number and this System of Records 
Notice number. In addition, the requester must provide either a 
notarized statement or an unsworn declaration made in accordance with 
28 U.S.C. 1746, in the following format:
    If executed outside the United States: ``I declare (or certify, 
verify, or state) under penalty of perjury under the laws of the United 
States of America that the foregoing is true and correct. Executed on 
(date). (Signature).''
    If executed within the United States, its territories, possessions, 
or commonwealths: ``I declare (or certify, verify, or state) under 
penalty of perjury that the foregoing is true and correct. Executed on 
(date). (Signature).''

CONTESTING RECORD PROCEDURES:
    See above, Record Access Procedures.

NOTIFICATION PROCEDURES:
    See above, Record Access Procedures.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    USAID has claimed exemptions for several of its other systems of 
records under 5 U.S.C. 552a(j)(2) and (k). Additional exemptions are 
delineated in 22 CFR 215. 13 and 215. 14. During the processing of FOIA 
and Privacy Act requests and administrative appeals, exempt records 
from these other systems of records may become part of

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the case record in this system of records. To the extent that exempt 
records from other USAID systems of records are entered or become part 
of this system, USAID has claimed the same exemptions. In addition, any 
such records compiled in this system of records from any other system 
of records continues to be subject to any exemption(s) applicable for 
the records as they have in the primary systems of records of which 
they are a part.

HISTORY:
    USAID established USAID-26: Litigation Records as a new system of 
records on November 3, 1975, and published a modification on January 
10, 2014 (42 FR 47386).

Celida Ann Malone,
Government Privacy Task Lead.
[FR Doc. 2022-10090 Filed 5-10-22; 8:45 am]
BILLING CODE 6116-01-P