SORN - General Legal Records

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Federal Register / Vol. 76, No. 226 / Wednesday, November 23, 2011 / Notices
please contact: Mary Ellen Callahan
(703) 235–0780, Chief Privacy Officer,
Privacy Office, Department of Homeland
Security, Washington, DC 20528.
SUPPLEMENTARY INFORMATION:

DEPARTMENT OF HOMELAND
SECURITY
Office of the Secretary
[Docket No. DHS–2011–0094]

Privacy Act of 1974; Department of
Homeland Security/ALL—017 General
Legal Records System of Records
Privacy Office, DHS.
Notice of Privacy Act system of

AGENCY:
ACTION:

records.
In accordance with the
Privacy Act of 1974, the Department of
Homeland Security proposes to update
and reissue a Department-wide system
of records notice titled, ‘‘Department of
Homeland Security/ALL—017 General
Legal Records System of Records.’’ This
system will assist attorneys in providing
legal advice to the Department of
Homeland Security on a wide variety of
legal issues. As a result of the biennial
review of this system, updates have
been made to the routine uses within
this notice and other administrative
non-substantive changes. The
subsections of the exemptions have
been updated for accuracy and a new
Notice of Proposed Rulemaking has
been published. Until a new Final Rule
is published, the Final Rule published
on October 1, 2009 remains active and
in place. This system will continue to be
included in the Department of
Homeland Security’s inventory of
record systems.
DATES: Submit comments on or before
December 23, 2011. The new system of
records will be effective December 23,
2011.
SUMMARY:

You may submit comments,
identified by docket number DHS–
2011–0094 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: Mary Ellen Callahan, 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.

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ADDRESSES:

For
general questions and privacy issues

FOR FURTHER INFORMATION CONTACT:

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I. Background
In accordance with the Privacy Act of
1974, the Department of Homeland
Security (DHS) proposes to update and
reissue a Department-wide system of
records notice titled, ‘‘DHS/ALL—017
General Legal Records System of
Records.’’ This system will assist
attorneys in providing legal advice to
DHS on a wide variety of legal issues.
As a result of the biennial review of
this system, updates have been made to
the routine uses within this notice and
other administrative non-substantive
changes. It also reflects that in some
cases, the records in the system will be
classified. The subsections of the
exemptions have also been updated for
accuracy and a new Notice of Proposed
Rulemaking (NPRM) has been
published. Until a new Final Rule is
published, the Final Rule published on
October 1, 2009 remains active and in
place. Additions were made to the
routine uses to include sharing with
federal, state, local, tribal, territorial,
foreign, or international agency,
regarding individuals who pose or are
suspected of posing a risk to
transportation or national security; to
former employees to respond to
government agencies or licensing
authorities or for personnel matters; to
the Department of Justice, United States
Attorney’s Office, or other federal
agencies to collect debt; to the
Department of Transportation for certain
purposes; and to third-parties regarding
their employees, applicants, contractors,
and individuals to whom the third-party
issues credentials or clearance to
secured areas.
The purpose of this system is to assist
DHS attorneys in providing legal advice
to DHS personnel 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. DHS is authorized to
implement this program primarily
through 5 U.S.C. 301; The Federal
Records Act, 44 U.S.C. 3101; The
Homeland Security Act of 2002, Public
Law 107–296; and The Aviation and
Transportation Security Act, Public Law
107–71. This system has an affect on

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individual privacy that is balanced by
the need to collect and maintain
information related to legal advice
issued. Routine uses contained in this
notice include sharing with the
Department of Justice (DOJ) for legal
advice and representation; to a
congressional office at the request of an
individual; to the National Archives and
Records Administration (NARA) for
records management; to contractors in
support of their contract assignment to
DHS; to agencies, organizations or
individuals for the purpose of audit; to
agencies, entities, or persons during a
security or information compromise or
breach; to an agency, organization, or
individual when there could potentially
be a risk of harm to an individual; 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; to a court, magistrate, or
administrative tribunal for hearings; to
third parties during the course of an
investigation; 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; to
international and foreign governmental
entities in accordance with law and
formal or informal international
agreement; to State Bar Grievance
Committees and local Attorney General
offices for disbarment or disciplinary
proceedings; to unions recognized as
exclusive bargaining representatives; To
a former employee of HDS, in
accordance with applicable regulations;
to the DOJ, United States Attorney’s
Office, or other federal agencies for
further collection action on any
delinquent debt; and to the news media
in the interest of the public. This system
will remain in constant review to ensure
that if information is collected from the
public that the practice is done so in
compliance with Paperwork Reduction
Act (PRA).
This system will continue to be
included in DHS’s inventory of record
systems.
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

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Federal Register / Vol. 76, No. 226 / Wednesday, November 23, 2011 / Notices
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:

Department of Homeland Security
(DHS)/ALL—017.
SYSTEM NAME:

DHS/ALL—017 General Legal Records
System of Records.
SECURITY CLASSIFICATION:

Classified and Unclassified.
SYSTEM LOCATION:

Records are maintained at DHS and
component locations in Washington, DC
and field offices.

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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

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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,
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

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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;
and
• 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; The Aviation and Transportation
Security Act, Public Law 107–71.
PURPOSE(S):

The purpose of this system is to assist
DHS attorneys in providing legal advice
to DHS personnel 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) or other federal agency or
federal executive office conducting
litigation or in anticipation of litigation
before any court, adjudicative or
administrative body, 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;

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2. any employee of DHS in his/her
official capacity;
3. any employee or former 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.

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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
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 an 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, or if
necessary to obtain information relevant
to a DHS decision concerning the hiring
or retention of an individual, 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 labormanagement 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 appropriate federal, state,
local, tribal, territorial, foreign, or
international agency, regarding
individuals who pose or are suspected

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of posing a risk to transportation or
national security.
O. To a former employee of DHS, 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 Department requires
information or consultation assistances
from the former employee regarding a
matter within that person’s former area
of responsibility.
P. 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.
Q. 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.
R. To the Department of
Transportation and its operating
administrations when necessary or
relevant to (1) Ensure safety and
security in any mode of transportation,
(2) enforce DHS regulations or
requirements, or (3) the issuance,
maintenance, or renewal of a license,
certificate, contract, grant, or other
benefit.
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.
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.

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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:

For DHS Headquarters, records are
kept for 10 years, in accordance with
National Archives and Records
Administration General Records
Schedule [schedule in process.] For
components of DHS, retention may vary.
Please contact the component system
manager.
SYSTEM MANAGER AND ADDRESS:

The System Managers are the
respective General Counsel/Chief
Counsel for DHS and each of its
components. Their addresses will vary
according to each component.

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NOTIFICATION PROCEDURE:

The Secretary of Homeland Security
has exempted this system from the
notification, access, and amendment
procedures of the Privacy Act because it
is a law enforcement system. However,
DHS will consider individual requests
to determine whether or not information
may be released. Thus, 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

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the Chief Privacy Officer, Department of
Homeland Security, 245 Murray Drive,
SW., Building 410, STOP–0665,
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; and
• 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 (c)(4); (d); (e)(1),
(e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I),

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(e)(5), (e)(8); (e)(12); (f); (g)(1); and (h) of
the Privacy Act pursuant to 5 U.S.C.
552a(j)(2). In addition, the Secretary of
Homeland Security has exempted this
system from subsections (c)(3); (d);
(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f)
of the Privacy Act pursuant to 5 U.S.C.
552a(k)(1), (k)(2), (k)(3), and (k)(5).
Dated: October 26, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of
Homeland Security.
[FR Doc. 2011–30175 Filed 11–22–11; 8:45 am]
BILLING CODE 9110–9L–P

DEPARTMENT OF HOMELAND
SECURITY
Federal Emergency Management
Agency
[Docket ID FEMA–2008–0022]

Criteria for Preparation and Evaluation
of Radiological Emergency Response
Plans and Preparedness in Support of
Nuclear Power Plants, NUREG–0654/
FEMA–REP–1, Supplement 4 and
FEMA Radiological Emergency
Preparedness Program Manual
Federal Emergency
Management Agency, DHS.
ACTION: Notice of availability.
AGENCY:

The Federal Emergency
Management Agency (FEMA) is issuing
two final guidance documents:
Supplement 4 (Supplement 4) to
‘‘Criteria for Preparation and Evaluation
of Radiological Emergency Response
Plans and Preparedness in Support of
Nuclear Power Plants,’’ NUREG–0654/
FEMA–REP–1, Revision 1 (NUREG–
0654), and the Radiological Emergency
Preparedness Program Manual (the REP
Program Manual). Supplement 4 is a
joint document issued by FEMA and the
Nuclear Regulatory Commission (NRC)
that contains the evaluation criteria
against which FEMA and the NRC
measure the emergency preparedness
plans of nuclear power plant owners,
operators and the State, local, and Tribal
jurisdictions in which they reside. The
REP Program Manual is intended to be
the principal source of policy and
guidance for State, local, and Tribal
jurisdictions. Supplement 4 revises and
provides additional offsite requirements
for emergency preparedness programs at
the Nation’s nuclear power plants, as
well as requirements for backup means
for alert and notification and
coordination between licensees and
offsite responders. The REP Program
Manual consolidates many of the REP
Program’s operative guidance and
policy documents into one location, and

SUMMARY:

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