Notice2022-10090
Privacy Act of 1974; System of Records
Primary source
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Published
May 11, 2022
Issuing agencies
Agency for International Development
Abstract
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".
Full Text
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<title>Federal Register, Volume 87 Issue 91 (Wednesday, May 11, 2022)</title>
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[Federal Register Volume 87, Number 91 (Wednesday, May 11, 2022)]
[Notices]
[Pages 28797-28800]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[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
<bullet> Federal eRulemaking Portal: <a href="http://www.regulations.gov">www.regulations.gov</a>. Follow
the instructions on the website for submitting comments.
<bullet> Email: <a href="/cdn-cgi/l/email-protection#0555776c7364667c457076646c612b626a73"><span class="__cf_email__" data-cfemail="3363415a4552504a734640525a571d545c45">[email protected]</span></a>
Paper
<bullet> Fax: 202-916-4946.
<bullet> 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: <a href="/cdn-cgi/l/email-protection#fa9d999b9789ba8f899b939ed49d958c"><span class="__cf_email__" data-cfemail="88efebe9e5fbc8fdfbe9e1eca6efe7fe">[email protected]</span></a>.
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
[[Page 28798]]
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, <a href="http://www.whitehouse.gov/wp-content/uploads/2017/11/Circular-019.pdf">www.whitehouse.gov/wp-content/uploads/2017/11/Circular-019.pdf</a> 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
[[Page 28799]]
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 <a href="http://www.archives.gov/records-mgmt/rcs/schedules/independent-agencies/rg-0047/n1-047-10-004_sf115.pdf">http://www.archives.gov/records-mgmt/rcs/schedules/independent-agencies/rg-0047/n1-047-10-004_sf115.pdf</a>. 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
[[Page 28800]]
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
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.