81 FR 40741 - Privacy Act; System of Records: Legal Case Management Records, State-21.

DEPARTMENT OF STATE

Federal Register Volume 81, Issue 120 (June 22, 2016)

Notice is hereby given that the Department of State proposes to amend an existing system of records, Legal Case Management Records, State-21, pursuant to the provisions of the Privacy Act of 1974, as amended (5 U.S.C. 552a) and Office of Management and Budget Circular No. A-130, Appendix I.

[Federal Register Volume 81, Number 120 (Wednesday, June 22, 2016)]
[Notices]
[Pages 40741-40742]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-14828]


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DEPARTMENT OF STATE

[Public Notice: 9613]


Privacy Act; System of Records: Legal Case Management Records, 
State-21.

SUMMARY: Notice is hereby given that the Department of State proposes 
to amend an existing system of records, Legal Case Management Records, 
State-21, pursuant to the provisions of the Privacy Act of 1974, as 
amended (5 U.S.C. 552a) and Office of Management and Budget Circular 
No. A-130, Appendix I.

DATES: This system of records will be effective on August 1, 2016, 
unless we receive comments that will result in a contrary 
determination.

ADDRESSES: Any persons interested in commenting on the amended system 
of records may do so by writing to the Director; Office of Information 
Programs and Services, A/GIS/IPS; Department of State, SA-2; 515 22nd 
Street NW., Washington, DC 20522-8100.

FOR FURTHER INFORMATION CONTACT: William Fischer, Acting Director; 
Office of Information Programs and Services, A/GIS/IPS; Department of 
State, SA-2; 515 22nd Street NW., Washington, DC 20522-8100, or at 
[email protected].

SUPPLEMENTARY INFORMATION: The Department of State proposes that the 
current system will retain the name ``Legal Case Management Records'' 
(previously published at 42 FR 49709). Information in the Legal 
Adviser's Case Management Records is used to provide or facilitate the 
provision of legal advice and opinion to the offices of the Department 
of State and to facilitate defense or representation of the Department 
in litigation and in other legal proceedings. The proposed system will 
include modifications to all sections. The following sections have been 
added to the system of records, Legal Case Management Records, State-
21, to ensure Privacy Act of 1974 compliance: Purpose and Disclosure to 
Consumer Reporting Agencies.
    The Department's report was filed with the Office of Management and 
Budget. The amended system description, ``Legal Case Management 
Records, State-21,'' will read as set forth below.

Joyce A. Barr,
Assistant Secretary for Administration, U.S. Department of State.
STATE-21

SYSTEM NAME:
    Legal Case Management Records.

SECURITY CLASSIFICATION:
    Unclassified and Classified.

SYSTEM LOCATION:
    Department of State, 2201 C Street NW., Washington, DC 20520; 
Department of State annexes, U.S. Embassies, U.S. Consulates General, 
and U.S. Consulates.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have filed administrative grievances and Equal 
Employment Opportunity complaints; individuals involved in disciplinary 
proceedings; individuals involved in alleged criminal activity or 
activity in violation of regulations; individuals who have filed claims 
against the United States; individuals who have sued the Department of 
State or any officials; individuals whose records may be relevant to 
legal proceedings involving the Department of State; individuals who 
are the subjects of inquiries from federal, state, and local agencies; 
individuals who are the subjects of income withholding orders, 
garnishment orders, bankruptcy orders, state tax liens, and similar 
court or agency documents; individuals who have raised or discussed 
legal or policy questions with the Office of the Legal Adviser; and 
individuals who have otherwise contacted the Office of the Legal 
Adviser.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Biographic information, such as name, contact information, and 
place of birth; employment histories; summaries of circumstances 
surrounding grievances, Equal Employment Opportunity complaints, 
claims, litigation, or disciplinary proceedings; internal memoranda; 
copies of indictments and charges; criminal records and reports of 
investigations; electronic mail (email); electronic records in various 
formats; supporting documentation for a case against an individual; 
contracts and other legal documents; income withholding orders, 
garnishment orders, bankruptcy orders, state tax liens, and similar 
court or agency documents; inquiries from federal, state, and local 
agencies and responses to those inquiries; documents that may be 
relevant to legal proceedings and investigations; correspondence 
related to legal or policy issues, regardless of format (paper or 
electronic).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301; 22 U.S.C. 2651a; 22 U.S.C. 2656; 42 U.S.C. 659; 42 
U.S.C. 666; 5 CFR part 581.

PURPOSE(S):
    Information in the Legal Adviser's Case Management Records is used 
to provide or facilitate the provision of legal advice and opinion to 
the offices of the Department of State and to facilitate defense or 
representation of the Department in litigation and in other legal 
proceedings. Information may also be used to reply to requests from 
courts or agencies.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    The principal users of this information outside the Department of 
State are:
    (a) The Department of Justice and other federal agencies in 
connection with facilitating defense of the Department in legal 
proceedings, analyzing legal issues, or fulfilling statutory 
responsibilities;
    (b) Federal, state, and foreign courts, tribunals, and adjudicatory 
bodies in connection with legal proceedings;
    (c) A party to a legal proceeding involving the Department, or the 
party's attorney or other designated representative in connection with 
legal proceedings;
    (d) An attorney or other designated representative of any source, 
witness or subject in connection with legal proceedings;
    (e) Appropriate committees and subcommittees of Congress in 
furtherance of their respective oversight functions; and
    (f) Federal agencies having statutory or other lawful authority to 
maintain such information.
    The Department may respond to federal, state, and local agency 
inquiries related to child support, alimony, bankruptcy, state tax 
lien, or similar issues. Pursuant to a court or agency order, the 
Department may disclose

[[Page 40742]]

relevant information to private collection agencies, law firms and/or 
other individuals authorized to receive benefits under such order.
    The Department of State periodically publishes in the Federal 
Register its standard routine uses which apply to all of its Privacy 
Act systems of records. These notices appear in the form of a Prefatory 
Statement. These standard routine uses apply to Legal Case Management 
Records, State-21.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM
    Storage:
    Hard copy and electronic media.

RETRIEVABILITY:
    Hardcopy by name, date, country, and/or subject; electronic by 
keyword or metadata.

SAFEGUARDS:
    All users are given cyber security awareness training which covers 
the procedures for handling Sensitive but Unclassified information, 
including personally identifiable information (PII). Annual refresher 
training is mandatory. In addition, all Foreign Service and Civil 
Service employees and those Locally Employed Staff who handle PII are 
required to take the FSI distance learning course instructing employees 
on privacy and security requirements, including the rules of behavior 
for handling PII and the potential consequences if it is handled 
improperly. Before being granted access to Legal Case Management 
Records, a user must first be granted access to the Department of State 
computer system.
    Remote access to the Department of State network from non-
Department owned systems is authorized only through a Department 
approved access program. Remote access to the network is configured 
with the Office of Management and Budget Memorandum M-07-16 security 
requirements which include but are not limited to two-factor 
authentication and time out function.
    All Department of State employees and contractors with authorized 
access have undergone a thorough background security investigation. 
Access to the Department of State, its annexes and posts abroad is 
controlled by security guards and admission is limited to those 
individuals possessing a valid identification card or individuals under 
proper escort. All paper records containing personal information are 
maintained in secured file cabinets in restricted areas, access to 
which is limited to authorized personnel only. Access to computerized 
files is password-protected and under the direct supervision of the 
system manager. The system manager has the capability of printing audit 
trails of access from the computer media, thereby permitting regular 
and ad hoc monitoring of computer usage.
    When it is determined that a user no longer needs access, the user 
account is disabled.

RETENTION AND DISPOSAL:
    Records are retired in accordance with published Department of 
State Records Disposition Schedules as approved by the National 
Archives and Records Administration (NARA). More specific information 
may be obtained by writing to the Director, Office of Information 
Programs and Services, A/GIS/IPS, SA-2, Department of State, 515 22nd 
Street NW., Washington, DC 20522-8100.

SYSTEM MANAGER AND ADRESS:
    Executive Director, Office of the Legal Adviser and Bureau of 
Legislative Affairs, Department of State, 600 19th Street NW., Suite 
5.600, Washington, DC 20522.

NOTIFICATION PROCEDURES:
    Individuals who have reason to believe that the Office of the Legal 
Adviser might have records pertaining to him or her should write to the 
Director, Office of Information Programs and Services, A/GIS/IPS, SA-2, 
Department of State, 515 22nd Street NW., Washington, DC 20522-8100 or 
through the Department's Freedom of Information Act (FOIA) Web page at 
https://foia.state.gov/Request/. The individual must specify that he/
she wishes the records of the Office of the Legal Adviser to be 
checked. At a minimum, the individual must include: name; date and 
place of birth; current mailing address and zip code; signature; brief 
description of the circumstances, including the approximate dates, 
which give the individual cause to believe that the Office of the Legal 
Adviser might have records pertaining to him or her.

RECORD ACCESS AND AMENDMENT PROCEDURES:
    Individuals who wish to gain access to or amend records pertaining 
to them should write to the Director, Information Programs and Services 
(address above).

CONTESTING RECORD PROCEDURES:
    Individuals who wish to contest records pertaining to them should 
write to the Director, Information Programs and Services (address 
above).

RECORD SOURCE CATEGORIES:
    These records contain information that is primarily obtained from 
the individual; offices of the Department of State; other government 
agencies, particularly the Department of Justice; court systems and 
administrative bodies; previous employers; neighbors; security 
investigation reports; other employees or individuals having knowledge 
of the issue about which a legal opinion is requested or who are party 
to litigation or investigation.

SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:
    Pursuant to 5 U.S.C. 552a (k)(1), records in this system may be 
exempted from subsections (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), 
(e)(4)(I), (f) of Sec.  552a. See 22 CFR 171.26.

[FR Doc. 2016-14828 Filed 6-21-16; 8:45 am]
 BILLING CODE 4710-08-P