Privacy Act of 1974; Systems of Records
| Published date | 16 August 2019 |
| Citation | 84 FR 42016 |
| Record Number | 2019-17364 |
| Section | Notices |
| Court | Justice Department |
Federal Register, Volume 84 Issue 159 (Friday, August 16, 2019)
[Federal Register Volume 84, Number 159 (Friday, August 16, 2019)]
[Notices]
[Pages 42016-42020]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-17364]
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DEPARTMENT OF JUSTICE
[CPCLO Order No. 004-2019]
Privacy Act of 1974; Systems of Records
AGENCY: Executive Office for Immigration Review, United States
Department of Justice.
ACTION: Notice of a new system of records.
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SUMMARY: Pursuant to the Privacy Act of 1974, and Office of Management
and Budget (OMB) Circular No. A-108, notice is hereby given that the
Executive Office for Immigration Review (EOIR), a component within the
United States Department of Justice (DOJ or Department), proposes to
develop a new system of records titled Office of the Chief
Administrative Hearing Officer (OCAHO) Case Management System (CMS),
JUSTICE/EOIR-002. The EOIR proposes to establish this system of records
to track and manage case information and documents for OCAHO cases. The
system provides an electronic platform to track cases and
electronically maintain records previously maintained in paper form for
the purpose of more efficiently managing these records and providing
better access to the records for parties to the proceedings.
DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this system of
records will begin operation on the publication date, subject to a 30-
day period in which to comment on the routine uses, described below.
Please submit any comments by September 16, 2019.
ADDRESSES: The public, OMB, and Congress are invited to submit any
[[Page 42017]]
comments to the United States Department of Justice, Office of Privacy
and Civil Liberties, ATTN: Privacy Analyst, 145 N Street NE, Suite
8W.300, Washington, DC 20530, or by facsimile at 202-307-0693, or email
at [email protected]. To ensure proper handling, please
reference the above CPCLO Order No. on your correspondence.
FOR FURTHER INFORMATION CONTACT: Marta Rothwarf and Michelle Curry,
Associate General Counsels and Co-Senior Component Officials for
Privacy, Office of the General Counsel, Executive Office for
Immigration Review, 5107 Leesburg Pike, Suite 2600, Falls Church, VA
22041, by email at [email protected] and
[email protected], or by facsimile at 703-305-0443.
SUPPLEMENTARY INFORMATION: EOIR proposes to establish a new system of
records subject to the Privacy Act of 1974, 5 U.S.C. 552a. The proposed
system of records will be used by OCAHO to facilitate adjudication of
its cases, track and manage cases and records, consisting of paper and
electronic files maintained by OCAHO. The records to be maintained in
this new system historically have been included as part of EOIR-001,
Records and Management Information System. They are being transferred
into this new system to improve efficiency, improve records management
practices, and provide more convenient access for parties to
proceedings.
OCAHO Administrative Law Judges (ALJs) hear cases and adjudicate
issues arising under the provisions of the Immigration and Nationality
Act (INA) relating to: (1) Knowingly hiring, recruiting or referring
for a fee, or continuing to employ unauthorized aliens, failure to
comply with employment eligibility verification requirements, and
requiring indemnity bonds from employees in violation of section 274A
of the INA (8 U.S.C. 1324a); (2) immigration-related unfair employment
practices in violation of section 274B of the INA (8 U.S.C. 1324b); and
(3) immigration-related document fraud in violation of section 274C of
the INA (8 U.S.C. 1324c).
Complaints under sections 274A and 274C of the INA are filed by the
U.S. Department of Homeland Security, Immigration and Customs
Enforcement. Complaints under section 274B of the INA may be filed by
private individuals or entities, or by the U.S. Department of Justice,
Civil Rights Division, Immigrant and Employee Rights Section. The
respondents in the cases handled by OCAHO are typically businesses or
employers. The parties to 274A and 274C cases may seek administrative
review of ALJ decisions and orders by the Chief Administrative Hearing
Officer (CAHO). Parties in all OCAHO cases may appeal final agency
orders to the appropriate United States Circuit Court of Appeals.
In connection with the cases and appeals handled by OCAHO, it
collects certain information and documents from and about complainants
and respondents. The Immigrant and Employee Rights Section (DOJ/CRT)
and Immigration and Customs Enforcement (DHS), which file complaints
with OCAHO, often will submit investigatory records as exhibits or
attachments to their filings. These investigatory records may include
notices of inspection, summaries of inspection results, affidavits or
memoranda from investigators, results from searches of internal agency
databases, and other records related to their investigations. The
exhibits or attachments then become part of OCAHO's official case
record. As a result, these investigatory records may be exempt from
access or amendment rights.
To improve tracking and storage of case-related information and
documents, OCAHO is implementing a new electronic case management
system (CMS). The OCAHO CMS will manage the entire life cycle of
OCAHO's case processes, including: (1) Tracking and managing case
information and documents from complaint through adjudication, review,
and when applicable, appeal; (2) facilitating case research; (3) and
reporting on key business functions and metrics. The OCAHO CMS includes
an electronic filing capability, which will enable parties to submit
case information and documents electronically through a secure web-
based portal. The portal will also provide notifications and updates on
case status to system users, and will allow authorized parties to a
proceeding to access copies of case-related documents electronically.
The system contains templates to generate letters, notices, and
decisions used in the OCAHO adjudicatory process, and the system
generates reports by case status and disposition.
Information from the system may be shared pursuant to the
requirements of the Privacy Act and, in the case of its routine uses,
when the disclosure is compatible with the purpose for which the
information was collected. The system is segregated by ``need to know''
user controls, and allows authorized users to track various stages of
the proceedings.
In accordance with 5 U.S.C. 552a(r), the Department has provided a
report to OMB and Congress on this new system of records.
Dated: August 7, 2019.
Peter A. Winn,
Acting Chief Privacy and Civil Liberties Officer United States
Department of Justice.
JUSTICE/EOIR-002
SYSTEM NAME AND NUMBER:
EOIR-002, Office of the Chief Administrative Hearing Officer
(OCAHO) Case Management System (CMS).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of Information Technology, 5109 Leesburg Pike, Suite 900,
Falls Church, VA 22041 and EOIR OCAHO, 5107 Leesburg Pike, Suite 2500,
Falls Church, VA 22041.
SYSTEM MANAGER(S):
EOIR Chief Information Officer, Office of Information Technology,
5109 Leesburg Pike, Suite 900, Falls Church, VA 22041 and EOIR OCAHO,
5107 Leesburg Pike, Suite 2500, Falls Church, VA 22041.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
8 U.S.C. 1324a; 8 U.S.C. 1324b; 8 U.S.C. 1324c; 28 CFR part 68 and
8 CFR 1003.0.
PURPOSE(S) OF THE SYSTEM:
The system will manage the entire life cycle of OCAHO's case
processes, reviews and appeals, from the filing of complaints through
adjudication, review, and when applicable, appeals, including tracking,
managing, and storing all case-related information and documents,
facilitating case research, and reporting and creating statistics on
key business functions and metrics. The scope of the system of records,
as proposed, is commensurate with the purpose(s) of the system because
the records collected are limited to those necessary to exercise
actions required for the adjudication and review of cases by OCAHO.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The system will include information pertaining to individuals who
appear as complainants or respondents in OCAHO cases, other individuals
directly or indirectly involved in these proceedings, including
investigators, witnesses, and others involved with the business in
question, adjudicators such as the ALJs, the CAHO, OCAHO personnel as
necessary, as well as individuals who appear as attorneys or
[[Page 42018]]
representatives for complainants or respondents in OCAHO cases.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains paper and electronic case-related information
for the following categories of records: Complaints; petitions for
review; answers and responses; subpoenas; motions, requests, and
briefs; exhibits and other supporting documentation; investigatory
records, including, but not limited to, notices of inspection,
summaries of inspection results, affidavits or memoranda from
investigators, and results from searches of internal agency databases;
and notices, orders, and decisions issued by OCAHO ALJs and the CAHO.
Records maintained within the system may include: CAHO and adjudicator
names and electronic signatures; the parties' full names; addresses;
phone numbers; email addresses; business and employment records
(including copies of Employment Eligibility Verification Forms (Forms
I-9) that may contain social security numbers, payroll records, and
other similar records); electronic signatures; and, in some cases,
information about an individual complainant's citizenship or
immigration status.
In order to register and create an account to use the web-based
portal, individuals will be asked to provide their first and last name,
the office or agency that they are associated with (if applicable),
their email address, and a user-chosen password.
RECORD SOURCE CATEGORIES:
Records contained within the system may be submitted by the parties
to OCAHO cases and/or their attorneys or representatives or may be
generated by the courts and court personnel. Parties may include
individuals, businesses or non-profit entities, and Federal Government
agencies (Immigration and Customs Enforcement in the Department of
Homeland Security, and the Immigrant and Employee Rights Section in the
Civil Rights Division of the Department of Justice).
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), all or a portion of the records or information contained in
this system of records may be disclosed as a routine use pursuant to 5
U.S.C. 552a(b)(3) under the circumstances or for the purposes described
below, to the extent such disclosures are compatible with the purposes
for which the information was collected:
1. Where a record, either alone or in conjunction with other
information, indicates a violation or potential violation of law--
criminal, civil, or regulatory in nature--the relevant records may be
referred to the appropriate federal, state, local, territorial, tribal,
or foreign law enforcement authority or other appropriate entity
charged with the responsibility for investigating or prosecuting such
violation or charged with enforcing or implementing such law.
2. To complainants and/or victims to the extent necessary to
provide such persons with information and explanations concerning the
progress and/or results of the investigation or case arising from the
matters of which they complained and/or of which they were a victim.
3. To any person or entity that EOIR/OCAHO has reason to believe
possesses information regarding a matter within the jurisdiction of
EOIR/OCAHO, to the extent deemed to be necessary by EOIR/OCAHO in order
to elicit such information or cooperation from the recipient for use in
the performance of an EOIR/OCAHO authorized activity.
4. In an appropriate proceeding before a court, grand jury, or
administrative or adjudicative body, when the Department of Justice
determines that the records are arguably relevant to the proceeding; or
in an appropriate proceeding before an administrative or adjudicative
body when the adjudicator determines the records to be relevant to the
proceeding.
5. To an actual or potential party to litigation or the party's
authorized representative for the purpose of negotiation or discussion
of such matters as settlement, plea bargaining, or informal discovery
proceedings.
6. To the news media and the public, including disclosures pursuant
to 28 CFR 50.2, unless it is determined that release of the specific
information in the context of a particular case would constitute an
unwarranted invasion of personal privacy.
7. To contractors, grantees, experts, consultants, students, and
others performing or working on a contract, service, grant, cooperative
agreement, or other assignment for the Federal Government, when
necessary to accomplish an agency function related to this system of
records.
8. To designated officers and employees of state, local,
territorial, or tribal law enforcement or detention agencies in
connection with the hiring or continued employment of an employee or
contractor, where the employee or contractor would occupy or occupies a
position of public trust as a law enforcement officer or detention
officer having direct contact with the public or with prisoners or
detainees, to the extent that the information is relevant and necessary
to the recipient agency's decision.
9. To appropriate officials and employees of a Federal agency or
entity that requires information relevant to a decision concerning the
hiring, appointment, or retention of an employee; the assignment,
detail, or deployment of an employee; the issuance, renewal,
suspension, or revocation of a security clearance; the execution of a
security or suitability investigation; the letting of a contract, or
the issuance of a grant or benefit.
10. To a former employee of the Department for purposes of:
Responding to an official inquiry by a federal, state, or local
government entity or professional licensing authority, in accordance
with applicable Department regulations; or facilitating communications
with a former employee that may be necessary for personnel-related or
other official purposes where the Department requires information and/
or consultation assistance from the former employee regarding a matter
within that person's former area of responsibility.
11. To Federal, state, local, territorial, tribal, foreign, or
international licensing agencies or associations which require
information concerning the suitability or eligibility of an individual
for a license or permit.
12. To a Member of Congress or staff acting upon the Member's
behalf when the Member or staff requests the information on behalf of,
and at the request of, the individual who is the subject of the record.
13. To the National Archives and Records Administration for
purposes of records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
14. To appropriate agencies, entities, and persons when (1) the
Department suspects or has confirmed that there has been a breach of
the system of records, (2) the Department has determined that as a
result of the suspected or confirmed breach there is a risk of harm to
individuals, the Department (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 the
Department efforts to respond to the suspected or confirmed breach or
to prevent, minimize, or remedy such harm.
[[Page 42019]]
15. To another Federal agency or Federal entity, when the
Department determines that information from this 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 Federal Government, or national security, resulting
from a suspected or confirmed breach.
16. To any agency, organization, or individual for the purpose of
performing authorized audit or oversight operations of the Department/
EOIR and meeting related reporting requirements.
17. To such recipients and under such circumstances and procedures
as are mandated by Federal statute or treaty.
18. To Federal agencies involved in statistical analysis of data,
and publication and/or reporting of aggregated or de-identified
information designed to improve the efficiency and effectiveness of
immigration proceedings at those agencies or to better meet EOIR's
mission of adjudicating cases fairly and expeditiously, and uniformly
interpreting and administering the Nation's immigration laws.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Paper copies of records are maintained in file folders in secure
locations. Electronic records are stored on secure servers and storage
media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Authorized internal users may retrieve paper records through OCAHO
case numbers and electronic records through an internet portal that
will allow searches by a party's name, OCAHO case number, region, city
and state, or fiscal or calendar year. External users granted access
because they are a party or authorized representative of a party will
be able to retrieve records related to the cases in which they are
involved by party name or case number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Paper and electronic records will be retained and disposed of in
accordance with OCAHO's revised records retention schedule, DAA-0582-
2017-0005, currently under review by NARA.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
DOJ/EOIR/OCAHO will implement administrative, technical, and
physical safeguards to protect information in the system. For example,
internet connections are protected by multiple firewalls, and security
personnel conduct periodic vulnerability scans using DOJ-approved
software to ensure security compliance. Security logs are enabled for
computers to assist in troubleshooting and forensic analysis during
incident investigations. Need-to-know access is provided and verified
by Personal Identity Verification (PIV) access which requires a valid
user identification and password. Electronic records are segregated and
stored in secure cloud-based redundant server locations. Paper records
are segregated and stored in secure locations with locked cabinets.
Both paper and electronic records are accessible only to those with a
need to access the information for the performance of their official
duties and who have appropriate clearances or permissions.
RECORD ACCESS PROCEDURES:
All requests for access to records must be in writing and should be
addressed to the Senior Component Official for Privacy at the EOIR
Office of the General Counsel, 5107 Leesburg Pike, Suite 2600, Falls
Church, VA 22041, or [email protected]. The envelope and letter
should be clearly marked ``Privacy Act Access Request.'' The request
must describe the records sought in sufficient detail to enable
Department personnel to locate them with a reasonable amount of effort.
The request must include a general description of the records sought
and must include the requester's full name, current address, and date
and place of birth, to enable EOIR to verify that the requester is
legally authorized to access the records.
The request must be signed and either notarized or submitted under
penalty of perjury. Some information may be exempt from the access
provisions as described in the ``EXEMPTIONS CLAIMED FOR THE SYSTEM''
section, below. An individual who is the subject of a record in this
system of records may access those records that are not exempt from
access. A determination whether a record may be accessed will be made
at the time a request is received.
Although no specific form is required, you may obtain forms for
this purpose from the FOIA/Privacy Act Mail Referral Unit, United
States Department of Justice, 950 Pennsylvania Avenue NW, Washington,
DC 20530, or on the Department of Justice website at http://www.justice.gov/oip/oip-request.html.
More information regarding the Department's procedures for
accessing records in accordance with the Privacy Act can be found at 28
CFR part 16 subpart D, ``Protection of Privacy and Access to Individual
Records Under the Privacy Act of 1974.''
CONTESTING RECORD PROCEDURES:
Individuals seeking to contest or amend records maintained in this
system of records must direct their requests to the address indicated
in the ``RECORD ACCESS PROCEDURES'' section, above. All requests to
contest or amend records must be in writing and the envelope and letter
should be clearly marked ``Privacy Act Amendment Request.'' All
requests must state clearly and concisely what record is being
contested, the reasons for contesting it, and the proposed amendment to
the record. Some information may be exempt from the amendment
provisions as described in the ``EXEMPTIONS PROMULGATED FOR THE
SYSTEM'' section, below. An individual who is the subject of a record
in this system of records may contest or amend those records that are
not exempt. A determination of whether a record is exempt from the
amendment provisions will be made after a request is received.
More information regarding the Department's procedures for amending
or contesting records in accordance with the Privacy Act can be found
at 28 CFR 16.46, ``Requests for Amendment or Correction of Records.''
NOTIFICATION PROCEDURES:
Individuals may be notified if a record in this system of records
pertains to them when the individuals request information utilizing the
same procedures as those identified in the ``RECORD ACCESS PROCEDURES''
section, above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
The Attorney General has exempted this system from subsections 5
U.S.C. 552a(d) of the Privacy Act pursuant to 5 U.S.C. 552a(k)
subsections. The exemptions will be applied only to the extent that the
information in the system is subject to exemption pursuant to 5 U.S.C.
552a(k) subsections. Rules are in the process of being promulgated in
accordance with the requirements of 5 U.S.C. 553(b), (c) and (e), and
are in the process of being published in the Federal Register.
HISTORY:
This system was previously part of EOIR-001 Records and Management
Information System, 60 FR 52694 (Oct. 10, 1995); 66 FR 35458 (July 5,
2001); 69 FR 26179 (May 11, 2004); 72 FR 3410
[[Page 42020]]
(Jan. 25, 2007) (rescinded by 82 FR 24147); 82 FR 24147 (May 25, 2017).
[FR Doc. 2019-17364 Filed 8-15-19; 8:45 am]
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