Privacy Act of 1974; Systems of Records, 32423-32426 [2020-11528]

Agencies

• Department of Justice

[Federal Register Volume 85, Number 104 (Friday, May 29, 2020)]
[Notices]
[Pages 32423-32426]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-11528]


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DEPARTMENT OF JUSTICE

[CPCLO Order No. 004-2020]


Privacy Act of 1974; Systems of Records

AGENCY: Executive Office for Immigration Review, United States 
Department of Justice.

ACTION: Notice of a modified 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 (hereinafter EOIR), a component 
within the United States Department of Justice (DOJ) or (Department), 
proposes to update and reissue a current DOJ System of Records, 
entitled EOIR-003 Practitioner Complaint-Disciplinary Files. EOIR-003 
will be renamed, ``Attorney Discipline System.'' The component proposes 
this update and reissuance to notify the public of the expanded 
functionality of this system, which now includes records of the 
adjudications of Attorney Discipline proceedings. This system will also 
adopt new and modified routine uses to better reflect the operational 
use of the system.

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this notice is 
effective upon publication, subject to a 30-day period in which to 
comment on the routine uses, described below. Please submit any 
comments by June 29, 2020.

ADDRESSES: The public, OMB, and Congress are invited to submit any 
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 by 
email at [email protected]. To ensure proper handling, 
please reference the above CPCLO Order No. on your correspondence.

FOR FURTHER INFORMATION CONTACT: Michelle Curry, EOIR Senior Component 
Official for Privacy, EOIR Office of the General Counsel, 5107 Leesburg 
Pike Suite 2600, Falls Church, VA 22041, or by phone at 703-305-0990, 
or by email at [email protected].

SUPPLEMENTARY INFORMATION: To protect the public, preserve the 
integrity of immigration proceedings and adjudications, and maintain 
high professional standards among immigration practitioners, EOIR 
implemented the regulation, ``Professional Conduct for Practitioners--
Rules and Procedures,'' 65 FR 39513 (June 27, 2000). EOIR modified the 
rule in 2008 to increase the number of grounds for discipline, improve 
the clarity and uniformity of the rules, and incorporate miscellaneous 
technical and procedural changes. See ``Professional Conduct for 
Practitioners--Rules and Procedures, and Representation and 
Appearances,'' 73 FR 76914 (Dec. 18, 2008). Effective January 18, 2017, 
the rules were again amended to extend discipline to recognized 
organizations and to make minor modifications to the reinstatement 
process. See ``Recognition of Organizations and Accreditation of Non-
Attorney Representatives,'' 81 FR 92346 (Dec. 19, 2016). The term 
``practitioners'' applies to attorneys and representatives who are 
authorized to represent aliens (but not attorneys representing the 
government) before EOIR's immigration court and the Board of 
Immigration Appeals (BIA or Board), EOIR's appellate component. The 
2017 rule amendments have resulted in revisions to the Attorney 
Discipline System.
    The EOIR Attorney Discipline Program resides in the Office of the 
General Counsel (OGC). Proceedings created as a result of the Attorney 
Discipline Program may include paper and electronic files created by 
the Disciplinary Counsel, who is the program lead, attorneys supporting 
the program, or program staff, and paper and electronic adjudication 
files of the BIA, the Office of Chief Immigration Judge (OCIJ), and/or 
the Office of the Chief Administrative Hearing Officer (OCAHO). The new 
Attorney Discipline System expands the prior system by developing an 
electronic database that contains information to track complaints from 
receipt through final disposition. The system is segregated by need to 
know user controls and allows authorized users to track various stages 
of the proceedings. The system also contains templates to generate 
letters, notices, and decisions used in the attorney discipline 
process. The system can generate reports by case status and 
disposition.
    EOIR has applied routine uses to this system. Having these routine 
uses permits EOIR the necessary flexibility to disclose information in 
ways that are compatible with the purposes for which the information 
was collected. Specifically, EOIR has modified the language in the 
routine uses in paragraphs: 1-7; 9; 11 and 12 to conform their language 
to the current DOJ practice to describe the adopted uses. These 
modifications do not materially affect pre-existing routine uses as 
they are merely stylistic changes. EOIR has added a new routine use 10 
to inform the public that the system and Attorney Discipline Program 
may be supported by contractors, grantees, experts, consultants, or 
students who will access the system on a need to know basis when 
necessary to accomplish an agency function related to this system of 
records. EOIR has also added new routine use 13, to address information 
release(s) in the event of a suspected or confirmed breach of the 
system, consistent with OMB guidance to federal agencies (OMB 
Memorandum 17-12, Preparing for and Responding to a Breach of 
Personally Identifiable Information (PII)). Finally, EOIR has added 
routine use 14 to allow release to third-party entities or individuals 
to the extent deemed necessary to elicit information from them or their 
cooperation to carry out authorized activities of EOIR.

[[Page 32424]]

    Certain Privacy Act exemptions apply to this system, as stated in 
EOIR-003 Practitioner Complaint-Disciplinary Files. These modifications 
to the SORN do not amend or otherwise impact those exemptions.
    In accordance with 5 U.S.C. 552a(r), the Department has provided a 
report to OMB and Congress on this notice of a modified system of 
records.

    Dated: May 5, 2020.
Peter Winn,
Acting Chief Privacy and Civil Liberties Officer, United States 
Department of Justice.
JUSTICE/EOIR-003

SYSTEM NAME AND NUMBER:
    EOIR, Attorney Discipline System, EOIR-003.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    DOJ EOIR, 5107 Leesburg Pike, Suite 2600, Falls Church, Virginia 
22041.

SYSTEM MANAGER(S):
    EOIR Chief Information Officer, Office of Information Technology 
(OIT), 5109 Leesburg Pike, Suite 900, Falls Church, Virginia 22041 and 
EOIR Attorney Discipline Counsel, EOIR OGC, 5107 Leesburg Pike, Suite 
2600, Falls Church, Virginia 22041.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sec. 292 of the Immigration and Nationality Act, as amended at 8 
U.S.C. 1103, and 8 CFR 292.3, 1292.3 et seq.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to assist EOIR's Attorney Discipline 
Program in conducting disciplinary investigations and instituting 
disciplinary proceedings against immigration practitioners and 
recognized organizations who violate the EOIR rules of practice as set 
forth in 8 CFR 1003.101 et seq. and the BIA, OCIJ and OCAHO in 
adjudicating the proceedings. The records are used to track and provide 
documentation of, among other things, complaints, disciplinary 
investigations, formal proceedings, and decisions in proceedings 
instituted by EOIR. The information may be further used to generate 
statistical reports and various administrative records, including 
docket printouts. 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 serve the Program's 
overarching goal of protecting the public and the integrity of 
immigration proceedings by taking and tracking complaints; conducting 
investigations; performing adjudications, and where appropriate and 
consistent with the Program's rules, publically publishing information 
regarding the discipline imposed as a result of the violation(s).

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system includes information pertaining to attorneys and 
representatives practicing before the Immigration Judges and the BIA 
and recognized organizations, as the subjects of allegations of 
misconduct. Records also include information about complainants, 
witnesses, adjudicators, and individuals representing practitioners.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system contains paper and electronic case-related information 
for the following categories of records:
     Disciplinary complaints;
     Acknowledgment letters;
     Preliminary inquiries;
     Investigative information, witness statements, and other 
evidentiary information;
     Complaint dispositions;
     Formal disciplinary proceedings; and
     Notices, orders, and decisions for the BIA, OCIJ, or 
OCAHO.

RECORD SOURCE CATEGORIES:
    Law enforcement agencies, federal and state courts, state bar 
licensing authorities, state bar grievance and/or disciplinary 
agencies, immigration practitioners or recognized organizations, 
inquiries and/or complaints from witnesses or members of the general 
public, and/or statements and information compiled during investigation 
of complaints.

 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) In an appropriate proceeding before a court, grand jury, or an 
administrative or adjudicative body before which DOJ, or any DOJ 
component or subdivision thereof, is authorized to appear and when any 
of the following is a party to litigation or has an interest in 
litigation and such records are determined by DOJ to be arguably 
relevant to the proceeding; DOJ or any DOJ components thereof; any DOJ 
employee in his or her official capacity; any DOJ employee in his/her 
individual capacity where DOJ has agreed to represent the employee; or 
the United States where DOJ, or any DOJ component thereof, determines 
that litigation is likely to affect it or any of its subdivisions;
    (2) To an actual or potential party, including an immigration 
practitioner, or to the party's attorney of record or authorized 
representative for the purpose of: Negotiation or discussion of matters 
such as settlement, conducting informal discovery proceedings involving 
records in this system, or to otherwise ensure fair representation;
    (3) To complainants or their representatives of record 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;
    (4) To Federal, state, local, territorial, tribal, foreign, or 
international licensing agencies or associations, including, but not 
limited to, state bar grievance committees and other attorney 
discipline authorities, for possible disbarment or other disciplinary 
proceedings;
    (5) 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 with enforcing or implementing such law;
    (6) 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;
    (7) 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;
    (8) To any federal agency or to any individual or organization for 
the purpose of performing audit or oversight operations of DOJ and to 
meet related reporting requirements;
    (9) To the National Archives and Records Administration (NARA) for

[[Page 32425]]

purposes of records management inspections conducted under the 
authority of 44 U.S.C. 2904 and 2906;
    (10) 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;
    (11) 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;
    (12) To appropriate agencies, entities, and persons when the 
Department: Suspects or has confirmed that there has been a breach of 
the system of records; 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 when 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;
    (13) 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: 
Responding to a suspected or confirmed breach or 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;
    (14) To any person or entity that EOIR has reason to believe 
possesses information regarding a matter within the jurisdiction of the 
EOIR, to the extent deemed to be necessary by EOIR in order to elicit 
such information or cooperation from the recipient for use in the 
performance of an authorized activity by EOIR.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records will be electronic and stored in secure EOIR databases. 
Temporary paper copies will be stored in secure locations and locked 
cabinets when not in use.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Electronic records may be retrieved from the Attorney Discipline 
System database by authorized personnel based on need-to-know 
restricted access permissions using the assigned case number or by the 
practitioner's name. Paper records may be retrieved by authorized 
personnel for mission purposes, as necessary, from secure storage 
locations where they are arranged by case type, disposition schedule, 
and case number in numerical order.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are maintained in hard-copy, paper format in secure filing 
cabinets. Electronic data is stored in electronic media via a 
configuration of government servers. Records are retained and disposed 
of in accordance with National Archives and Records Administration 
schedule DAA-0582-2017-0002.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Information in this system is maintained in accordance with 
applicable laws, rules, and policies on protecting individual privacy. 
Servers storing electronic data and backup tapes stored on-site are 
located in locked rooms with access restrictions limited to authorized 
agency personnel. Backup tapes stored off-site are maintained in 
accordance with applicable laws, rules, and policies. Internet 
connections are protected by multiple firewalls. Security personnel 
conduct periodic vulnerability scans using DOJ-approved software to 
ensure security compliance, and security logs are enabled for all 
computers to assist in troubleshooting and forensics analysis during 
incident investigations. Users of individual computers can only gain 
access to the data by a valid user identification and authentication 
process. The information maintained in the system is segregated in 
order to prevent ex-parte communications between adjudicators and OGC 
Disciplinary Counsel. Paper records are also segregated, and stored in 
secure locations with locked cabinets accessible only to those with a 
need to access the information.

RECORD ACCESS PROCEDURES:
    Portions of this system may be exempt from disclosure and contest 
pursuant to 5 U.S.C. 552a(k)(1) and (k)(2). Any individual desiring to 
contest or amend information not subject to exemption must direct his/
her request to the Senior Component Official for Privacy at the EOIR 
OGC. In all cases, requests for access to a record shall be made in 
writing. Written requests may be submitted by mail or in person. 
Written requests must be clearly marked and labeled ``Privacy Access 
Request,'' and the full name and notarized signature of the individual 
who is the subject of the record and any other identifying number or 
information that may assist in locating the record must be provided in 
accordance with 28 CFR 16.41(d), and a return address.

CONTESTING RECORD PROCEDURES:
    All requests to contest or amend information maintained in the 
system will be directed to the Senior Component Official for Privacy at 
the EOIR OGC in the manner described above in the Record Access 
Procedures section. Requests should state clearly and concisely what 
information is being contested, the reasons for contesting it, and the 
proposed amendment to the information.

NOTIFICATION PROCEDURES:
    Portions of this system may be exempt from disclosure and contest 
pursuant to 5 U.S.C. 552a(k)(1) and (k)(2). Any individual desiring to 
contest or amend information not subject to exemption must direct his/
her request to the Senior Component Official for Privacy at the EOIR 
OGC. In all cases, requests for access to a record must be made in 
writing. Written requests may be submitted by mail or in person. 
Written requests must be clearly marked and labeled ``Privacy Access 
Request,'' and the full name and notarized signature of the individual 
who is the subject of the record and any other identifying number or 
information that may assist in locating the record must be provided in 
accordance with 28 CFR 16.41(d), and a return address.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The Attorney General has previously exempted certain records of 
this system from the access provisions of the Privacy Act (5 U.S.C. 
552a(d), pursuant to 5 U.S.C. 552a(k)(1) and (k)(2)). (See 28 CFR 16.83 
(c) and (d)).

HISTORY:
    EOIR-003 Practitioner Complaint-Disciplinary Files issued 64 FR 
49237 (Sept. 10, 1999); 66 FR 8425 (Jan. 31,

[[Page 32426]]

2001); 72 FR 3410 (Jan. 25, 2007) amended to include exemptions claimed 
pursuant to 5 U.S.C. 552a(k)(1), and (k)(2), See 28 CFR 16.83.

[FR Doc. 2020-11528 Filed 5-28-20; 8:45 am]
 BILLING CODE 4410-30-P