Department of the Navy (Navy and Marine Corps)

N05800-2

SYSTEM NAME:

Professional Responsibility Files  (September 14, 2012,  77 FR 56822)

SYSTEM LOCATION:

Office of the Judge Advocate General (Administrative Law) (Code 13), Department of the Navy, Washington Navy Yard, 1322 Patterson Avenue SE, Suite 3000, Washington, DC 20374-5066.

Office of the Chief Judge, Department of the Navy (Code 05) Washington Navy Yard, 1254 Charles Morris Street SE, Suite 320 Washington, DC 20374-5124.

Office of the Staff Judge Advocate to the Commandant of the Marine Corps, Headquarters United States Marine Corps, 3000 Marine Corps Pentagon (Room 4D556), Washington DC 20350-3000.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Civilian attorneys (U.S. Government and non-U.S. Government) and U.S. Armed Forces judge advocates (Active-Duty, Reserve and retired) who have practiced, or are practicing, in proceedings, or who practice or perform legal services under the supervision and cognizance of the Judge Advocate General of the Navy (JAG).

CATEGORIES OF RECORDS IN THE SYSTEM:

Full name, reports of investigation, correspondence, and court papers relating to professional responsibility/ethics complaints brought against attorneys; requests and related correspondence regarding the outside practice of law; documents related to the good standing certification requirements of attorneys.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301, Departmental regulations; 10 U.S.C. 806, Judge advocates and legal officers; 10 U.S.C. 826, Military judge of a general or special court-martial; 10 U.S.C. 827, Detail of trial counsel and defense counsel; 10 U.S.C. 1044, Legal Assistance; 32 C.F.R. Part 776, Professional Conduct of Attorneys Practicing Under the Cognizance and Supervision of the Judge Advocate General; Manual for Courts-Martial (MCM), Part II of the MCM, Rule for Courts-Martial, Part II Rule 109 of the MCM, Professional supervision of military judges and counsel; and JAG Instruction 5803.1 (series), Professional Conduct of Attorneys Practicing Under the Cognizance and Supervision of the Judge Advocate General.

PURPOSE(S):

To record the disposition of professional responsibility complaints; to provide a record of individual lawyers who are restricted or suspended from practice as attorneys, before courts-martial or other proceedings conducted under the Uniform Code of Military Justice (UCMJ), or in Navy and Marine Corps administrative proceedings, or as legal assistance attorneys, or in any other matter under JAG cognizance; to document professional responsibility/ethics violations and corrective action taken; and to provide a record of all outside practice of law requests.

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 of 1974, these records contained therein may specifically be disclosed outside the DoD as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

To attorney licensing and/or disciplinary authorities as required to support professional responsibility investigations and proceedings.

The DoD 'Blanket Routine Uses' that appear at the beginning of the Navy's compilation of system of records notices may apply to this system.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:


STORAGE:

Paper file folders and electronic storage media.

RETRIEVABILITY:

Files are retrieved by alphabetical order according to the last name of the attorney concerned.

SAFEGUARDS:

Files are maintained in file cabinets and other storage devices under the control of authorized personnel during working hours; the office space in which the file cabinets and storage devices are located is locked outside official working hours.

RETENTION AND DISPOSAL:

Permanent. Records are retired to Washington National Records Center (WNRC) when 4 years old and transferred to National Archives and Records Administration (NARA) when 20 years old. Files with historical information required on a continuing basis may be retained as long as necessary before being retired to WNRC.

SYSTEM MANAGER(S) AND ADDRESS:

Assistant Judge Advocate General (Civil Law), Office of the Judge Advocate General, Department of the Navy, Washington Navy Yard, 1322 Patterson Avenue SE, Suite 3000, Washington, DC 20374-5066.

Office of the Chief Judge, Department of the Navy (Code 05) Washington Navy Yard, 1254 Charles Morris Street SE, Suite 320 Washington, DC 20374-5124.

Office of the Staff Judge Advocate to the Commandant of the Marine Corps, Headquarters United States Marine Corps, 3000 Marine Corps Pentagon (Room 4D556), Washington DC 20350-3000.

NOTIFICATION PROCEDURE:

Individuals seeking to determine whether this system contains information about themselves should address written inquiries to the following offices, as appropriate:

For judicial conduct matters: Office of the Chief Judge, Department of the Navy (Code 05), Washington Navy Yard, 1254 Charles Morris Street SE, Suite 320 Washington, DC 20374-5124.

For Marine matters (not involving judicial conduct nor for matters concerning Marines serving under Naval Legal Service Command): Research and Civil Law Branch, Judge Advocate Division, HQMC (JAR), Office of the Staff Judge Advocate to the Commandant of the Marine Corps, Headquarters United States Marine Corps, 3000 Marine Corps Pentagon (Room 4D556), Washington DC 20350-3000.

For all other matters: Deputy Assistant Judge Advocate General (Administrative Law) (Code 13), Office of the Judge Advocate General, Department of the Navy, 1322 Patterson Avenue SE, Suite 3000, Washington, DC 20374-5066.

Written request should include the full name of the individual concerned and must be signed. The system manager will require a notarized signature as a means of proving the identity of the individual requesting access to records.

RECORD ACCESS PROCEDURES:

Individuals seeking access to information about themselves contained in this system should address written inquiries to the following offices, as appropriate:

For judicial conduct matters: Office of the Chief Judge, Department of the Navy (Code 05), Washington Navy Yard, 1254 Charles Morris Street SE, Suite 320 Washington, DC 20374-5124.

For Marine matters (not involving judicial conduct): Research and Civil Law Branch, Judge Advocate Division, HQMC (JAR), Office of the Staff Judge Advocate to the Commandant of the Marine Corps, Headquarters United States Marine Corps, 3000 Marine Corps Pentagon (Room 4D556), Washington DC 20350-3000.

For all other matters: Deputy Assistant Judge Advocate General (Administrative Law) (Code 13), Office of the Judge Advocate General, Department of the Navy, 1322 Patterson Avenue SE, Suite 3000, Washington, DC 20374-5066.

Written request should include the full name of the individual concerned and must be signed. The system manager will require a notarized signature as a means of proving the identity of the individual requesting access to records.

CONTESTING RECORD PROCEDURES:

The Department of the Navyís rules for accessing records, and for contesting contents and appealing initial agency determinations are published in Secretary of the Navy Instruction 5211.5; 32 CFR part 701; or may be obtained from the system manager.

RECORD SOURCE CATEGORIES:

Correspondence from individuals, military judges, staff judge advocates, and other military personnel; correspondence from the Judge Advocate Generals of other branches of the Armed Forces; investigative reports from Naval Criminal Investigative Service other law enforcement agencies; and those appointed Investigating Officer by the Judge Advocate General of the Navy or the Navy JAGC Rules Counsel, correspondence from military or civilian attorney licensing authorities; and copies of court papers.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Investigative material compiled for law enforcement purposes may be exempt pursuant to 5 U.S.C. 552a(k)(2). However, if an individual is denied any right, privilege, or benefit for which he would otherwise be entitled by Federal law or for which he would otherwise be eligible, as a result of the maintenance of such information, the individual will be provided access to such information except to the extent that disclosure would reveal the identity of a confidential source.

An exemption rule for this system has been promulgated in accordance with the requirements of 5 U.S.C. 553(b)(1), (2), and (3), (c) and (e) and published in 32 CFR part 701, subpart G. For additional information, contact the system manager.

FEDERAL REGISTER HISTORY:

July 30, 1999, 64 FR 41401; September 14, 2012, 77 FR 56822